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.
SEC-registered adviser
1•• C•••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Oct 15, 2018 · 14 filings
SEC status approved since Nov 16, 2018
RAUM
$1.1B
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
9
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$1.1B as of Mar 31, 2026
Mar 7, 2019$57.9M then
HNW client RAUM$0 as of Mar 31, 2026
Mar 7, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 7, 20190 then
Employees (5.A)9 as of Mar 31, 2026
Mar 7, 201963 then
Private funds: no history
RAUM +104% over the last fiscal year+91% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- $1.1BderivedRAUM 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
- +104%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 investment companiesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$1.1B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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=9.0derived
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••••• S••••••••• E•••••••• · Chief Financial Officercontrolsince 08/2018 · owns less than 5%
- E•••• C••••••••• R••••••• · Chief Legal Officercontrolsince 08/2018 · owns less than 5%
- L•••••• K•••• A•••••• · Chief Operating Officer And Chief Compliance Officercontrolsince 08/2018 · owns less than 5%
- S••••• D••••• N••• · Chief Executive Officercontrolsince 08/2018 · owns less than 5%
- S••••• D••••• N••• · Limited Partner/Chief Executive Officer/Chief Investment Officercontrolsince 04/2008 · owns 50% to 75% of O•• W•••••• S••••• C•••••• M••••••••• L••
- S••••• D••••• N••• · Managing Member/Ownercontrolsince 04/2008 · owns 75% or more of O•• W•••••• S••••• C•••••• H•••••••• L••
Entity owners
- O•• W•••••• S••••• C•••••• M••••••••• L•• · Direct Ownerdirect · owns 75% or more
- O•• W•••••• S••••• C•••••• H•••••••• L•• · General Partnerindirect · owns F of O•• W•••••• S••••• C•••••• M••••••••• L••
Related persons
Schedule D 7.A
- O•• W•••••• S••••• C•••••• M••••••••• L••investment adviserbanknRAUM $11B
- O•• W•••••• S••••• C•••••• P••••••• G•• L••investment adviserbankpooled vehicle sponsorn
- O•• C•••••• P••••••• G• I• • L••investment adviserbankpooled vehicle sponsorn
- O•• C•••••• P••••••• G• V• L••investment adviserbankpooled vehicle sponsorn
- O•• C•••••• P••••••• G• V• • L••investment adviserbankpooled vehicle sponsorn
- O•• C•••••• P••••••• G• V•••• L••investment adviserbankpooled vehicle sponsorn
Advisers that list 1•• C•••••• A•••••••• L•• as a related person
- 150522 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 110.0 to 9.0 (-92.0%) between the annual amendments of 2025-03-20 and 2026-03-31; the peer median change was 0.0% (1109 comparable advisers, 0.0th percentile of changes)peers: asset managers, $1B to $5B (1,109) · 0.3% percentile
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $561,000,000 to $1,142,600,000 (+104.0%) between the annual amendments of 2025-03-20 and 2026-03-31; the peer median change was +11.0% (1368 comparable advisers, 94.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 94% percentile
What changed
consecutive filings, newest first
- Advisory employees · 53 to 0Dec 22, 2025 to Mar 31, 2026
- BD registered reps · 5 to 9Dec 22, 2025 to Mar 31, 2026
- Employees · 110 to 9Dec 22, 2025 to Mar 31, 2026
- Discretionary RAUM · $561M to $1.1BDec 22, 2025 to Mar 31, 2026
- RAUM · $561M to $1.1BDec 22, 2025 to Mar 31, 2026
- Advisory employees · 48 to 53Feb 20, 2024 to Mar 20, 2025
- BD registered reps · 4 to 5Feb 20, 2024 to Mar 20, 2025
- Employees · 97 to 110Feb 20, 2024 to Mar 20, 2025
- Financial planning clients · unset to Feb 20, 2024 to Mar 20, 2025
- Discretionary RAUM · $266M to $561MFeb 20, 2024 to Mar 20, 2025
- RAUM · $266M to $561MFeb 20, 2024 to Mar 20, 2025
- Advisory employees · 47 to 48Mar 27, 2023 to Feb 20, 2024
- Employees · 96 to 97Mar 27, 2023 to Feb 20, 2024
- Discretionary RAUM · $163M to $266MMar 27, 2023 to Feb 20, 2024
- RAUM · $163M to $266MMar 27, 2023 to Feb 20, 2024
- Advisory employees · 45 to 47Mar 31, 2022 to Mar 27, 2023
- BD registered reps · 0 to 4Mar 31, 2022 to Mar 27, 2023
- Employees · 87 to 96Mar 31, 2022 to Mar 27, 2023
- Discretionary RAUM · $162M to $163MMar 31, 2022 to Mar 27, 2023
- RAUM · $162M to $163MMar 31, 2022 to Mar 27, 2023
- Advisory employees · 37 to 45Jun 18, 2021 to Mar 31, 2022
- Employees · 75 to 87Jun 18, 2021 to Mar 31, 2022
- Discretionary RAUM · $131M to $162MJun 18, 2021 to Mar 31, 2022
- RAUM · $131M to $162MJun 18, 2021 to Mar 31, 2022
- Discretionary RAUM · $93.4M to $131MJun 11, 2020 to Mar 30, 2021
- RAUM · $93.4M to $131MJun 11, 2020 to Mar 30, 2021
- Advisory employees · 29 to 37Apr 12, 2019 to Mar 27, 2020
- Employees · 63 to 75Apr 12, 2019 to Mar 27, 2020
- Discretionary RAUM · $57.9M to $93.4MApr 12, 2019 to Mar 27, 2020
- RAUM · $57.9M to $93.4MApr 12, 2019 to Mar 27, 2020
- Accounts · 0 to 1Oct 15, 2018 to Mar 7, 2019
- Advisory employees · 32 to 29Oct 15, 2018 to Mar 7, 2019
- Employees · 64 to 63Oct 15, 2018 to Mar 7, 2019
- Discretionary RAUM · $0 to $57.9MOct 15, 2018 to Mar 7, 2019
- RAUM · $0 to $57.9MOct 15, 2018 to Mar 7, 2019
Signals
8 dated events
- 1•• C•••••• A•••••••• L•• reported RAUM $1.1B, up 104% from $561.0M (2025-12-22 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- 1•• C•••••• A•••••••• L•• reported RAUM $561.0M, up 111% from $266.0M (2024-02-20 to 2025-03-20)Mar 20, 2025 · RAUM change · derived
- 1•• C•••••• A•••••••• L•• reported RAUM $266.0M, up 63% from $162.8M (2023-03-27 to 2024-02-20)Feb 20, 2024 · RAUM change · derived
- Rebekka Jacquelyn Bonner (Chief Compliance Officer) no longer on Schedule A of 1•• C•••••• A•••••••• L•• (listed 2023-03-27, absent 2024-02-20)Feb 20, 2024 · Control person left · inference
- Rebekka Jacquelyn Bonner (Chief Compliance Officer) appeared on Schedule A of 1•• C•••••• A•••••••• L••Mar 31, 2022 · Control person joined · fact
- Naama Rosen (Chief Compliance Officer) no longer on Schedule A of 1•• C•••••• A•••••••• L•• (listed 2021-03-30, absent 2021-06-18)Jun 18, 2021 · Control person left · inference
- Naama Rosen (Chief Compliance Officer) appeared on Schedule A of 1•• C•••••• A•••••••• L••Jun 11, 2020 · Control person joined · fact
- 1•• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Oct 15, 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
- Website
- 1•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-957-2500reportedpublic record, Form ADV, Mar 31, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026