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.

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Former SEC-registered adviser

C••••• C•••••• M•••••••••

Former SEC-registered adviserDewitt, MichiganCRD 288631SEC 801-110909IAPD
Legal name C•••••• L••
Latest filing Jun 25, 2024
First filing on the tape Jun 28, 2017 · 15 filings
RAUM
$649M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
24%
$157M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$649M as of Mar 20, 2024
Mar 29, 2018$677M then
HNW client RAUM$108M as of Mar 20, 2024
Mar 29, 2018$48.1M then
State-registered IARs (5.B.3)3 as of Mar 20, 2024
Mar 29, 20183 then
Employees (5.A)6 as of Mar 20, 2024
Mar 29, 20186 then
Private funds: no history
RAUM +14% over the last fiscal year-0.7% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 25, 2024; every figure names its basis
RAUM per advisor
$216MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
76derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$2.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
75%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+14%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.3%derived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$486M75%
  • High-net-worth individuals$108M17%
  • Individuals$49.9M7.7%
  • Corporations and businesses$5.1M0.8%
Individual clients
160reported
HNW clients
69reported
Pension plan clients
28reported
Charitable clients
0reported
Accounts
259reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C••••••• A•••••• K•••••• · Chief Compliance Officer/Chief Financial Officer/Treasurercontrol
      since 04/2021 · owns less than 5%
    • E••• S••••••• M•••••• · President/Ceo/Chairman/Secretarycontrol
      since 04/2021 · owns 50% to 75%
    • V•••••• D••••••• J••• · Vice President, Chief Operating Officercontrol
      since 04/2021 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Dewitt, Mi · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 675 to 259
      Nov 7, 2023 to Mar 20, 2024
    • Advisory activities · 4 to 5
      Nov 7, 2023 to Mar 20, 2024
    • HNW clients · 61 to 69
      Nov 7, 2023 to Mar 20, 2024
    • Individual clients · 165 to 160
      Nov 7, 2023 to Mar 20, 2024
    • Commission compensation · false to true
      Nov 7, 2023 to Mar 20, 2024
    • Discretionary RAUM · $568M to $649M
      Nov 7, 2023 to Mar 20, 2024
    • HNW RAUM · $85.6M to $108M
      Nov 7, 2023 to Mar 20, 2024
    • Individual RAUM · $48.1M to $49.9M
      Nov 7, 2023 to Mar 20, 2024
    • Non-discretionary RAUM · $754,564 to $0
      Nov 7, 2023 to Mar 20, 2024
    • Pension RAUM · $431M to $486M
      Nov 7, 2023 to Mar 20, 2024
    • RAUM · $569M to $649M
      Nov 7, 2023 to Mar 20, 2024
    • Accounts · 651 to 675
      Nov 1, 2022 to Mar 28, 2023
    • Corporate clients · 4 to 2
      Nov 1, 2022 to Mar 28, 2023
    • HNW clients · 55 to 61
      Nov 1, 2022 to Mar 28, 2023
    • Individual clients · 172 to 165
      Nov 1, 2022 to Mar 28, 2023
    • Pension plan clients · 25 to 28
      Nov 1, 2022 to Mar 28, 2023
    • Discretionary RAUM · $783M to $568M
      Nov 1, 2022 to Mar 28, 2023
    • HNW RAUM · $91.9M to $85.6M
      Nov 1, 2022 to Mar 28, 2023
    • Individual RAUM · $55.8M to $48.1M
      Nov 1, 2022 to Mar 28, 2023
    • Non-discretionary RAUM · $0 to $754,564
      Nov 1, 2022 to Mar 28, 2023
    • Pension RAUM · $629M to $431M
      Nov 1, 2022 to Mar 28, 2023
    • RAUM · $783M to $569M
      Nov 1, 2022 to Mar 28, 2023
    • Accounts · 638 to 651
