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••• M••••••• L••
Latest filing Mar 19, 2021
First filing on the tape Dec 14, 2017 · 11 filings
RAUM
$6.2B
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
294
99 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$6.2B as of Mar 19, 2021
Apr 30, 2019$8.7B then
HNW client RAUM$0 as of Mar 19, 2021
Apr 30, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 19, 2021
Apr 30, 20190 then
Employees (5.A)294 as of Mar 19, 2021
Apr 30, 2019457 then
Private funds: 1
RAUM -16% over the last fiscal yearIARs 0 to 0offices 4 to 3
Practice profile
derived from the filing of Mar 19, 2021; 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
- $6.2BderivedRAUM 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
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -16%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $6.2B, 1 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
- 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)
- 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$6.2B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.2B for 1 clientsreported
- Compensation
- % of AUM, performancereported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• T•••••• J••••• · Chairmancontrolsince 08/2017 · owns less than 5%
- G••••• M•••• C••••••••• · Chief Executive Officer And Presidentcontrolsince 07/2020 · owns less than 5%
- H•••••• D•••• · Vice Presidentcontrolsince 01/2021 · owns less than 5%
- S••••••• R•••••• M••• · Vice President, Secretarycontrolsince 08/2017 · owns less than 5%
- S••••••••• L•••• N•• · Chief Compliance Officercontrolsince 08/2017 · owns less than 5%
- W•• J•••• · Vice President, Treasurercontrolsince 07/2020 · owns less than 5%
Entity owners
- C••••• C•••••• I••••••••• A•••••••• L•• · Sole Memberdirect · owns 75% or more
- C••••• C•••••• I••••••••• H•••••• L•• · Memberindirect · owns 75% or more of C••••• C•••••• I••••••••• A•••••••• L••
- C••••• C•••••• O• S••••••••• L•• · Memberindirect · owns 75% or more of C••••• C•••••• I••••••••• H•••••• L••
- C••••• C•••••• O•••••••• C••••••• L•• · Memberindirect · owns 75% or more of C••••• C•••••• O• S••••••••• L••
- C••••• C••••••• I••• · Memberindirect · owns 75% or more of C••••• C•••••• O•••••••• C••••••• L•• · public reporting company
Related persons
Schedule D 7.A
- A••••• E••••• C••••••• L••pooled vehicle sponsorn
- A•••••• E• H••••••• G•• L••pooled vehicle sponsorn
- C• E••••• I••••••••• G•• L••pooled vehicle sponsorn
- C••• I• I••••••••• A••••••• L••investment advisern
- C••• V• I••••••••• A••••••• L••investment advisern
- C•• S••• H••••••• A• L••pooled vehicle sponsorn
- C•• C•••••• P•••• A••••••• L••investment advisern
- C•• C•••••• P•••• G•• L••pooled vehicle sponsorn
- C•• F••• A•••••••• L••investment advisern
- C•• N••• A•••••••• L••investment advisernRAUM $1.4B
- C•• O•• C•• P•••• G•• L••pooled vehicle sponsorn
- C•• O•• C•• P•••• I••••••••• A••••••• L••investment advisern
- C•• I••••• I•••• S•••••investment adviserpooled vehicle sponsorn
- C••••••••• G•• L••pooled vehicle sponsorn
- C•••••• S•••••••• P••••••• I••• L••pooled vehicle sponsorn
- C•••••• S•••••••• P•••••••• L••pooled vehicle sponsorn
- C••••• C••••• G•••••• P••••••• L••pooled vehicle sponsorn
- C•••••• S•••••••• P•••••••• L••pooled vehicle sponsorn
- C••••• B•••• C••••••••• G•••••• L••pooled vehicle sponsorn
- C••••• C•••••• • N• L••••••••• S•••••••investment advisern
- C••••• C•••••• ••••••••• N•••• V•••• L••pooled vehicle sponsorn
- C••••• C•••••• ••••••••• V•••• L••pooled vehicle sponsorn
- C••••• C•••••• ••• V•••• L••pooled vehicle sponsorn
- C••••• C•••••• A•••••••• L••investment advisern
