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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SEC-registered adviser
C••••••••• A•••••••• L••
Latest filing Aug 28, 2026
First filing on the tape Oct 12, 2018 · 33 filings
SEC status approved since Nov 15, 2018
RAUM
$232M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$232M
derived; firm RAUM over IAPD count
Employees
6
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
30
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$232M as of Aug 28, 2026
Feb 6, 2019$9.5M then
HNW client RAUM$0 as of Aug 28, 2026
Feb 6, 2019$500,000 then
State-registered IARs (5.B.3)1 as of Aug 28, 2026
Feb 6, 20191 then
Employees (5.A)6 as of Aug 28, 2026
Feb 6, 20195 then
Private funds30 as of Aug 28, 2026
Feb 6, 20191 then
RAUM -12% over the last fiscal year-24% a year over threeIARs 5 to 1
Practice profile
derived from the filing of Aug 28, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $232MderivedRAUM 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
- $7.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -60%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisers, publicationsreportedItem 5.G
- Custody
- $232M, 30 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.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$196M84%
- Investment companies$36.1M16%
- Individual clients
- n/areported
- HNW clients
- 0reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 30reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $232M for 30 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• N••••• B••••••• | New York, Ny | Jul 5, 2022 | 10 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 100% of current headcount6 left over 36 months
Left, latest
- S•••••••• A••• R••• to R••• F•••••••• G••••• L••Jun 9, 2026 · Other
- G••••• E••••• M••••••• to O•••• W•••••• I•••Feb 21, 2025 · Other
- B••• S• J••••• to M••••• A••••••• S•••••••• I•••Oct 11, 2024 · RIA to RIA
- J••••• T••••• T•••••• to W••••••• C••••••Apr 11, 2024 · RIA to RIA
- O•••••• D••••• M••••••• to F••••••• P••••••• A•• W•••••••• A•••••••Oct 13, 2023 · Other
- J•••• P••••• P••••• to F••••••• P••••••• A•• W•••••••• A•••••••Oct 2, 2023 · Other
- A•••• S•••••• to C••••••• P•••••• W••••• M•••••••••Nov 1, 2022 · RIA to RIA
- D•••• L••• to A••••••••• F•••••••• S•••••••• L••Sep 19, 2022 · RIA to affiliated broker-dealer or bank
- M•••••• S••••• C•••••• to S••••• W••••• A•••••••• I•••Sep 13, 2022 · Other
- E••••• F••• to L••••• C•••••• A•••••••Jul 7, 2022 · RIA to a state-registered adviser
- C•••• C•••••••• B••• to E••••••••• F••••••• L••Sep 11, 2020 · RIA to a state-registered adviser
Joined, latest
- G••••• E••••• M••••••• from T••••••••• F•••••••• A•••••••• L••Jul 5, 2022 · Affiliated broker-dealer or bank to independent RIA
- A••••• N••••• B••••••• from T••••• A•••••••• L••Jul 5, 2022 · Other
- M•••••• S••••• C•••••• from B•••••••• I••••••••• M••••••••• L••Jun 17, 2022 · Other
- S•••••••• A••• R••• from E•••••• F•••••••• E••••••Oct 21, 2021 · RIA to RIA
- J•••• P••••• P••••• from E••••• J••••Mar 8, 2019 · Other
- C•••• C•••••••• B••• from V•••• C•••••• P•••••••• I•••Nov 19, 2018 · Other
Private funds
32 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- C••••• S•••••• · Presidentcontrolsince 08/2021 · owns less than 5%
- R•••• S••••••••• A••• · Chief Compliance Officercontrolsince 03/2023 · owns less than 5%
- H•••••• K••••••• L•••• · G•••••• Counselsince 10/2023 · owns less than 5%
- P••••• K•••• · Financial Officersince 10/2023 · owns less than 5%
Entity owners
- C••••••••• I•• · Parent Corporationdirect · owns 75% or more
Related persons
Schedule D 7.A
- C••••••••• C•••••• L••broker-dealern
- C••••••••• I••••••••• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 1 | 0 | 0 | ||
| Beaverton, Or | 0 | 0 | 0 | ||
| La Habra, Ca | 0 | 0 | 0 | ||
