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•• N••• A•••••••• L••

Former SEC-registered adviserBethesda, MarylandCRD 292301SEC 801-113043IAPD
Latest filing Mar 31, 2022
First filing on the tape Mar 29, 2018 · 13 filings
RAUM
$1.4B
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
33
19 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$1.4B as of Mar 31, 2022
Mar 28, 2019$2.3B then
HNW client RAUM$0 as of Mar 31, 2022
Mar 28, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 28, 20190 then
Employees (5.A)33 as of Mar 31, 2022
Mar 28, 2019457 then
Private funds: no history
RAUM -26% over the last fiscal year-15% a year over threeIARs 0 to 0offices 3 to 1
Practice profile
derived from the filing of Mar 31, 2022; 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
$1.4BderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-26%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
$1.4B, 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)
  • 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$1.4B100%
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
$1.4B 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••• D••••••• W•••••• · Co-Chief Executive Officercontrol
        since 03/2022 · owns less than 5%
      • H••••••••• A••• B•••••• · Chief Compliance Officer, Secretarycontrol
        since 03/2022 · owns less than 5%
      • J••••••••• R•••••• J••••• · Co-Chief Executive Officercontrol
        since 03/2022 · owns less than 5%
      • V•••••••• P•••• V•••••• · Chief Financial Officer, Treasurercontrol
        since 03/2022 · owns less than 5%
      • F•••••••• L••••••• N•• · Managercontrol
        since 02/2022 · owns F of A••••• V••••••• P••••••• L••
      • K•••••• M••••••• J••••• · Managercontrol
        since 09/2008 · owns F of K•• I••••••••• L••
      • K•••••• M••••• J•••••••• · Managercontrol
        since 12/2021 · owns F of N• C•• L••
      • K•••••• N••••• N•• · Membercontrol
        since 12/2021 · owns 75% or more of N• C•• L••
      • L•••••• J•••• N•• · Managercontrol
        since 02/2022 · owns F of A••••• V••••••• P••••••• L••
      Entity owners
      • C•• A•••••• H•••••••• L•• · Member
        direct · owns 75% or more
      • N•• H•••••• L•• · Member
        direct · owns 75% or more
      • A••••• V••••••• G• L•• · Co-General Partner
        indirect · owns F of C•• J• L•
      • A••••• V••••••• L•• · Member
        indirect · owns 25% to 50% of C•• J• L•
      • A••••• V••••••• L•• · Member
        indirect · owns 75% or more of A••••• V••••••• G• L••
      • A••••• V••••••• P••••••• L•• · Member
        indirect · owns 50% to 75% of A••••• V••••••• L••
      • C•• B•••• G• L•• · General Partner
        indirect · owns F of C•• B•••• L•
      • C•• B•••• L• · Member
        indirect · owns 75% or more of N•• H•••••• L••
      • C•• J• L• · Member
        indirect · owns 75% or more of C•• B•••• G• L••
      • H•• C•• C•••••• L•• · Member
        indirect · owns 75% or more of H•• C•• P••••• L••
      • H•• C•• G• L•• · Co-General Partner
        indirect · owns F of C•• J• L•
      • H•• C•• I••••••• L•• · Member
        indirect · owns 75% or more of H•• C•• L••
      • H•• C•• L•• · Member
        indirect · owns 25% to 50% of C•• J• L•
      • H•• C•• L•• · Member
        indirect · owns 75% or more of H•• C•• G• L••
      • H•• C•• P••••• L•• · Member
        indirect · owns 75% or more of H•• C•• I••••••• L••
      • K•• I••••••••• L•• · Member
        indirect · owns 50% to 75% of H•• C•• C•••••• L••
      • N• C•• L•• · Member
        indirect · owns 75% or more of S•• C•• I••••••••• L••
      • P•••• V••••••• L•• · Member
        indirect · owns 50% to 75% of A••••• V••••••• L••