      Apr 30, 2021 to Mar 18, 2022
    • Corporate clients · 5 to 4
      Apr 30, 2021 to Mar 18, 2022
    • Individual clients · 174 to 172
      Apr 30, 2021 to Mar 18, 2022
    • Pension plan clients · 26 to 25
      Apr 30, 2021 to Mar 18, 2022
    • Discretionary RAUM · $662M to $783M
      Apr 30, 2021 to Mar 18, 2022
    • HNW RAUM · $79.5M to $91.9M
      Apr 30, 2021 to Mar 18, 2022
    • Individual RAUM · $48.0M to $55.8M
      Apr 30, 2021 to Mar 18, 2022
    • Pension RAUM · $528M to $629M
      Apr 30, 2021 to Mar 18, 2022
    • RAUM · $662M to $783M
      Apr 30, 2021 to Mar 18, 2022
    • Advisory employees · 4 to 3
      Mar 31, 2021 to Apr 30, 2021
    • Employees · 7 to 6
      Mar 31, 2021 to Apr 30, 2021
    • State-registered IARs · 4 to 3
      Mar 31, 2021 to Apr 30, 2021
    • Related adviser · true to false
      Mar 31, 2021 to Apr 30, 2021
    • Accounts · 712 to 638
      Jun 26, 2020 to Mar 31, 2021
    • Corporate clients · 6 to 5
      Jun 26, 2020 to Mar 31, 2021
    • HNW clients · 57 to 55
      Jun 26, 2020 to Mar 31, 2021
    • Individual clients · 191 to 174
      Jun 26, 2020 to Mar 31, 2021
    • Pension plan clients · 29 to 26
      Jun 26, 2020 to Mar 31, 2021
    Signals
    14 dated events
    • S•••••• M•••••• E•• left C••••• C•••••• M••••••••• for A••••••••• I••••••••• A••••••• (registered 2024-10-21)
      Nov 26, 2024 · Advisor changed firm · fact
    • D•••••• J••• V••••• left C••••• C•••••• M••••••••• for A••••••••• I••••••••• A••••••• (registered 2024-10-07)
      Nov 26, 2024 · Advisor changed firm · fact
    • M•••••• J••• V••••••• left C••••• C•••••• M••••••••• for A••••••••• I••••••••• A••••••• (registered 2026-01-01)
      Nov 26, 2024 · Advisor changed firm · fact
    • C••••• C•••••• M•••••••••'s advisors moved to A••••••••• I••••••••• A••••••• (Dewitt, MI): 3 of 3 registered, on the same day
      Nov 26, 2024 · Firm absorbed (people side) · derived
    • C••••• C•••••• M••••••••• reported RAUM $568.8M, down 27% from $783.1M (2022-11-01 to 2023-03-28)
      Mar 28, 2023 · RAUM change · derived
    • Kohleen Angela Chisman (Chief Compliance Officer/Chief Financial Officer/Treasurer) appeared on Schedule A of C••••• C•••••• M•••••••••
      Apr 30, 2021 · Control person joined · fact
    • Henry Charles Embs (President, Chief Compliance Officer And Manager) no longer on Schedule A of C••••• C•••••• M••••••••• (listed 2021-03-31, absent 2021-04-30)
      Apr 30, 2021 · Control person left · inference
    • S M•••••• Gilmore (Manager) no longer on Schedule A of C••••• C•••••• M••••••••• (listed 2021-03-31, absent 2021-04-30)
      Apr 30, 2021 · Control person left · inference
    • Mike Goran Jurkovic (Manager) no longer on Schedule A of C••••• C•••••• M••••••••• (listed 2021-03-31, absent 2021-04-30)
      Apr 30, 2021 · Control person left · inference
    • C••••• C•••••• M••••••••• reported RAUM $661.9M, down 29% from $933.4M (2020-06-26 to 2021-03-31)
      Mar 31, 2021 · RAUM change · derived
    • C••••• C•••••• M••••••••• reported RAUM $933.4M, up 32% from $704.9M (2019-03-28 to 2020-03-26)
      Mar 26, 2020 · RAUM change · derived
    • C••••• C•••••• M••••••••• reported RAUM $676.5M, up 30% from $521.9M (2017-06-28 to 2018-03-29)
      Mar 29, 2018 · RAUM change · derived
    • C••••• C•••••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Jun 28, 2017 · Succession (Item 4) · fact
    • C••••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)
      Jun 28, 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