| Melbourne, Fl | 0 | 0 | 0 | ||
| Dunedin, Fl | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- advisor count dropChange between filings · filing Mar 27, 2026advisory representatives (Item 5.B.3) moved from 5.0 to 2.0 (-60.0%) between the annual amendments of 2025-03-27 and 2026-03-27; the peer median change was 0.0% (24 comparable advisers, 9.0th percentile of changes)peers: asset managers, $100M to $500M (24) · 8.7% percentile
- employee count dropChange between filings · filing Mar 27, 2026employees (Item 5.A) moved from 16.0 to 11.0 (-31.0%) between the annual amendments of 2025-03-27 and 2026-03-27; the peer median change was 0.0% (393 comparable advisers, 6.0th percentile of changes)peers: asset managers, $100M to $500M (393) · 6.4% percentile
What changed
consecutive filings, newest first
- BD registered reps · 8 to 3Jun 4, 2026 to Aug 28, 2026
- Employees · 11 to 6Jun 4, 2026 to Aug 28, 2026
- HQ city · AUSTIN to NEW YORKJun 4, 2026 to Aug 28, 2026
- HQ state · TX to NYJun 4, 2026 to Aug 28, 2026
- State-registered IARs · 2 to 1Jun 4, 2026 to Aug 28, 2026
- BD registered reps · 6 to 8Feb 26, 2026 to Mar 27, 2026
- Assets in custody · $244M to $232MFeb 26, 2026 to Mar 27, 2026
- Employees · 14 to 11Feb 26, 2026 to Mar 27, 2026
- State-registered IARs · 5 to 2Feb 26, 2026 to Mar 27, 2026
- Discretionary RAUM · $244M to $232MFeb 26, 2026 to Mar 27, 2026
- Pooled vehicle RAUM · $208M to $196MFeb 26, 2026 to Mar 27, 2026
- RAUM · $244M to $232MFeb 26, 2026 to Mar 27, 2026
- BD registered reps · 7 to 6Mar 27, 2025 to Aug 27, 2025
- Assets in custody · $287M to $244MMar 27, 2025 to Aug 27, 2025
- Employees · 16 to 14Mar 27, 2025 to Aug 27, 2025
- Discretionary RAUM · $265M to $244MMar 27, 2025 to Aug 27, 2025
- Pooled vehicle RAUM · $228M to $208MMar 27, 2025 to Aug 27, 2025
- RAUM · $265M to $244MMar 27, 2025 to Aug 27, 2025
- Assets in custody · $309M to $287MNov 1, 2024 to Mar 27, 2025
- Employees · 17 to 16Nov 1, 2024 to Mar 27, 2025
- Financial planning clients · unset to Nov 1, 2024 to Mar 27, 2025
- State-registered IARs · 0 to 5Nov 1, 2024 to Mar 27, 2025
- Discretionary RAUM · $309M to $265MNov 1, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $271M to $228MNov 1, 2024 to Mar 27, 2025
- RAUM · $309M to $265MNov 1, 2024 to Mar 27, 2025
- Accounts · 220 to 30Sep 19, 2024 to Nov 1, 2024
- Advisory employees · 2 to 0Sep 19, 2024 to Nov 1, 2024
- Advisory activities · 6 to 4Sep 19, 2024 to Nov 1, 2024
- BD registered reps · 9 to 7Sep 19, 2024 to Nov 1, 2024
- HNW clients · 220 to 0Sep 19, 2024 to Nov 1, 2024
- Assets in custody · $288M to $309MSep 19, 2024 to Nov 1, 2024
- Employees · 20 to 17Sep 19, 2024 to Nov 1, 2024
- State-registered IARs · 2 to 0Sep 19, 2024 to Nov 1, 2024
- Discretionary RAUM · $496M to $309MSep 19, 2024 to Nov 1, 2024
- HNW RAUM · $117M to $0Sep 19, 2024 to Nov 1, 2024
- Non-discretionary RAUM · $12.6M to $0Sep 19, 2024 to Nov 1, 2024
- Pooled vehicle RAUM · $352M to $271MSep 19, 2024 to Nov 1, 2024
- RAUM · $509M to $309MSep 19, 2024 to Nov 1, 2024
- Accounts · 205 to 220Oct 18, 2023 to Mar 27, 2024
- Advisory employees · 3 to 2Oct 18, 2023 to Mar 27, 2024
Signals
27 dated events
- S•••••••• A••• R••• left C••••••••• A•••••••• L•• for R••• F•••••••• G••••• L•• (registered 2026-08-25)Jun 9, 2026 · advisor firm c••••e · fact
- G••••• E••••• M••••••• left C••••••••• A•••••••• L•• for O•••• W•••••• I••• (registered 2025-04-15)Feb 21, 2025 · advisor firm c••••e · fact
- C••••••••• A•••••••• L•• reported RAUM $308.7M, down 39% from $508.6M (2024-09-19 to 2024-11-01)Nov 1, 2024 · ria raum c••••e · derived
- B••• S• J••••• left C••••••••• A•••••••• L•• for M••••• A••••••• S•••••••• I••• (registered 2024-10-23)Oct 11, 2024 · advisor firm c••••e · fact
- R••••• John Chandler (Chief Executive Officer) no longer on Schedule A of C••••••••• A•••••••• L•• (listed 2024-03-27, absent 2024-04-11)Apr 11, 2024 · Control person left · inference