- C••••• C•••••• C••••• I•• L•••pooled vehicle sponsorn
- C••••• C•••••• C••••• I••• L••pooled vehicle sponsorn
- C••••• C•••••• C••••• I•• L••pooled vehicle sponsorn
- C••••• C•••••• C••••• V• L•••pooled vehicle sponsorn
- C••••• C•••••• C•••••• L•••pooled vehicle sponsorn
- C••••• C•••••• I••• L•••pooled vehicle sponsorn
Advisers that list C••• M••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY15 employees
- Boston, MA5 employees
- Irvine, CA1 employees
What changed
consecutive filings, newest first
- Other offices · 4 to 3Jan 22, 2021 to Mar 19, 2021
- Accounts · 2 to 1Jan 22, 2021 to Mar 19, 2021
- Advisory employees · 124 to 99Jan 22, 2021 to Mar 19, 2021
- Pooled vehicle clients · 2 to 1Jan 22, 2021 to Mar 19, 2021
- Assets in custody · $7.4B to $6.2BJan 22, 2021 to Mar 19, 2021
- Employees · 362 to 294Jan 22, 2021 to Mar 19, 2021
- Private funds · 1 to unsetJan 22, 2021 to Mar 19, 2021
- Discretionary RAUM · $7.4B to $6.2BJan 22, 2021 to Mar 19, 2021
- Pooled vehicle RAUM · $7.4B to $6.2BJan 22, 2021 to Mar 19, 2021
- RAUM · $7.4B to $6.2BJan 22, 2021 to Mar 19, 2021
- Related broker-dealer · true to falseApr 29, 2020 to Nov 13, 2020
- Accounts · 1 to 2Oct 7, 2019 to Mar 30, 2020
- Advisory employees · 156 to 124Oct 7, 2019 to Mar 30, 2020
- Pooled vehicle clients · 1 to 2Oct 7, 2019 to Mar 30, 2020
- Assets in custody · $8.7B to $7.4BOct 7, 2019 to Mar 30, 2020
- Employees · 457 to 362Oct 7, 2019 to Mar 30, 2020
- Discretionary RAUM · $8.7B to $7.4BOct 7, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $8.7B to $7.4BOct 7, 2019 to Mar 30, 2020
- RAUM · $8.7B to $7.4BOct 7, 2019 to Mar 30, 2020
- Private funds · unset to 1Apr 30, 2019 to Oct 7, 2019
- Advisory employees · 181 to 156Dec 11, 2018 to Apr 30, 2019
- BD registered reps · 4 to 0Dec 11, 2018 to Apr 30, 2019
- Assets in custody · $8.2B to $8.7BDec 11, 2018 to Apr 30, 2019
- Employees · 494 to 457Dec 11, 2018 to Apr 30, 2019
- Financial planning clients · 1-10 to unsetDec 11, 2018 to Apr 30, 2019
- Discretionary RAUM · $8.2B to $8.7BDec 11, 2018 to Apr 30, 2019
- Pooled vehicle RAUM · $8.2B to $8.7BDec 11, 2018 to Apr 30, 2019
- RAUM · $8.2B to $8.7BDec 11, 2018 to Apr 30, 2019
- Accounts · 0 to 1Dec 14, 2017 to Mar 29, 2018
- Advisory employees · 182 to 181Dec 14, 2017 to Mar 29, 2018
- Pooled vehicle clients · 0 to 1Dec 14, 2017 to Mar 29, 2018
- Assets in custody · $0 to $8.2BDec 14, 2017 to Mar 29, 2018
- Employees · 496 to 494Dec 14, 2017 to Mar 29, 2018
- Financial planning clients · unset to 1-10Dec 14, 2017 to Mar 29, 2018
- Discretionary RAUM · $0 to $8.2BDec 14, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · $0 to $8.2BDec 14, 2017 to Mar 29, 2018
- RAUM · $0 to $8.2BDec 14, 2017 to Mar 29, 2018
- Related bank · true to falseDec 14, 2017 to Mar 29, 2018
Signals
6 dated events
- Melvin Mark Hedstrom (Vice President And Treasurer) no longer on Schedule A of C••• M••••••• L•• (listed 2020-11-13, absent 2021-01-22)Jan 22, 2021 · Control person left · inference
- Christopher Marc Ganzi (Chief Executive Officer And President) appeared on Schedule A of C••• M••••••• L••Jan 22, 2021 · Control person joined · fact
- Jacky Wu (Vice President, Treasurer) appeared on Schedule A of C••• M••••••• L••Jan 22, 2021 · Control person joined · fact
- D•••• H••••• (Vice President) appeared on Schedule A of C••• M••••••• L••Jan 22, 2021 · Control person joined · fact
- James Darren Tangen (Vice President) no longer on Schedule A of C••• M••••••• L•• (listed 2020-03-30, absent 2020-04-29)Apr 29, 2020 · Control person left · inference
- C••• M••••••• L•• filed its initial SEC registration (Form ADV)Dec 14, 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