      • S•• C•• I••••••••• L•• · Member
        indirect · owns 50% to 75% of H•• C•• C•••••• L••
      Related persons
      Schedule D 7.A
      • N•• H•••••• L••
        pooled vehicle sponsory
      Advisers that list C•• N••• A•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY3 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 14 to 19
        Jul 22, 2021 to Mar 31, 2022
      • Assets in custody · $1.9B to $1.4B
        Jul 22, 2021 to Mar 31, 2022
      • Employees · 36 to 33
        Jul 22, 2021 to Mar 31, 2022
      • HQ city · BOCA RATON to BETHESDA
        Jul 22, 2021 to Mar 31, 2022
      • HQ state · FL to MD
        Jul 22, 2021 to Mar 31, 2022
      • Other offices · 4 to 1
        Jul 22, 2021 to Mar 31, 2022
      • Discretionary RAUM · $1.9B to $1.4B
        Jul 22, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $1.9B to $1.4B
        Jul 22, 2021 to Mar 31, 2022
      • RAUM · $1.9B to $1.4B
        Jul 22, 2021 to Mar 31, 2022
      • Related adviser · true to false
        Jul 22, 2021 to Mar 31, 2022
      • HQ city · LOS ANGELES to BOCA RATON
        Mar 24, 2021 to Jun 3, 2021
      • HQ state · CA to FL
        Mar 24, 2021 to Jun 3, 2021
      • Other offices · 3 to 4
        Mar 24, 2021 to Jun 3, 2021
      • Advisory employees · 124 to 14
        Jan 22, 2021 to Mar 24, 2021
      • Assets in custody · $2.1B to $1.9B
        Jan 22, 2021 to Mar 24, 2021
      • Employees · 362 to 36
        Jan 22, 2021 to Mar 24, 2021
      • Other offices · 5 to 3
        Jan 22, 2021 to Mar 24, 2021
      • Discretionary RAUM · $2.1B to $1.9B
        Jan 22, 2021 to Mar 24, 2021
      • Pooled vehicle RAUM · $2.1B to $1.9B
        Jan 22, 2021 to Mar 24, 2021
      • RAUM · $2.1B to $1.9B
        Jan 22, 2021 to Mar 24, 2021
      • Related broker-dealer · true to false
        Apr 29, 2020 to Nov 13, 2020
      • Advisory employees · 156 to 124
        Mar 2, 2020 to Mar 30, 2020
      • Assets in custody · $2.3B to $2.1B
        Mar 2, 2020 to Mar 30, 2020
      • Employees · 457 to 362
        Mar 2, 2020 to Mar 30, 2020
      • Discretionary RAUM · $2.3B to $2.1B
        Mar 2, 2020 to Mar 30, 2020
      • Pooled vehicle RAUM · $2.3B to $2.1B
        Mar 2, 2020 to Mar 30, 2020
      • RAUM · $2.3B to $2.1B
        Mar 2, 2020 to Mar 30, 2020
      • Advisory employees · 181 to 156
        Dec 6, 2018 to Mar 28, 2019
      • BD registered reps · 4 to 0
        Dec 6, 2018 to Mar 28, 2019
      • Assets in custody · $3.0B to $2.3B
        Dec 6, 2018 to Mar 28, 2019
      • Employees · 494 to 457
        Dec 6, 2018 to Mar 28, 2019
      • Financial planning clients · 1-10 to unset
        Dec 6, 2018 to Mar 28, 2019
      • Other offices · 4 to 5
        Dec 6, 2018 to Mar 28, 2019
      • Discretionary RAUM · $3.0B to $2.3B
        Dec 6, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $3.0B to $2.3B
        Dec 6, 2018 to Mar 28, 2019
      • RAUM · $3.0B to $2.3B
        Dec 6, 2018 to Mar 28, 2019
      Signals
      26 dated events
      • C•• N••• A•••••••• L•• reported RAUM $1.4B, down 26% from $1.9B (2021-07-22 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • V•••••• P••• V••••••• (Chief Financial Officer, Treasurer) appeared on Schedule A of C•• N••• A•••••••• L••
        Mar 31, 2022 · Control person joined · fact
      • Jaffer Mahmood Khimji (Manager) appeared on Schedule A of C•• N••• A•••••••• L••
        Mar 31, 2022 · Control person joined · fact
      • Nmn Najma Khimji (Member) appeared on Schedule A of C•• N••• A•••••••• L••
        Mar 31, 2022 · Control person joined · fact
      • Jafferali Mehdi Khimji (Manager) appeared on Schedule A of C•• N••• A•••••••• L••
