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••••

Former SEC-registered adviserScottsdale, ArizonaCRD 292579SEC 801-112618IAPD
Legal name C••••• L••
Latest filing Feb 22, 2021
First filing on the tape Feb 13, 2018 · 11 filings
RAUM
$200
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$200 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$200 as of Feb 22, 2021
Jan 31, 2020$7,228 then
HNW client RAUM$0 as of Feb 22, 2021
Mar 27, 2019$0 then
State-registered IARs (5.B.3)0 as of Feb 22, 2021
Mar 27, 20190 then
Employees (5.A)1 as of Feb 22, 2021
Mar 27, 20191 then
Private funds: no history
RAUM -97% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 22, 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
$200derivedRAUM 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
-97%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 individualsreportedItem 5.G
Wrap fee program
$200reportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$200100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 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
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
    • W•••••• S••• T••••• · President, Chief Operating Officer, And Chief Compliance Officercontrol
      since 01/2018 · owns 75% or more
    • T•••••• G••••• E••••• · Partner
      since 01/2018 · owns 75% or more of T• D••••••••• I••••••••• L••
    Entity owners
    • T• D••••••••• I••••••••• L•• · Partner
      direct · owns 10% to 25%
    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
    • Accounts · 4 to 1
      Jun 25, 2020 to Feb 22, 2021
    • Discretionary RAUM · $7,228 to $200
      Jun 25, 2020 to Feb 22, 2021
    • Individual RAUM · $7,228 to $200
      Jun 25, 2020 to Feb 22, 2021
    • RAUM · $7,228 to $200
      Jun 25, 2020 to Feb 22, 2021
    • Accounts · unset to 4.0
      Oct 30, 2019 to Jan 31, 2020
    • Advisory employees · 0 to 1
      Oct 30, 2019 to Jan 31, 2020
    • Advisory activities · 3 to 1
      Oct 30, 2019 to Jan 31, 2020
    • Discretionary RAUM · unset to 7228.0
      Oct 30, 2019 to Jan 31, 2020
    • Individual RAUM · $0 to $7,228
      Oct 30, 2019 to Jan 31, 2020
    • Non-discretionary RAUM · unset to 0.0
      Oct 30, 2019 to Jan 31, 2020
    • RAUM · unset to 7228.0
      Oct 30, 2019 to Jan 31, 2020
    • Accounts · 0.0 to unset
      Nov 15, 2018 to Mar 27, 2019
    • Discretionary RAUM · 0.0 to unset
      Nov 15, 2018 to Mar 27, 2019
    • Non-discretionary RAUM · 0.0 to unset
      Nov 15, 2018 to Mar 27, 2019
    • RAUM · 0.0 to unset
      Nov 15, 2018 to Mar 27, 2019
    • HQ city · unset to SCOTTSDALE
      Apr 17, 2018 to Nov 15, 2018
    • HQ state · unset to AZ
      Apr 17, 2018 to Nov 15, 2018
    • Wrap assets (manager) · unset to 0.0
      Apr 10, 2018 to Apr 17, 2018
    • Wrap assets (sponsor) · unset to 0.0
      Apr 10, 2018 to Apr 17, 2018
    • Accounts · unset to 0.0
      Feb 13, 2018 to Apr 10, 2018
    • Discretionary RAUM · unset to 0.0
      Feb 13, 2018 to Apr 10, 2018
    • Non-discretionary RAUM · unset to 0.0
      Feb 13, 2018 to Apr 10, 2018
    • RAUM · unset to 0.0
      Feb 13, 2018 to Apr 10, 2018
    Signals
    1 dated events
    • Cudos filed its initial SEC registration (Form ADV)
      Feb 13, 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