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•••••• L••
Latest filing Mar 27, 2026
First filing on the tape Sep 19, 2018 · 29 filings
SEC status approved since Oct 23, 2018
RAUM
$486M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$486M
derived; firm RAUM over IAPD count
Employees
11
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$486M as of Mar 27, 2026
Mar 4, 2019$29.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 27, 2026
Mar 4, 20190 then
Employees (5.A)11 as of Mar 27, 2026
Mar 4, 20193 then
Private funds: no history
RAUM -1.3% over the last fiscal year-24% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $486MderivedRAUM 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
- $34.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 11.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.3%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, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, 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
- 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
- Insurance companies$486M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 14reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• C••••••••• K•••••• | New York, Ny | Oct 11, 2025 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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
- M••••••• M••••••• W•••• · Chief Executive Officer And Chief Investment Officercontrolsince 12/2021 · owns less than 5%
- P••••• C••••••• R• · Chaircontrolsince 12/2023 · owns 50% to 75% of M•••••• H•••••• L••
- D•••••• M•••••• W• · Chief Compliance Officersince 01/2022 · owns less than 5%
- M•••• S••••••• A••• · General Counselsince 12/2021 · owns less than 5%
- N•••••••• G••••••••• C•••••• · Presidentsince 12/2021 · owns less than 5%
Entity owners
- M•••••• H•••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- M•••••• H•••••• L••real estatey
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 13 to 14Oct 13, 2025 to Mar 27, 2026
- Advisory employees · 4 to 5Oct 13, 2025 to Mar 27, 2026
- Employees · 12 to 11Oct 13, 2025 to Mar 27, 2026
- Financial planning clients · 0 to Oct 13, 2025 to Mar 27, 2026
- State-registered IARs · 0 to 1Oct 13, 2025 to Mar 27, 2026
- Discretionary RAUM · $423M to $458MOct 13, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $69.0M to $27.7MOct 13, 2025 to Mar 27, 2026
- RAUM · $492M to $486MOct 13, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 0Mar 28, 2025 to Oct 13, 2025
- Discretionary RAUM · $501M to $423MJan 23, 2025 to Mar 28, 2025
- Non-discretionary RAUM · $65.4M to $69.0MJan 23, 2025 to Mar 28, 2025
- RAUM · $567M to $492MJan 23, 2025 to Mar 28, 2025
- Accounts · 15 to 13Mar 29, 2024 to Jan 23, 2025
- Employees · 13 to 12Mar 29, 2024 to Jan 23, 2025
- Discretionary RAUM · $1.5B to $501MMar 29, 2024 to Jan 23, 2025
- Non-discretionary RAUM · $86.0M to $65.4MMar 29, 2024 to Jan 23, 2025
- RAUM · $1.6B to $567MMar 29, 2024 to Jan 23, 2025
- Related adviser · false to trueMar 29, 2024 to Jan 23, 2025
- Accounts · 14 to 15Jul 24, 2023 to Mar 29, 2024
- Advisory employees · 7 to 4Jul 24, 2023 to Mar 29, 2024
- Employees · 9 to 13Jul 24, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.0B to $1.5BJul 24, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $85.5M to $86.0MJul 24, 2023 to Mar 29, 2024
- RAUM · $1.1B to $1.6BJul 24, 2023 to Mar 29, 2024
- Accounts · 15 to 14Mar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $0 to $1.0BMar 31, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $560M to $85.5MMar 31, 2022 to Mar 30, 2023
- RAUM · $560M to $1.1BMar 31, 2022 to Mar 30, 2023
- Advisory employees · 9 to 7Nov 4, 2021 to Mar 31, 2022
- Employees · 10 to 9Nov 4, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $488M to $560MNov 4, 2021 to Mar 31, 2022
- RAUM · $488M to $560MNov 4, 2021 to Mar 31, 2022
- Accounts · 10 to 15Aug 13, 2020 to Mar 30, 2021
- Advisory employees · 3 to 6Aug 13, 2020 to Mar 30, 2021
- Employees · 4 to 7Aug 13, 2020 to Mar 30, 2021
- Non-discretionary RAUM · $300M to $488MAug 13, 2020 to Mar 30, 2021
- RAUM · $300M to $488MAug 13, 2020 to Mar 30, 2021
- Advisory employees · 6 to 9Mar 30, 2021 to Mar 30, 2021
- Employees · 7 to 10Mar 30, 2021 to Mar 30, 2021
- Accounts · 4 to 10Apr 30, 2019 to Mar 13, 2020
Signals
15 dated events
- 1••• C•••••• L•• reported RAUM $566.6M, down 65% from $1.6B (2024-03-29 to 2025-01-23)Jan 23, 2025 · RAUM change · derived
- R Chandra Patel (Chair) appeared on Schedule A of 1••• C•••••• L••Mar 29, 2024 · Control person joined · fact
- 1••• C•••••• L•• reported RAUM $1.6B, up 48% from $1.1B (2023-07-24 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- 1••• C•••••• L•• reported RAUM $1.1B, up 96% from $559.7M (2022-03-31 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- J Eric Del Monaco (Ceo) no longer on Schedule A of 1••• C•••••• L•• (listed 2021-11-04, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Ronald Richard Vecchiolla (President) no longer on Schedule A of 1••• C•••••• L•• (listed 2021-03-30, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- M•••••• A•••••• S•••• (Ceo) no longer on Schedule A of 1••• C•••••• L•• (listed 2020-08-13, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- J Eric Del Monaco (Ceo) appeared on Schedule A of 1••• C•••••• L••Mar 30, 2021 · Control person joined · fact
- 1••• C•••••• L•• reported RAUM $488.2M, up 63% from $300.0M (2020-08-13 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- Wayne M•••••• Minnich (Executive Officer) appeared on Schedule A of 1••• C•••••• L••Apr 18, 2019 · Control person joined · fact
- M•••••• A•••••• S•••• (Executive Officer) appeared on Schedule A of 1••• C•••••• L••Apr 18, 2019 · Control person joined · fact
- M•••••• A•••••• S•••• (Owner) no longer on Schedule A of 1••• C•••••• L•• (listed 2019-03-04, absent 2019-04-16)Apr 16, 2019 · Control person left · inference
- Wayne M•••••• Minnich (Owner) no longer on Schedule A of 1••• C•••••• L•• (listed 2019-03-04, absent 2019-04-16)Apr 16, 2019 · Control person left · inference
- J Eric Del Monaco (President) no longer on Schedule A of 1••• C•••••• L•• (listed 2018-10-05, absent 2019-02-27)Feb 27, 2019 · Control person left · inference
- 1••• C•••••• L•• filed its initial SEC registration (Form ADV)Sep 19, 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
- Principal office phone
- 646-978-5329reportedpublic record, Form ADV, Mar 27, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $486Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026