DFX Intelligence

RIA Intelligence

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SEC-registered adviser

C•••••••• A••••••• L••

Other adviserNew York, New YorkCRD 290462SEC 801-122060IAPD

Latest filing Apr 30, 2026

First filing on the tape Nov 22, 2017 · 21 filings

SEC status approved since Aug 13, 2021

RAUM

$4.5B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

10 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

21 filings and snapshots on the tape

RAUM$4.5B as of Apr 30, 2026

Apr 29, 2022$13B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Apr 30, 2026

Apr 29, 20220 then

Employees (5.A)68 as of Apr 30, 2026

Apr 29, 202223 then

Private funds2 as of May 1, 2023

Apr 29, 20222 then

RAUM +4388% over the last fiscal year-29% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Apr 30, 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: $1.1BderivedRAUM 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: +4388%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, fixed feesreportedItem 5.E
Advisory activities: 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Corporations and businesses$4.5B100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 4reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=28.0derived

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

Every departure Every arrival

Private funds

2 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
I•••• C•••••• I• T••••	Other Private Fund	$0	5	Jul 7, 2020
I•••• C•••••• I•• T••••	Other Private Fund	$0	5	Jul 12, 2021

Owners and control persons

Schedule A and B, latest filing

B•••••••• L••••••• K••••••• · Chief Financial Officercontrol
since 04/2022 · owns less than 5%
B••••• J••• A• · Chief Compliance Officercontrol
since 06/2023 · owns less than 5%
M••••••••• G••• N•• · Chief Executive Officercontrol
since 12/2017 · owns less than 5%
W•••••• S•••••• J••• · General Counselcontrol
since 12/2023 · owns less than 5%

Entity owners

C•••••••• I••• · Sole Member
direct · owns 75% or more

Related persons

Schedule D 7.A

C•••••••• G••••• B••••• D••••• L••
broker-dealern
C•••••••• L••••• G••••• M•••••• L••
CPO or CTAn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

RAUM up 50 %Change between filings · filing Apr 30, 2026
RAUM (Item 5.F) moved from $100,260,878 to $4,500,183,636 (+4388.0%) between the annual amendments of 2025-04-30 and 2026-04-30; the peer median change was +11.0% (231 comparable advisers, 100.0th percentile of changes)
peers: other advisers, $1B to $5B (231) · 100% percentile

