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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SEC-registered adviser
C•••••• I••••••••• P•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape May 25, 2018 · 10 filings
SEC status approved since Jun 25, 2018
RAUM
$707M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$707M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$707M as of Mar 30, 2026
Mar 29, 2019$1.9B then
HNW client RAUM: $1.4B
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 29, 20191 then
Employees (5.A)6 as of Mar 30, 2026
Mar 29, 20198 then
Private funds3 as of Mar 30, 2026
Mar 29, 20193 then
RAUM +4.8% over the last fiscal year+8.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $707MderivedRAUM 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
- $236MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.8%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $707M, 3 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
- 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$707M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $707M for 3 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••••••• C••••• O••••••••• L•• | Hedge Fund | $321M | 1 | Mar 31, 2015 |
| B•••••••• S•••••• O••••••••• L•• | Hedge Fund | $269M | 1 | Mar 31, 2015 |
| B•••••••• E••••••• O••••••••• L•• | Hedge Fund | $19.7M | 2 | Mar 29, 2018 |
Owners and control persons
Schedule A and B, latest filing
- M•••••••• K•••• W•••• · Managing Membercontrolsince 05/2018 · owns less than 5%
- W••••••••• D• C•••••••• · General Counsel And Ccocontrolsince 02/2019 · owns less than 5%
- M•••••••• K•••• W•••• · Managing Membercontrolsince 05/2018 · owns F of C•••••• I••••••••• H•••••••• L••
- W••••••••• D• C•••••••• · Membercontrolsince 11/2019 · owns 50% to 75% of C•••••• I••••••••• H•••••••• L••
Entity owners
- C•••••• I••••••••• H•••••••• L•• · Sole Memberdirect · owns 75% or more
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
- Assets in custody · $675M to $707MMar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $675M to $707MMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $675M to $707MMar 28, 2025 to Mar 30, 2026
- RAUM · $675M to $707MMar 28, 2025 to Mar 30, 2026
- Assets in custody · $610M to $675MMar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- State-registered IARs · 1 to 0Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $610M to $675MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $610M to $675MMar 28, 2024 to Mar 28, 2025
- RAUM · $610M to $675MMar 28, 2024 to Mar 28, 2025
- Assets in custody · $554M to $610MMar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $554M to $610MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $554M to $610MMar 31, 2023 to Mar 28, 2024
- RAUM · $554M to $610MMar 31, 2023 to Mar 28, 2024
- Assets in custody · $585M to $554MMar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $585M to $554MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $585M to $554MMar 31, 2022 to Mar 31, 2023
- RAUM · $585M to $554MMar 31, 2022 to Mar 31, 2023
- Assets in custody · $560M to $585MMar 31, 2021 to Mar 31, 2022
- Employees · 7 to 6Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $567M to $585MMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $567M to $585MMar 31, 2021 to Mar 31, 2022
- RAUM · $567M to $585MMar 31, 2021 to Mar 31, 2022
- Related bank · false to trueMar 31, 2021 to Mar 31, 2022
- Advisory activities · 3 to 2Feb 4, 2020 to Mar 31, 2021
- Assets in custody · $520M to $560MFeb 4, 2020 to Mar 31, 2021
- Other offices · 1 to 0Feb 4, 2020 to Mar 31, 2021
- Discretionary RAUM · $525M to $567MFeb 4, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $525M to $567MFeb 4, 2020 to Mar 31, 2021
- RAUM · $525M to $567MFeb 4, 2020 to Mar 31, 2021
- Accounts · 5 to 3Mar 29, 2019 to Feb 4, 2020
- Assets in custody · $467M to $520MMar 29, 2019 to Feb 4, 2020
- Employees · 8 to 7Mar 29, 2019 to Feb 4, 2020
- Discretionary RAUM · $1.8B to $525MMar 29, 2019 to Feb 4, 2020
- HNW RAUM · 1405450830.0 to unsetMar 29, 2019 to Feb 4, 2020
- Non-discretionary RAUM · $50.5M to $0Mar 29, 2019 to Feb 4, 2020
- Pooled vehicle RAUM · $467M to $525MMar 29, 2019 to Feb 4, 2020
- RAUM · $1.9B to $525MMar 29, 2019 to Feb 4, 2020
- Accounts · 2 to 5Oct 22, 2018 to Mar 29, 2019
- Advisory employees · 3 to 6Oct 22, 2018 to Mar 29, 2019
Signals
9 dated events
- C•••••• I••••••••• P•••••••• L•• reported RAUM $524.9M, down 72% from $1.9B (2019-03-29 to 2020-02-04)Feb 4, 2020 · RAUM change · derived
- Douglas Grant Birdwell (Ceo) no longer on Schedule A of C•••••• I••••••••• P•••••••• L•• (listed 2019-03-29, absent 2020-02-04)Feb 4, 2020 · Control person left · inference
- Harold Christopher Clasen (Coo) no longer on Schedule A of C•••••• I••••••••• P•••••••• L•• (listed 2019-03-29, absent 2020-02-04)Feb 4, 2020 · Control person left · inference
- Michael Ronald Jamison (Cco) no longer on Schedule A of C•••••• I••••••••• P•••••••• L•• (listed 2019-03-29, absent 2020-02-04)Feb 4, 2020 · Control person left · inference
- Samuel Raymond Mandra (Cco) no longer on Schedule A of C•••••• I••••••••• P•••••••• L•• (listed 2018-10-22, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Hellerstein Rebecca Rose (Co-Cio) no longer on Schedule A of C•••••• I••••••••• P•••••••• L•• (listed 2018-10-22, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Michael Ronald Jamison (Cco) appeared on Schedule A of C•••••• I••••••••• P•••••••• L••Mar 29, 2019 · Control person joined · fact
- Christine D Woodhouse (General Counsel) appeared on Schedule A of C•••••• I••••••••• P•••••••• L••Mar 29, 2019 · Control person joined · fact
- C•••••• I••••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)May 25, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-924-3640reportedpublic record, Form ADV, Mar 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $707Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026