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•••••• M•••••••••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 292051SEC 801-112487IAPD
Legal name C••••••••• C•••••• M••••••••• L••
Latest filing Jan 29, 2018
First filing on the tape Jan 22, 2018 · 2 filings
RAUM
$136M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
64%
$87.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$136M as of Jan 29, 2018
Jan 22, 2018$136M then
HNW client RAUM$75.0M as of Jan 29, 2018
Jan 22, 2018$75.0M then
State-registered IARs (5.B.3)1 as of Jan 29, 2018
Jan 22, 20181 then
Employees (5.A)2 as of Jan 29, 2018
Jan 22, 20182 then
Private funds: no history
Practice profile
derived from the filing of Jan 29, 2018; every figure names its basis
RAUM per advisor
$136MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
190derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.0MderivedHNW RAUM over HNW clients
Average account
$398,827derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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 assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, publicationsreportedItem 5.G
Wrap fee program
$180MreportedItem 5.I
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)
  • compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$75.0M55%
  • Other investment advisers$45.0M33%
  • Individuals$12.0M8.8%
  • Charitable organizations$4.0M2.9%
Individual clients
115reported
HNW clients
75reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
341reported
Financial planning clients
n/areported
Wrap fee programs
$90.0M sponsored, $90.0M managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• A••••••• S•••••••• · Chief Executive Officercontrol
        since 12/2017 · owns less than 5%
      • J••••• L•••••• L••• · Chief Compliance Officercontrol
        since 01/2018 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      1 dated events
      • C••••••••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)
        Jan 22, 2018 · 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