DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

C••• I••••••••• A••••••• L••

Former SEC-registered adviserColumbus, OhioCRD 287852SEC 801-110366IAPD
Latest filing Jun 17, 2019
First filing on the tape Mar 31, 2017 · 11 filings
RAUM
$663M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$655M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
12
$530M gross assets
History
11 filings and snapshots on the tape
RAUM$663M as of Mar 28, 2019
Mar 31, 2018$658M then
HNW client RAUM$655M as of Mar 28, 2019
Mar 31, 2018$653M then
State-registered IARs (5.B.3)2 as of Mar 28, 2019
Mar 31, 20182 then
Employees (5.A)10 as of Mar 28, 2019
Mar 31, 201810 then
Private funds12 as of Mar 28, 2019
Mar 31, 201816 then
RAUM +0.6% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jun 17, 2019; every figure names its basis
RAUM per advisor
$331MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
253derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.3MderivedHNW RAUM over HNW clients
Average account
$41.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+0.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+53%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$24.5M, 83 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$655M99%
  • Pooled investment vehicles$5.1M0.8%
  • Corporations and businesses$1.4M0.2%
  • Insurance companies$1.1M0.2%
  • Individuals$195,0000.0%
Individual clients
5reported
HNW clients
500reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
16reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$24.5M for 83 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      19 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••• L••••••••• A••••••••• L••Real Estate Fund$116M100Aug 12, 2017
      C••• G••••• V••• A••••••••• L••Real Estate Fund$72.2M74Aug 12, 2017
      C••• W•••••• A••••••••• L••Real Estate Fund$72.0M83Aug 12, 2017
      C••• E•• A••••••••• L••Real Estate Fund$67.0M78Aug 12, 2017
      C••• T••••• C••••••• A••••••••• L••Real Estate Fund$63.2M82Aug 12, 2017
      C••• N•••• P••••• A••••••••• L••no longer reportedReal Estate Fund$44.0M92Aug 12, 2017
      C••• W•••••••• A••••••••• L••no longer reportedReal Estate Fund$37.6M87Aug 12, 2017
      C••• R••• E••••• F••• I•• L•••Real Estate Fund$37.6M78Mar 19, 2021
      C••• W•••••••• A••••••••• L••no longer reportedReal Estate Fund$35.8M65Aug 12, 2017
      A•••••• C••• H•••• L••Real Estate Fund$34.0M71Aug 12, 2017
      C••• B••••••• A••••••••• L••Real Estate Fund$28.4M26Aug 12, 2017
      C••• A••••• P•••• A••••••••• L••Real Estate Fund$26.0M46Aug 12, 2017
      C••• R••• E••••• C•••••• O••••••••• F••• I• L•Real Estate Fund$25.9M83Mar 31, 2018
      C••• W••••• L••• A••••••••• L••no longer reportedReal Estate Fund$23.0M43Aug 12, 2017
      C••• C•••••• C••••••• L••no longer reportedReal Estate Fund$15.0M28Aug 12, 2017
      H••••••• C••• L••no longer reportedReal Estate Fund$14.8M11Aug 12, 2017
      C••• K••••••• L••Real Estate Fund$13.5M25Aug 12, 2017
      C••• B• C••••• W•••• L••Real Estate Fund$7.1M57Mar 28, 2019
      C••• B• O•••••• M•••••• L••Real Estate Fund$5.9M51Mar 28, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• J••••••• A••• · Chief Compliance Officercontrol
        since 02/2017 · owns less than 5%
      • D••••• A••••• N••••• · Chief Operating Officercontrol
        since 02/2017 · owns less than 5%
      • H•••• B•••••••• J••••• · Principalcontrol
        since 02/2017 · owns less than 5%
      • C••••••••• J••••••• A••• · Managing Membercontrol
        since 12/2015 · owns 75% or more of C••• I••••••••• E• L••
      • H•••• B•••••••• J••••• · Managing Membercontrol
