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

H••••• P•••••••• L••

Former SEC-registered adviserColumbus, OhioCRD 289182SEC 801-110910IAPD
Latest filing Mar 28, 2018
First filing on the tape Jun 28, 2017 · 6 filings
RAUM
$111M
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
12
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$111M as of Mar 28, 2018
Jun 28, 2017$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)8 as of Mar 28, 2018
Jun 28, 20170 then
Employees (5.A)12 as of Mar 28, 2018
Jun 28, 20175 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 28, 2018; every figure names its basis
RAUM per advisor
$13.8MderivedRAUM 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
$111MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
4.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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
  • 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$111M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Joined, latest
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•••• N•••••• G••• · Chief Compliance Officercontrol
    since 01/2018 · owns less than 5%
  • S••••••• P•••••• C••• · Managing Membercontrol
    since 06/2017 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Palm Beach, FL1 employees
What changed
consecutive filings, newest first
  • Advisory employees · 6 to 9
    Jan 12, 2018 to Mar 28, 2018
  • Employees · 9 to 12
    Jan 12, 2018 to Mar 28, 2018
  • State-registered IARs · 5 to 8
    Jan 12, 2018 to Mar 28, 2018
  • Other offices · 0 to 1
    Jan 12, 2018 to Mar 28, 2018
  • Pension RAUM · unset to 110562528.0
    Jan 12, 2018 to Mar 28, 2018
  • Accounts · 0 to 1
    Aug 4, 2017 to Jan 11, 2018
  • Advisory employees · 9 to 6
    Aug 4, 2017 to Jan 11, 2018
  • Other offices · unset to 0.0
    Aug 4, 2017 to Jan 11, 2018
  • Discretionary RAUM · $0 to $111M
    Aug 4, 2017 to Jan 11, 2018
  • RAUM · $0 to $111M
    Aug 4, 2017 to Jan 11, 2018
  • Advisory employees · 0 to 9
    Jul 12, 2017 to Aug 4, 2017
  • Business name · C•••••• A•••••••• L•• to H••••• P•••••••• L••
    Jul 12, 2017 to Aug 4, 2017
  • Employees · 5 to 9
    Jul 12, 2017 to Aug 4, 2017
  • State-registered IARs · 0 to 5
    Jul 12, 2017 to Aug 4, 2017
  • Legal name · C•••••• A•••••••• L•• to H••••• P•••••••• L••
    Jul 12, 2017 to Aug 4, 2017
  • HQ city · unset to COLUMBUS
    Jun 28, 2017 to Jul 12, 2017
  • HQ state · unset to OH
    Jun 28, 2017 to Jul 12, 2017
Signals
1 dated events
  • 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.
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