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• E••••• C••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 298716SEC 801-114246IAPD
Latest filing Mar 30, 2020
First filing on the tape Oct 4, 2018 · 6 filings
RAUM
$30.0M
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
22
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$30.0M gross assets
History
6 filings and snapshots on the tape
RAUM$30.0M as of Mar 30, 2020
Mar 11, 2019$28.6M then
HNW client RAUM$0 as of Mar 30, 2020
Mar 11, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 11, 20190 then
Employees (5.A)22 as of Mar 30, 2020
Mar 11, 201915 then
Private funds1 as of Mar 30, 2020
Mar 11, 20191 then
RAUM +4.7% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2020; 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
$30.0MderivedRAUM 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
+4.7%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
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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$30.0M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C• T•••• F••• I• L•Private Equity Fund$28.4M3Mar 11, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• R••••••• N•••••••• · Managing Membercontrol
        since 08/2018 · owns 50% to 75%
      • M••••••••• C••••••• J••• · Managing Membercontrol
        since 08/2018 · owns 50% to 75%
      • M•••••• C••••••• L•• · Chief Compliance Officercontrol
        since 12/2019 · owns less than 5%
      Related persons
      Schedule D 7.A
      • C• T•••• G•• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 15 to 22
        Feb 10, 2020 to Mar 30, 2020
      • Discretionary RAUM · $28.6M to $30.0M
        Feb 10, 2020 to Mar 30, 2020
      • Pooled vehicle RAUM · $28.6M to $30.0M
        Feb 10, 2020 to Mar 30, 2020
      • RAUM · $28.6M to $30.0M
        Feb 10, 2020 to Mar 30, 2020
      • Accounts · 0 to 1
        Oct 4, 2018 to Mar 11, 2019
      • Pooled vehicle clients · 0 to 1
        Oct 4, 2018 to Mar 11, 2019
      • Employees · 10 to 15
        Oct 4, 2018 to Mar 11, 2019
      • Private funds · unset to 1
        Oct 4, 2018 to Mar 11, 2019
      • Discretionary RAUM · $0 to $28.6M
        Oct 4, 2018 to Mar 11, 2019
      • Pooled vehicle RAUM · $0 to $28.6M
        Oct 4, 2018 to Mar 11, 2019
      • RAUM · $0 to $28.6M
        Oct 4, 2018 to Mar 11, 2019
      Signals
      3 dated events
      • Jake James Wiley (Chief Compliance Officer & Director Of Operations) no longer on Schedule A of C• E••••• C••••••• L•• (listed 2019-03-11, absent 2019-12-19)
        Dec 19, 2019 · Control person left · inference
      • Lee C•••••• M••••• (Chief Compliance Officer) appeared on Schedule A of C• E••••• C••••••• L••
        Dec 19, 2019 · Control person joined · fact
      • C• E••••• C••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 4, 2018 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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