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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SEC-registered adviser
C•••••••• A••••••••• L••
Latest filing Apr 1, 2026
First filing on the tape Jun 12, 2017 · 12 filings
SEC status approved since Apr 24, 2024
RAUM
$8.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$8.2M as of Apr 1, 2026
Apr 2, 2018$171M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2026
Apr 2, 20180 then
Employees (5.A)5 as of Apr 1, 2026
Apr 2, 20186 then
Private funds1 as of Apr 1, 2026
Apr 2, 20184 then
RAUM +1.4% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $8.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$8.2M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••••• G••••• E••••• M••••• F•••• L•no longer reported | Hedge Fund | $168M | 2 | Jun 12, 2017 |
| C•••••••• E••••• P•••••••• L• | Hedge Fund | $9.2M | 2 | Mar 20, 2024 |
| C•••••••• P••••••• F•••• L•no longer reported | Hedge Fund | $8.8M | 3 | May 18, 2012 |
| C•••••••• E••••• M••••• F•••• L•no longer reported | Hedge Fund | $4.8M | 3 | May 18, 2012 |
| C•••••••• E•• F•••• L•••no longer reported | Hedge Fund | $730,000 | 2 | Mar 31, 2016 |
Owners and control persons
Schedule A and B, latest filing
- C••••••••• J••••• H• · Chief Compliance Officercontrolsince 12/2023 · owns less than 5%
- C••••••••• J•••••• A• · President, Managing Membercontrolsince 02/2005 · owns 75% or more
Related persons
Schedule D 7.A
- C•••••••• M••••••••• L••investment advisernRAUM $4.6B
Advisers that list C•••••••• A••••••••• L•• as a related person
- 109587 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $8.1M to $8.2MMar 31, 2025 to Apr 1, 2026
- Pooled vehicle RAUM · $8.1M to $8.2MMar 31, 2025 to Apr 1, 2026
- RAUM · $8.1M to $8.2MMar 31, 2025 to Apr 1, 2026
- Advisory employees · 5 to 4Mar 27, 2024 to Mar 31, 2025
- Employees · 6 to 5Mar 27, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $9.2M to $8.1MMar 27, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $9.2M to $8.1MMar 27, 2024 to Mar 31, 2025
- RAUM · $9.2M to $8.1MMar 27, 2024 to Mar 31, 2025
- Accounts · 2 to 1May 16, 2022 to Mar 20, 2024
- Pooled vehicle clients · 2 to 1May 16, 2022 to Mar 20, 2024
- Private funds · 3 to 1May 16, 2022 to Mar 20, 2024
- Discretionary RAUM · $15.9M to $9.2MMay 16, 2022 to Mar 20, 2024
- Pooled vehicle RAUM · $15.9M to $9.2MMay 16, 2022 to Mar 20, 2024
- RAUM · $15.9M to $9.2MMay 16, 2022 to Mar 20, 2024
- Accounts · 5 to 2Apr 30, 2021 to May 16, 2022
- Pooled vehicle clients · 5 to 2Apr 30, 2021 to May 16, 2022
- Discretionary RAUM · $181M to $15.9MApr 30, 2021 to May 16, 2022
- Pooled vehicle RAUM · $181M to $15.9MApr 30, 2021 to May 16, 2022
- RAUM · $181M to $15.9MApr 30, 2021 to May 16, 2022
- Discretionary RAUM · $165M to $181MMay 2, 2020 to Apr 30, 2021
- Pooled vehicle RAUM · $165M to $181MMay 2, 2020 to Apr 30, 2021
- RAUM · $165M to $181MMay 2, 2020 to Apr 30, 2021
- Discretionary RAUM · $138M to $165MMar 30, 2019 to May 2, 2020
- Pooled vehicle RAUM · $138M to $165MMar 30, 2019 to May 2, 2020
- RAUM · $138M to $165MMar 30, 2019 to May 2, 2020
- Accounts · 6 to 5May 1, 2018 to Mar 30, 2019
- Pooled vehicle clients · 6 to 5May 1, 2018 to Mar 30, 2019
- Private funds · 4 to 3May 1, 2018 to Mar 30, 2019
- Discretionary RAUM · $195M to $138MMay 1, 2018 to Mar 30, 2019
- Pooled vehicle RAUM · $171M to $138MMay 1, 2018 to Mar 30, 2019
- RAUM · $195M to $138MMay 1, 2018 to Mar 30, 2019
- Discretionary RAUM · $171M to $195MApr 2, 2018 to May 1, 2018
- RAUM · $171M to $195MApr 2, 2018 to May 1, 2018
- Accounts · 7 to 6Jun 12, 2017 to Apr 2, 2018
- Pooled vehicle clients · unset to 6.0Jun 12, 2017 to Apr 2, 2018
- Other offices · unset to 0.0Jun 12, 2017 to Apr 2, 2018
- Discretionary RAUM · $160M to $171MJun 12, 2017 to Apr 2, 2018
- Pooled vehicle RAUM · unset to 170500000.0Jun 12, 2017 to Apr 2, 2018
- RAUM · $160M to $171MJun 12, 2017 to Apr 2, 2018
Signals
4 dated events
- J Richard Simek (Cco) no longer on Schedule A of C•••••••• A••••••••• L•• (listed 2022-05-16, absent 2024-03-20)Mar 20, 2024 · Control person left · inference
- H James Castellini (Chief Compliance Officer) appeared on Schedule A of C•••••••• A••••••••• L••Mar 20, 2024 · Control person joined · fact
- C•••••••• A••••••••• L•• reported RAUM $15.9M, down 91% from $181.3M (2021-04-30 to 2022-05-16)May 16, 2022 · RAUM change · derived
- C•••••••• A••••••••• L•• filed its initial SEC registration (Form ADV)Jun 12, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 312 456 9682reportedpublic record, Form ADV, Apr 1, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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