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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
C•• E••••• P••••••• I• L••
Legal name C•• C•••••• M••••••••• L•••••
Latest filing Apr 26, 2019
First filing on the tape May 8, 2018 · 4 filings
RAUM
$337M
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
10
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$337M gross assets
History
4 filings and snapshots on the tape
RAUM$337M as of Apr 26, 2019
Aug 23, 2018$332M then
HNW client RAUM$0 as of Apr 26, 2019
May 8, 2018$0 then
State-registered IARs (5.B.3)0 as of Apr 26, 2019
May 8, 20180 then
Employees (5.A)10 as of Apr 26, 2019
May 8, 20182 then
Private funds3 as of Apr 26, 2019
Aug 23, 20182 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 26, 2019; 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
- $112MderivedRAUM 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
- 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, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$337M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- D••••• C••••••••• J••• · Managing Membercontrolsince 06/2018 · owns 75% or more
- K••••• S••••• A•••• · Chief Operating Officercontrolsince 06/2018 · owns less than 5%
Related persons
Schedule D 7.A
- C•• E••••• P••••••• I• L•••••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $337M to $337MMar 29, 2019 to Apr 26, 2019
- Pooled vehicle RAUM · $337M to $337MMar 29, 2019 to Apr 26, 2019
- RAUM · $337M to $337MMar 29, 2019 to Apr 26, 2019
- Accounts · 2 to 3Aug 23, 2018 to Mar 29, 2019
- Pooled vehicle clients · 2 to 3Aug 23, 2018 to Mar 29, 2019
- Assets in custody · 0.0 to unsetAug 23, 2018 to Mar 29, 2019
- Custody of client assets · true to falseAug 23, 2018 to Mar 29, 2019
- Private funds · 2 to 3Aug 23, 2018 to Mar 29, 2019
- Discretionary RAUM · $332M to $337MAug 23, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $332M to $337MAug 23, 2018 to Mar 29, 2019
- RAUM · $332M to $337MAug 23, 2018 to Mar 29, 2019
- Accounts · unset to 2.0May 8, 2018 to Aug 23, 2018
- Advisory employees · 2 to 5May 8, 2018 to Aug 23, 2018
- Pooled vehicle clients · 0 to 2May 8, 2018 to Aug 23, 2018
- Assets in custody · unset to 0.0May 8, 2018 to Aug 23, 2018
- Custody of client assets · false to trueMay 8, 2018 to Aug 23, 2018
- Employees · 2 to 10May 8, 2018 to Aug 23, 2018
- Legal name · C•• E••••• P••••••• I• L•• to C•• C•••••• M••••••••• L•••••May 8, 2018 to Aug 23, 2018
- Private funds · unset to 2May 8, 2018 to Aug 23, 2018
- Discretionary RAUM · unset to 331895268.0May 8, 2018 to Aug 23, 2018
- Non-discretionary RAUM · unset to 0.0May 8, 2018 to Aug 23, 2018
- Pooled vehicle RAUM · $0 to $332MMay 8, 2018 to Aug 23, 2018
- RAUM · unset to 331895268.0May 8, 2018 to Aug 23, 2018
Signals
1 dated events
- C•• E••••• P••••••• I• L•• filed its initial SEC registration (Form ADV)May 8, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•• E••••• P••••••• I• L•• · Private Equityshared crd · organization
- C•• E••••• P••••••• I• L•• · Venture Capitalshared crd · organization
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