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•••••• L••
Latest filing Sep 4, 2020
First filing on the tape Aug 15, 2017 · 9 filings
RAUM
$190M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$180M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$190M as of Mar 30, 2020
Apr 2, 2018$129M then
HNW client RAUM$180M as of Mar 30, 2020
Apr 2, 2018$109M then
State-registered IARs (5.B.3)3 as of Mar 30, 2020
Apr 2, 20183 then
Employees (5.A)9 as of Mar 30, 2020
Apr 2, 20188 then
Private funds: no history
RAUM +26% over the last fiscal yearIARs 3 to 3offices 1 to 0
Practice profile
derived from the filing of Sep 4, 2020; every figure names its basis
- RAUM per advisor
- $63.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $5.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$180M95%
- Charitable organizations$9.5M5.0%
- Individual clients
- n/areported
- HNW clients
- 34reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 36reported
- Financial planning clients
- n/areported
- 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
- A••••••• B•••• to R•••••••• S•••••••Feb 2, 2021 · RIA to RIA
- C••••••••• L•••• K•••• to R•••••••• S•••••••Feb 2, 2021 · RIA to RIA
- B•••••• T•••••• M••••• to R••••••••• F••••• O••••••• L••Feb 1, 2021 · RIA to RIA
Joined, latest
- B•••••• T•••••• M••••• from S••••••• E••••• M••••••••• L••Sep 7, 2020 · RIA to RIA
- A••••••• B•••• from P•••••• W••••• M••••••••• L••May 1, 2018 · Other
- C••••••••• L•••• K•••• from P•••••• W••••• M••••••••• L••Sep 29, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for R•••••••• S•••••••Feb 2, 2021 · Houston, Tx
- 2 joined from P•••••• W••••• M••••••••• L••Sep 25, 2017 · San Francisco, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••••• G•••• T••••• · Coo And Ccocontrolsince 08/2017 · owns less than 5%
- K••••• C••••••••• L•••• · Ceo And Managing Membercontrolsince 08/2017 · owns less than 5%
- R•••••• G•••••• W•••••• · Ciocontrolsince 08/2017 · owns less than 5%
Entity owners
- T•• N••• S•••• I••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- N••••••• S••••••••• L••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 163 to 36Sep 10, 2019 to Mar 30, 2020
- Charity clients · 2.0 to unsetSep 10, 2019 to Mar 30, 2020
- HNW clients · 30 to 34Sep 10, 2019 to Mar 30, 2020
- Employees · 11 to 9Sep 10, 2019 to Mar 30, 2020
- Other offices · 1 to 0Sep 10, 2019 to Mar 30, 2020
- Discretionary RAUM · $150M to $190MSep 10, 2019 to Mar 30, 2020
- HNW RAUM · $142M to $180MSep 10, 2019 to Mar 30, 2020
- RAUM · $150M to $190MSep 10, 2019 to Mar 30, 2020
- Related broker-dealer · false to trueMar 29, 2019 to Sep 10, 2019
- Accounts · 92 to 163Sep 7, 2018 to Mar 29, 2019
- HNW clients · 16 to 30Sep 7, 2018 to Mar 29, 2019
- Assets in custody · 35777744.0 to unsetSep 7, 2018 to Mar 29, 2019
- Employees · 8 to 11Sep 7, 2018 to Mar 29, 2019
- Discretionary RAUM · $129M to $150MSep 7, 2018 to Mar 29, 2019
- HNW RAUM · $109M to $142MSep 7, 2018 to Mar 29, 2019
- RAUM · $129M to $150MSep 7, 2018 to Mar 29, 2019
- Related adviser · true to falseSep 7, 2018 to Mar 29, 2019
- Advisory employees · 5 to 6Jan 14, 2018 to Apr 2, 2018
- Assets in custody · unset to 35777744.0Jan 14, 2018 to Apr 2, 2018
- Employees · 5 to 8Jan 14, 2018 to Apr 2, 2018
- State-registered IARs · 2 to 3Jan 14, 2018 to Apr 2, 2018
- Accounts · 0 to 92Aug 15, 2017 to Jan 14, 2018
- Charity clients · unset to 2.0Aug 15, 2017 to Jan 14, 2018
- HNW clients · unset to 16.0Aug 15, 2017 to Jan 14, 2018
- Other offices · unset to 1.0Aug 15, 2017 to Jan 14, 2018
- Discretionary RAUM · $0 to $129MAug 15, 2017 to Jan 14, 2018
- HNW RAUM · unset to 109399757.0Aug 15, 2017 to Jan 14, 2018
- RAUM · $0 to $129MAug 15, 2017 to Jan 14, 2018
Signals
3 dated events
- Howard Steven Schow (Member) no longer on Schedule A of C••••••••• C•••••• L•• (listed 2019-03-29, absent 2019-09-10)Sep 10, 2019 · Control person left · inference
- William George Rooney (Cio) appeared on Schedule A of C••••••••• C•••••• L••Mar 29, 2019 · Control person joined · fact
- C••••••••• C•••••• L•• filed its initial SEC registration (Form ADV)Aug 15, 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