        Mar 31, 2022 · Control person joined · fact
      • Nmn Joel Landau (Manager) appeared on Schedule A of C•• N••• A•••••••• L••
        Mar 31, 2022 · Control person joined · fact
      • Nmn Leopold Friedman (Manager) appeared on Schedule A of C•• N••• A•••••••• L••
        Mar 31, 2022 · Control person joined · fact
      • Joseph Ronald Jeanneault (Co-Chief Executive Officer) appeared on Schedule A of C•• N••• A•••••••• L••
        Mar 31, 2022 · Control person joined · fact
      • William Douglas Bath (Co-Chief Executive Officer) appeared on Schedule A of C•• N••• A•••••••• L••
        Mar 31, 2022 · Control person joined · fact
      • Bridget Ann Harrington (Chief Compliance Officer, Secretary) appeared on Schedule A of C•• N••• A•••••••• L••
        Mar 31, 2022 · Control person joined · fact
      • Mark Ronald Sanders (Vice President And Secretary) no longer on Schedule A of C•• N••• A•••••••• L•• (listed 2021-07-22, absent 2022-03-31)
        Mar 31, 2022 · Control person left · inference
      • Ann Kristen Whealon (Chief Compliance Officer) no longer on Schedule A of C•• N••• A•••••••• L•• (listed 2021-07-22, absent 2022-03-31)
        Mar 31, 2022 · Control person left · inference
      • Christopher Marc Ganzi (Chief Executive Officer And President) no longer on Schedule A of C•• N••• A•••••••• L•• (listed 2021-07-22, absent 2022-03-31)
        Mar 31, 2022 · Control person left · inference
      • Jacky Wu (Vice President And Treasurer) no longer on Schedule A of C•• N••• A•••••••• L•• (listed 2021-07-22, absent 2022-03-31)
        Mar 31, 2022 · Control person left · inference
      • D•••• H••••• (Vice President) no longer on Schedule A of C•• N••• A•••••••• L•• (listed 2021-07-22, absent 2022-03-31)
        Mar 31, 2022 · Control person left · inference
      • Nmn Leon Schwartzman (Vice President) no longer on Schedule A of C•• N••• A•••••••• L•• (listed 2021-07-22, absent 2022-03-31)
        Mar 31, 2022 · Control person left · inference
      • Nmn Leon Schwartzman (Vice President) appeared on Schedule A of C•• N••• A•••••••• L••
        Jun 3, 2021 · Control person joined · fact
      • Joseph Thomas Barrack (Chairman) no longer on Schedule A of C•• N••• A•••••••• L•• (listed 2021-03-24, absent 2021-06-03)
        Jun 3, 2021 · Control person left · inference
      • Howard Jonathan Grunzweig (Vice President) no longer on Schedule A of C•• N••• A•••••••• L•• (listed 2021-03-24, absent 2021-06-03)
        Jun 3, 2021 · Control person left · inference
      • Jacky Wu (Vice President And Treasurer) appeared on Schedule A of C•• N••• A•••••••• L••
        Jan 22, 2021 · Control person joined · fact
      • Christopher Marc Ganzi (Chief Executive Officer And President) appeared on Schedule A of C•• N••• A•••••••• L••
        Jan 22, 2021 · Control person joined · fact
      • Howard Jonathan Grunzweig (Vice President) appeared on Schedule A of C•• N••• A•••••••• L••
        Jan 22, 2021 · Control person joined · fact
      • D•••• H••••• (Vice President) appeared on Schedule A of C•• N••• A•••••••• L••
        Jan 22, 2021 · Control person joined · fact
      • Melvin Mark Hedstrom (Vice President) no longer on Schedule A of C•• N••• A•••••••• L•• (listed 2020-11-13, absent 2021-01-22)
        Jan 22, 2021 · Control person left · inference
      • James Darren Tangen (Vice President And Treasurer) no longer on Schedule A of C•• N••• A•••••••• L•• (listed 2020-03-30, absent 2020-04-29)
        Apr 29, 2020 · Control person left · inference
      • C•• N••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 29, 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