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•••• M••••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Aug 31, 2017 · 28 filings
SEC status approved since Sep 29, 2017
RAUM
$139M
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
8
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$139M as of Mar 24, 2026
Mar 19, 2018$158M then
HNW client RAUM$0 as of Mar 24, 2026
Mar 19, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 19, 20182 then
Employees (5.A)8 as of Mar 24, 2026
Mar 19, 20185 then
Private funds3 as of Mar 24, 2026
Mar 19, 20181 then
RAUM +20% over the last fiscal year+7.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 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
- $46.2MderivedRAUM 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
- +20%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
- Custody
- $139M, 3 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$139M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $139M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•• F•••• L•• | Hedge Fund | $89.0M | 12 | Aug 25, 2021 |
| C••••••••• F•••• L•• | Hedge Fund | $53.3M | 2 | Mar 28, 2016 |
| C•••• B••• J•• F•••• L•• | Hedge Fund | $36.6M | 12 | Jun 17, 2021 |
| C•••• B••••••• F•••• L•• • S••••• I•no longer reported | Hedge Fund | $1.7M | 14 | Jul 30, 2019 |
| C•••• B••••••• O••••••• F•••• L•••no longer reported | Hedge Fund | $0 | 0 | Jul 22, 2020 |
| C•••• B••••••• F•••• L•• • S••••• I•no longer reported | Hedge Fund | $0 | 0 | Jul 22, 2020 |
Owners and control persons
Schedule A and B, latest filing
- C••••• B••••• A•••••• · Chief Compliance Officercontrolsince 07/2017 · owns less than 5%
- S•••••••• M•••••••• A••••••• · Chief Operating Officercontrolsince 07/2017 · owns less than 5%
- P•••• G•••••• O•••• · Managing Membercontrolsince 01/2013 · owns 75% or more of S••••••••• H•••••••• L••
Entity owners
- S••••••••• H•••••••• L•• · Managerdirect · owns 75% or more
Related persons
Schedule D 7.A
- S••••••••• E••• L••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $115M to $139MNov 7, 2025 to Mar 24, 2026
- Discretionary RAUM · $115M to $139MNov 7, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $115M to $139MNov 7, 2025 to Mar 24, 2026
- RAUM · $115M to $139MNov 7, 2025 to Mar 24, 2026
- Advisory employees · 5 to 7Mar 18, 2025 to Jul 9, 2025
- Employees · 6 to 8Mar 18, 2025 to Jul 9, 2025
- Financial planning clients · unset to Mar 18, 2025 to Jul 9, 2025
- Assets in custody · $179M to $115MJun 17, 2024 to Mar 18, 2025
- Discretionary RAUM · $179M to $115MJun 17, 2024 to Mar 18, 2025
- Pooled vehicle RAUM · $179M to $115MJun 17, 2024 to Mar 18, 2025
- RAUM · $179M to $115MJun 17, 2024 to Mar 18, 2025
- Related adviser · true to falseMar 22, 2024 to May 14, 2024
- Related bank · true to falseMar 22, 2024 to May 14, 2024
- Advisory employees · 4 to 5Sep 12, 2023 to Mar 22, 2024
- Assets in custody · $113M to $179MSep 12, 2023 to Mar 22, 2024
- Employees · 5 to 6Sep 12, 2023 to Mar 22, 2024
- Discretionary RAUM · $113M to $179MSep 12, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $113M to $179MSep 12, 2023 to Mar 22, 2024
- RAUM · $113M to $179MSep 12, 2023 to Mar 22, 2024
- Advisory employees · 3 to 4Mar 3, 2022 to Mar 21, 2023
- Assets in custody · $206M to $113MMar 3, 2022 to Mar 21, 2023
- Employees · 4 to 5Mar 3, 2022 to Mar 21, 2023
- Discretionary RAUM · $206M to $113MMar 3, 2022 to Mar 21, 2023
- Pooled vehicle RAUM · $206M to $113MMar 3, 2022 to Mar 21, 2023
- RAUM · $206M to $113MMar 3, 2022 to Mar 21, 2023
- Accounts · 6 to 3Aug 25, 2021 to Mar 3, 2022
- Advisory employees · 6 to 3Aug 25, 2021 to Mar 3, 2022
- Pooled vehicle clients · 4 to 3Aug 25, 2021 to Mar 3, 2022
- Assets in custody · $186M to $206MAug 25, 2021 to Mar 3, 2022
- Employees · 7 to 4Aug 25, 2021 to Mar 3, 2022
- Private funds · 6 to 3Aug 25, 2021 to Mar 3, 2022
- Discretionary RAUM · $186M to $206MAug 25, 2021 to Mar 3, 2022
- Pooled vehicle RAUM · $186M to $206MAug 25, 2021 to Mar 3, 2022
- RAUM · $186M to $206MAug 25, 2021 to Mar 3, 2022
- Accounts · 4 to 6Jun 17, 2021 to Aug 25, 2021
- Assets in custody · $195M to $186MJun 17, 2021 to Aug 25, 2021
- Private funds · 5 to 6Jun 17, 2021 to Aug 25, 2021
- Discretionary RAUM · $195M to $186MJun 17, 2021 to Aug 25, 2021
- Pooled vehicle RAUM · $195M to $186MJun 17, 2021 to Aug 25, 2021
- RAUM · $195M to $186MJun 17, 2021 to Aug 25, 2021
Signals
1 dated events
- C••••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 31, 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
- 312-256-9627reportedpublic record, Form ADV, Mar 24, 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