        since 08/2009 · owns 75% or more of C••• H••• I••••••••• L••
      Entity owners
      • C••• C•••••• P••••••• L•• · Managing Member And 100% Owner
        direct · owns 75% or more
      • C••• H••• I••••••••• L•• · Member
        indirect · owns 25% to 50% of C••• C•••••• P••••••• L••
      • C••• I••••••••• E• L•• · Member
        indirect · owns 75% or more of C••• C•••••• P••••••• L••
      Related persons
      Schedule D 7.A
      • C••• C•••••• P••••••• L••
        pooled vehicle sponsory
      • C••• F••••••••• L••
        broker-dealern
      • C••• R••• E••••• C•••••• L••
        pooled vehicle sponsorn
      • C••• R••••• A•••••••• L••
        investment companyn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 17 to 16
        Apr 30, 2018 to Mar 28, 2019
      • HNW clients · 327 to 500
        Apr 30, 2018 to Mar 28, 2019
      • Individual clients · 2 to 5
        Apr 30, 2018 to Mar 28, 2019
      • Pooled vehicle clients · 12 to 11
        Apr 30, 2018 to Mar 28, 2019
      • Assets in custody · $4.8M to $24.5M
        Apr 30, 2018 to Mar 28, 2019
      • Private funds · 16 to 12
        Apr 30, 2018 to Mar 28, 2019
      • Discretionary RAUM · $658M to $663M
        Apr 30, 2018 to Mar 28, 2019
      • HNW RAUM · $653M to $655M
        Apr 30, 2018 to Mar 28, 2019
      • Individual RAUM · $65,000 to $195,000
        Apr 30, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $2.6M to $5.1M
        Apr 30, 2018 to Mar 28, 2019
      • RAUM · $658M to $663M
        Apr 30, 2018 to Mar 28, 2019
      • Advisory employees · 3 to 2
        Feb 27, 2018 to Mar 31, 2018
      • Charity clients · unset to 0.0
        Feb 27, 2018 to Mar 31, 2018
      • Corporate clients · unset to 1.0
        Feb 27, 2018 to Mar 31, 2018
      • HNW clients · unset to 327.0
        Feb 27, 2018 to Mar 31, 2018
      • Individual clients · unset to 2.0
        Feb 27, 2018 to Mar 31, 2018
      • Pension plan clients · unset to 0.0
        Feb 27, 2018 to Mar 31, 2018
      • Pooled vehicle clients · unset to 12.0
        Feb 27, 2018 to Mar 31, 2018
      • Assets in custody · $5.1M to $4.8M
        Feb 27, 2018 to Mar 31, 2018
      • Private funds · 15 to 16
        Feb 27, 2018 to Mar 31, 2018
      • Discretionary RAUM · $581M to $658M
        Feb 27, 2018 to Mar 31, 2018
      • HNW RAUM · unset to 652839300.0
        Feb 27, 2018 to Mar 31, 2018
      • Individual RAUM · unset to 65000.0
        Feb 27, 2018 to Mar 31, 2018
      • Pension RAUM · unset to 0.0
        Feb 27, 2018 to Mar 31, 2018
      • Pooled vehicle RAUM · unset to 2635900.0
        Feb 27, 2018 to Mar 31, 2018
      • RAUM · $581M to $658M
        Feb 27, 2018 to Mar 31, 2018
      • Assets in custody · unset to 5094976.0
        Jan 3, 2018 to Feb 27, 2018
      • Custody of client assets · false to true
        Jan 3, 2018 to Feb 27, 2018
      • Other offices · unset to 1.0
        Aug 12, 2017 to Jan 3, 2018
      • Accounts · unset to 17.0
        Apr 13, 2017 to Aug 12, 2017
      • Private funds · unset to 15
        Apr 13, 2017 to Aug 12, 2017
      • Discretionary RAUM · unset to 581483000.0
        Apr 13, 2017 to Aug 12, 2017
      • Non-discretionary RAUM · unset to 0.0
        Apr 13, 2017 to Aug 12, 2017
      • RAUM · unset to 581483000.0
        Apr 13, 2017 to Aug 12, 2017
      Signals
      1 dated events
      • C••• I••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 31, 2017 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026
      Across the graphs

      C••• I••••••••• A••••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

      Checking your plan…