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••••• C•••••• M••••••••• L•
Latest filing Apr 9, 2025
First filing on the tape Jul 13, 2018 · 8 filings
SEC status approved since Aug 13, 2018
RAUM
$3.7B
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
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$3.7B as of Apr 9, 2025
Mar 29, 2019$2.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 9, 2025
Mar 29, 20190 then
Employees (5.A)8 as of Apr 9, 2025
Mar 29, 20196 then
Private funds1 as of Apr 9, 2025
Mar 29, 20192 then
RAUM +3.9% over the last fiscal year+1.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 9, 2025; 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
- $1.2BderivedRAUM 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
- +3.9%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
- $3.7B, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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$3.7B100%
- 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
- $3.7B for 3 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••• C•••••• M••••• F•••• L••• | Hedge Fund | $3.5B | 196 | Feb 14, 2012 |
| C••••• C•••••• F••• I•• L•••no longer reported | Hedge Fund | $23.1M | 7 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D•••••• S••••••• R••••• · Managing Membercontrolsince 02/2006 · owns 75% or more
- F••••• B••••• J•••• · Chief Operating Officercontrolsince 02/2010 · owns less than 5%
- G•••••• S•••• J••••• · Chief Financial Officer/Chief Compliance Officercontrolsince 02/2010 · owns less than 5%
- D•••••• S••••••• R••••• · Sole Ownercontrolsince 03/2018 · owns 75% or more of C••••• C•••••• P••••••• I• L••
Entity owners
- C••••• C•••••• P••••••• I• L•• · General Partnerdirect · owns less than 5%
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 · $3.5B to $3.7BMar 28, 2024 to Apr 9, 2025
- Financial planning clients · unset to Mar 28, 2024 to Apr 9, 2025
- Discretionary RAUM · $3.5B to $3.7BMar 28, 2024 to Apr 9, 2025
- Pooled vehicle RAUM · $3.5B to $3.7BMar 28, 2024 to Apr 9, 2025
- RAUM · $3.5B to $3.7BMar 28, 2024 to Apr 9, 2025
- Assets in custody · $3.8B to $3.5BMar 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $3.8B to $3.5BMar 28, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $3.8B to $3.5BMar 28, 2023 to Mar 28, 2024
- RAUM · $3.8B to $3.5BMar 28, 2023 to Mar 28, 2024
- Accounts · 4 to 3Mar 30, 2022 to Mar 28, 2023
- Pooled vehicle clients · 4 to 3Mar 30, 2022 to Mar 28, 2023
- Assets in custody · $3.5B to $3.8BMar 30, 2022 to Mar 28, 2023
- Private funds · 2 to 1Mar 30, 2022 to Mar 28, 2023
- Discretionary RAUM · $3.5B to $3.8BMar 30, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $3.5B to $3.8BMar 30, 2022 to Mar 28, 2023
- RAUM · $3.5B to $3.8BMar 30, 2022 to Mar 28, 2023
- Related adviser · true to falseMar 30, 2022 to Mar 28, 2023
- Assets in custody · $3.8B to $3.5BMar 29, 2021 to Mar 30, 2022
- Discretionary RAUM · $3.8B to $3.5BMar 29, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $3.8B to $3.5BMar 29, 2021 to Mar 30, 2022
- RAUM · $3.8B to $3.5BMar 29, 2021 to Mar 30, 2022
- Assets in custody · $3.2B to $3.8BMar 23, 2020 to Mar 29, 2021
- Discretionary RAUM · $3.2B to $3.8BMar 23, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $3.2B to $3.8BMar 23, 2020 to Mar 29, 2021
- RAUM · $3.2B to $3.8BMar 23, 2020 to Mar 29, 2021
- Accounts · 5 to 4Mar 29, 2019 to Mar 23, 2020
- Advisory employees · 1 to 3Mar 29, 2019 to Mar 23, 2020
- Advisory activities · 2 to 1Mar 29, 2019 to Mar 23, 2020
- Assets in custody · $2.8B to $3.2BMar 29, 2019 to Mar 23, 2020
- Employees · 6 to 8Mar 29, 2019 to Mar 23, 2020
- Discretionary RAUM · $2.8B to $3.2BMar 29, 2019 to Mar 23, 2020
- Pooled vehicle RAUM · $2.8B to $3.2BMar 29, 2019 to Mar 23, 2020
- RAUM · $2.8B to $3.2BMar 29, 2019 to Mar 23, 2020
- Advisory employees · 6 to 1Jul 13, 2018 to Mar 29, 2019
- Assets in custody · $3.3B to $2.8BJul 13, 2018 to Mar 29, 2019
- Employees · 10 to 6Jul 13, 2018 to Mar 29, 2019
- Discretionary RAUM · $3.3B to $2.8BJul 13, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $3.3B to $2.8BJul 13, 2018 to Mar 29, 2019
- RAUM · $3.3B to $2.8BJul 13, 2018 to Mar 29, 2019
Signals
2 dated events
- C••••• C•••••• M••••••••• L• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $3.7B)Dec 20, 2025 · Left the SEC roster · derived
- C••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Jul 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