How anomalies are measured

What changed

consecutive filings, newest first

BD registered reps · 18 to 28
Aug 12, 2025 to Apr 30, 2026
Corporate clients · 4.0 to unset
Aug 12, 2025 to Apr 30, 2026
Employees · 48 to 68
Aug 12, 2025 to Apr 30, 2026
Discretionary RAUM · $100M to $4.5B
Aug 12, 2025 to Apr 30, 2026
RAUM · $100M to $4.5B
Aug 12, 2025 to Apr 30, 2026
Related adviser · false to true
Aug 12, 2025 to Apr 30, 2026
Accounts · 1 to 4
Apr 29, 2024 to Apr 30, 2025
Advisory employees · 29 to 10
Apr 29, 2024 to Apr 30, 2025
BD registered reps · 0 to 18
Apr 29, 2024 to Apr 30, 2025
Corporate clients · 1 to 4
Apr 29, 2024 to Apr 30, 2025
Employees · 29 to 48
Apr 29, 2024 to Apr 30, 2025
Financial planning clients · unset to
Apr 29, 2024 to Apr 30, 2025
Discretionary RAUM · $30.0M to $100M
Apr 29, 2024 to Apr 30, 2025
RAUM · $30.0M to $100M
Apr 29, 2024 to Apr 30, 2025
Accounts · 3 to 1
Jun 12, 2023 to Apr 29, 2024
Advisory employees · 20 to 29
Jun 12, 2023 to Apr 29, 2024
Advisory activities · 2 to 1
Jun 12, 2023 to Apr 29, 2024
Pooled vehicle clients · 2.0 to unset
Jun 12, 2023 to Apr 29, 2024
Employees · 20 to 29
Jun 12, 2023 to Apr 29, 2024
Private funds · 2 to unset
Jun 12, 2023 to Apr 29, 2024
Pooled vehicle RAUM · 0.0 to unset
Jun 12, 2023 to Apr 29, 2024
Accounts · 2 to 3
Mar 21, 2023 to May 1, 2023
Advisory employees · 23 to 20
Mar 21, 2023 to May 1, 2023
Advisory activities · 1 to 2
Mar 21, 2023 to May 1, 2023
Corporate clients · unset to 1.0
Mar 21, 2023 to May 1, 2023
Employees · 23 to 20
Mar 21, 2023 to May 1, 2023
Discretionary RAUM · $13B to $30.0M
Mar 21, 2023 to May 1, 2023
Pooled vehicle RAUM · $13B to $0
Mar 21, 2023 to May 1, 2023
RAUM · $13B to $30.0M
Mar 21, 2023 to May 1, 2023
Related broker-dealer · false to true
Mar 21, 2023 to May 1, 2023
Advisory employees · 10 to 23
Aug 16, 2021 to Apr 29, 2022
Employees · 30 to 23
Aug 16, 2021 to Apr 29, 2022
Discretionary RAUM · $8.7B to $13B
Aug 16, 2021 to Apr 29, 2022
Pooled vehicle RAUM · $8.7B to $13B
Aug 16, 2021 to Apr 29, 2022
RAUM · $8.7B to $13B
Aug 16, 2021 to Apr 29, 2022
Accounts · unset to 2.0
Apr 9, 2019 to Jul 12, 2021
Advisory employees · 0 to 10
Apr 9, 2019 to Jul 12, 2021
Pooled vehicle clients · 0 to 2
Apr 9, 2019 to Jul 12, 2021
Employees · 0 to 30
Apr 9, 2019 to Jul 12, 2021
Private funds · unset to 4
Apr 9, 2019 to Jul 12, 2021

Signals

11 dated events

C•••••••• A••••••• L•• reported RAUM $4.5B, up 4388% from $100.3M (2025-08-12 to 2026-04-30)
Apr 30, 2026 · RAUM change · derived
Joel Stuart Wexler (General Counsel) appeared on Schedule A of C•••••••• A••••••• L••
Apr 29, 2024 · Control person joined · fact
A Jon Borer (Chief Compliance Officer) appeared on Schedule A of C•••••••• A••••••• L••
Jun 12, 2023 · Control person joined · fact
John David Lamb (Chief Compliance Officer) no longer on Schedule A of C•••••••• A••••••• L•• (listed 2023-05-01, absent 2023-06-12)
Jun 12, 2023 · Control person left · inference
C•••••••• A••••••• L•• reported RAUM $30.0M, down 100% from $12.8B (2023-03-21 to 2023-05-01)
May 1, 2023 · RAUM change · derived
Kathleen Lindsey Baptiste (Chief Financial Officer) appeared on Schedule A of C•••••••• A••••••• L••
May 1, 2023 · Control person joined · fact
Hager Justin Klug (President) no longer on Schedule A of C•••••••• A••••••• L•• (listed 2022-12-01, absent 2023-03-21)
Mar 21, 2023 · Control person left · inference
C•••••••• A••••••• L•• reported RAUM $12.8B, up 47% from $8.7B (2021-08-16 to 2022-04-29)
Apr 29, 2022 · RAUM change · derived
Igor Teleshevsky (Vice President - R&D) no longer on Schedule A of C•••••••• A••••••• L•• (listed 2019-04-09, absent 2021-07-12)
Jul 12, 2021 · Control person left · inference
John J••••• T•••••• (Associate) no longer on Schedule A of C•••••••• A••••••• L•• (listed 2018-11-09, absent 2019-04-09)
Apr 9, 2019 · Control person left · inference
C•••••••• I••• filed its initial SEC registration (Form ADV)
Nov 22, 2017 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

C•••••••• A••••••• L•• · Venture Capital
shared crd · organization

How to reach

public business contact points only, each with its source

Principal office phone: 212-388-5204reportedpublic record, Form ADV, Apr 30, 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: Other 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