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•••••••• W••••• M••••••••• L••
Latest filing Aug 4, 2026
First filing on the tape Jun 28, 2017 · 19 filings
SEC status approved since Jul 31, 2017
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
27%
$324M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$237M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$1.2B as of Aug 4, 2026
Jun 29, 2018$0 then
HNW client RAUM$270M as of Aug 4, 2026
Jun 29, 2018$0 then
State-registered IARs (5.B.3)3 as of Aug 4, 2026
Jun 29, 20184 then
Employees (5.A)6 as of Aug 4, 2026
Jun 29, 20188 then
Private funds: no history
RAUM +18% over the last fiscal year+10% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Aug 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $237MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 97derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 71%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 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
- 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)
- 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
- Charitable organizations$511M43%
- Pension and profit-sharing plans$331M28%
- High-net-worth individuals$270M23%
- Individuals$54.8M4.6%
- Corporations and businesses$18.8M1.6%
- Individual clients
- 271reported
- HNW clients
- 216reported
- Pension plan clients
- 22reported
- Charitable clients
- 202reported
- Accounts
- 723reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.27 fund_share=0.0 institutional_share=0.71 related_bd=true related_bank=false bd_reps=5.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• A••••• K••••• | Medford Lakes, Nj | Jul 16, 2026 | 13 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- D••••••• L• N••• F•••••• to H•• W••••• M••••••••• L••Jul 30, 2018 · Other
Joined, latest
- D•••• A••••• K••••• from U•• F•••••••• S••••••• I•••Jul 16, 2026 · Wirehouse to independent RIA
- D••••••• L• N••• F•••••• from C•••••••• G••••• I••••••••• I•••Jul 31, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• J••• A•••••• · Chief Compliance Officercontrolsince 06/2017 · owns less than 5%
- D•••• R•••••• C•••••• · Chief Executive Officercontrolsince 01/2024 · owns less than 5%
- W•••••• S••••• H••••• · Managing Directorcontrolsince 06/2018 · owns less than 5%
Entity owners
- C•••••••• G••••• H•••••••• I••• · Parent Companydirect · owns 75% or more
- A••••••••• O• G•• F•••••••• S••••••• G•••• D•• A••••••••• · Shareholderindirect · owns 75% or more of S•••••• F•••••••• H•••••••• I•••
- S•••••• F•••••••• H•••••••• I••• · Shareholderindirect · owns 75% or more of C•••••••• G••••• H•••••••• I•••
Related persons
Schedule D 7.A
- C•••••••• D••••••••• I•••broker-dealern
- C•••••••• G••••• I••••••••• I•••investment advisernRAUM $9.0B
Advisers that list C•••••••• W••••• M••••••••• L•• as a related person
- 113360 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, Tx · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Aug 4, 2026institutional share of RAUM of 71% against a peer median of 3% (1362 comparable advisers, 99.0th percentile, 17.0 robust deviations)peers: independent wealth managers, $1B to $5B (1,362) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 688 to 723Jun 29, 2025 to Jun 23, 2026
- Advisory activities · 3 to 5Jun 29, 2025 to Jun 23, 2026
- Charity clients · 183 to 202Jun 29, 2025 to Jun 23, 2026
- HNW clients · 201 to 216Jun 29, 2025 to Jun 23, 2026
- Individual clients · 270 to 271Jun 29, 2025 to Jun 23, 2026
- Discretionary RAUM · $1.1B to $1.2BJun 29, 2025 to Jun 23, 2026
- HNW RAUM · $241M to $270MJun 29, 2025 to Jun 23, 2026
- Individual RAUM · $55.2M to $54.8MJun 29, 2025 to Jun 23, 2026
- Non-discretionary RAUM · $141,756 to $162,178Jun 29, 2025 to Jun 23, 2026
- Pension RAUM · $319M to $331MJun 29, 2025 to Jun 23, 2026
- RAUM · $1.1B to $1.2BJun 29, 2025 to Jun 23, 2026
- Accounts · 670 to 688Jun 28, 2024 to Jun 29, 2025
- BD registered reps · 3 to 5Jun 28, 2024 to Jun 29, 2025
- Charity clients · 162 to 183Jun 28, 2024 to Jun 29, 2025
- Corporate clients · 15 to 12Jun 28, 2024 to Jun 29, 2025
- HNW clients · 40 to 201Jun 28, 2024 to Jun 29, 2025
- Individual clients · 436 to 270Jun 28, 2024 to Jun 29, 2025
- Pension plan clients · 17 to 22Jun 28, 2024 to Jun 29, 2025
- Employees · 5 to 6Jun 28, 2024 to Jun 29, 2025
- Financial planning clients · 0 to 0Jun 28, 2024 to Jun 29, 2025
- Discretionary RAUM · $1.1B to $1.1BJun 28, 2024 to Jun 29, 2025
- HNW RAUM · $192M to $241MJun 28, 2024 to Jun 29, 2025
- Individual RAUM · $124M to $55.2MJun 28, 2024 to Jun 29, 2025
- Non-discretionary RAUM · $0 to $141,756Jun 28, 2024 to Jun 29, 2025
- Pension RAUM · $118M to $319MJun 28, 2024 to Jun 29, 2025
- RAUM · $1.1B to $1.1BJun 28, 2024 to Jun 29, 2025
- Accounts · 643 to 670Feb 14, 2024 to Jun 28, 2024
- BD registered reps · 5 to 3Feb 14, 2024 to Jun 28, 2024
- Charity clients · 157 to 162Feb 14, 2024 to Jun 28, 2024
- Corporate clients · 19 to 15Feb 14, 2024 to Jun 28, 2024
- HNW clients · 0 to 40Feb 14, 2024 to Jun 28, 2024
- Individual clients · 450 to 436Feb 14, 2024 to Jun 28, 2024
- Insurance-licensed employees · 2 to 3Feb 14, 2024 to Jun 28, 2024
- State-registered IARs · 4 to 3Feb 14, 2024 to Jun 28, 2024
- Discretionary RAUM · $1.0B to $1.1BFeb 14, 2024 to Jun 28, 2024
- HNW RAUM · $0 to $192MFeb 14, 2024 to Jun 28, 2024
- Individual RAUM · $231M to $124MFeb 14, 2024 to Jun 28, 2024
- Pension RAUM · $106M to $118MFeb 14, 2024 to Jun 28, 2024
- RAUM · $1.0B to $1.1BFeb 14, 2024 to Jun 28, 2024
- Accounts · 603 to 643Jun 28, 2022 to Jun 30, 2023
Signals
3 dated events
- Charles Robert Doll (Chief Executive Officer) appeared on Schedule A of C•••••••• W••••• M••••••••• L••Feb 12, 2024 · Control person joined · fact
- Leo Michael Kern (President, Ceo, And Treasurer) no longer on Schedule A of C•••••••• W••••• M••••••••• L•• (listed 2023-06-30, absent 2024-02-12)Feb 12, 2024 · Control person left · inference
- C••••••• A•••••••• L•• 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.
How to reach
public business contact points only, each with its source
- Business email
- info@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- lambrosy@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- wharaway@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 713-243-6707reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 713-243-6709reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 713-243-6711reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- crossmarkwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 713-260-9000reportedpublic record, Form ADV, Aug 4, 2026
- Contact form
- crossmarkwealth.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- crossmarkwealth.com/who-we-arereportedpublished by the firm, firm site, Sep 15, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $237Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026