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•••••• F•••••••• M•••••••••

Former SEC-registered adviserCRD 297959SEC 801-119835IAPD
Legal name C•••••• F•••••••• M••••••••• C••••
Latest filing Mar 25, 2022
First filing on the tape Oct 21, 2020 · 6 filings
RAUM
$50.9M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
98%
$49.7M 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
6 filings and snapshots on the tape
RAUM$50.9M as of Mar 25, 2022
Mar 24, 2021$36.3M then
HNW client RAUM$38.6M as of Mar 25, 2022
Mar 24, 2021$22.7M then
State-registered IARs (5.B.3)0 as of Mar 25, 2022
Mar 24, 20210 then
Employees (5.A)1 as of Mar 25, 2022
Mar 24, 20211 then
Private funds: no history
RAUM +40% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 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
$1.5MderivedHNW RAUM over HNW clients
Average account
$366,313derivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
2.4%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
+40%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+7.5%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisersreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$38.6M76%
  • Individuals$11.1M22%
  • Pension and profit-sharing plans$1.2M2.4%
Individual clients
46reported
HNW clients
26reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
139reported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••• D••••• T•••••• · Owner, President And Chief Compliance Officercontrol
        since 06/2018 · 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
      • Accounts · 122 to 139
        Nov 22, 2021 to Mar 25, 2022
      • HNW clients · 22 to 26
        Nov 22, 2021 to Mar 25, 2022
      • Individual clients · 45 to 46
        Nov 22, 2021 to Mar 25, 2022
      • Discretionary RAUM · $36.3M to $47.6M
        Nov 22, 2021 to Mar 25, 2022
      • HNW RAUM · $22.7M to $38.6M
        Nov 22, 2021 to Mar 25, 2022
      • Individual RAUM · $12.5M to $11.1M
        Nov 22, 2021 to Mar 25, 2022
      • Non-discretionary RAUM · $0 to $3.3M
        Nov 22, 2021 to Mar 25, 2022
      • Pension RAUM · $1.2M to $1.2M
        Nov 22, 2021 to Mar 25, 2022
      • RAUM · $36.3M to $50.9M
        Nov 22, 2021 to Mar 25, 2022
      • Advisory activities · 1 to 2
        Mar 24, 2021 to Aug 5, 2021
      • Accounts · 61 to 122
        Jan 22, 2021 to Mar 24, 2021
      • HNW clients · 23 to 22
        Jan 22, 2021 to Mar 24, 2021
      • Individual clients · 37 to 45
        Jan 22, 2021 to Mar 24, 2021
      • Discretionary RAUM · $35.5M to $36.3M
        Jan 22, 2021 to Mar 24, 2021
      • HNW RAUM · $23.5M to $22.7M
        Jan 22, 2021 to Mar 24, 2021
      • Individual RAUM · $10.9M to $12.5M
        Jan 22, 2021 to Mar 24, 2021
      • Pension RAUM · $1.1M to $1.2M
        Jan 22, 2021 to Mar 24, 2021
      • RAUM · $35.5M to $36.3M
        Jan 22, 2021 to Mar 24, 2021
      Signals
      1 dated events
      • C•••••• F•••••••• M••••••••• filed its initial SEC registration (Form ADV)
        Oct 21, 2020 · 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