- J••••• T••••• T•••••• left C••••••••• A•••••••• L•• for W••••••• C•••••• (registered 2024-04-17)Apr 11, 2024 · advisor firm c••••e · fact
- R••••• John Chandler (Chief Executive Officer) appeared on Schedule A of C••••••••• A•••••••• L••Oct 18, 2023 · Control person joined · fact
- O•••••• D••••• M••••••• left C••••••••• A•••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-02-08)Oct 13, 2023 · advisor firm c••••e · fact
- J•••• P••••• P••••• left C••••••••• A•••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-01-25)Oct 2, 2023 · advisor firm c••••e · fact
- D•••••• T•••• L••• (Chief Compliance Officer And Associate General Counsel) no longer on Schedule A of C••••••••• A•••••••• L•• (listed 2023-01-03, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- C••••••••• A•••••••• L•• reported RAUM $535.0M, up 63% from $328.9M (2023-01-03 to 2023-03-31)Mar 31, 2023 · ria raum c••••e · derived
- Anne Stephanie Roth (Chief Compliance Officer) appeared on Schedule A of C••••••••• A•••••••• L••Mar 31, 2023 · Control person joined · fact
- D•••••• T•••• L••• (Chief Compliance Officer And Associate General Counsel) appeared on Schedule A of C••••••••• A•••••••• L••Dec 7, 2022 · Control person joined · fact
- Leigh Kristen Howell (Chief Compliance Officer And General Counsel) no longer on Schedule A of C••••••••• A•••••••• L•• (listed 2022-10-10, absent 2022-12-07)Dec 7, 2022 · Control person left · inference
- A•••• S•••••• left C••••••••• A•••••••• L•• for C••••••• P•••••• W••••• M••••••••• (registered 2023-01-10)Nov 1, 2022 · advisor firm c••••e · fact
- D•••• L••• left C••••••••• A•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-03-13)Sep 19, 2022 · advisor firm c••••e · fact
- M•••••• S••••• C•••••• left C••••••••• A•••••••• L•• for S••••• W••••• A•••••••• I••• (registered 2025-12-15)Sep 13, 2022 · advisor firm c••••e · fact
- E••••• F••• left C••••••••• A•••••••• L•• for L••••• C•••••• A••••••• (registered 2023-04-07)Jul 7, 2022 · advisor firm c••••e · fact
- Christopher Tore Steen (Ceo) no longer on Schedule A of C••••••••• A•••••••• L•• (listed 2022-03-31, absent 2022-06-17)Jun 17, 2022 · Control person left · inference
- C••••••••• A•••••••• L•• reported RAUM $258.2M, up 114% from $120.9M (2021-03-31 to 2021-12-21)Dec 21, 2021 · ria raum c••••e · derived
- Leigh Kristen Howell (Chief Compliance Officer And General Counsel) appeared on Schedule A of C••••••••• A•••••••• L••Dec 21, 2021 · Control person joined · fact
- G L•••• F•••••• (Chief Compliance Officer) no longer on Schedule A of C••••••••• A•••••••• L•• (listed 2021-03-31, absent 2021-12-21)Dec 21, 2021 · Control person left · inference
- Sheldon Chang (President) appeared on Schedule A of C••••••••• A•••••••• L••Dec 21, 2021 · Control person joined · fact
- D••••• R••••• S••••• (Chief Compliance Officer / Chief Financial Officer) no longer on Schedule A of C••••••••• A•••••••• L•• (listed 2020-06-29, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- G L•••• F•••••• (Chief Compliance Officer) appeared on Schedule A of C••••••••• A•••••••• L••Mar 31, 2021 · Control person joined · fact
- D••••• R••••• S••••• (Chief Compliance Officer / Chief Financial Officer) appeared on Schedule A of C••••••••• A•••••••• L••Jan 24, 2020 · Control person joined · fact
- C••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Oct 12, 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
- c•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (888) 432-7693reportedpublic record, Form ADV, Aug 28, 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
- $232Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
C••••••••• A•••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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