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••

Former SEC-registered adviserNew York, New YorkCRD 299940SEC 801-118692IAPD
Latest filing Apr 18, 2023
First filing on the tape Apr 9, 2020 · 7 filings
RAUM
$475M
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
13
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$73.8M gross assets
History
7 filings and snapshots on the tape
RAUM$475M as of Mar 30, 2023
Mar 22, 2021$144M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2023
Mar 22, 20210 then
Employees (5.A)13 as of Mar 30, 2023
Mar 22, 20215 then
Private funds3 as of Mar 30, 2023
Mar 22, 20213 then
RAUM +46% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 18, 2023; 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
$43.2MderivedRAUM 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
+46%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
$57.7M, 1 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
  • 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)
  • 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$475M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
11reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$57.7M for 1 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
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••• C•••••• F••• L•Hedge Fund$57.7M51Jan 7, 2019
      D•••••• N•••••• F•••Hedge Fund$8.6M63Sep 6, 2019
      D•••••• G••••• F•••Hedge Fund$7.6M37Sep 6, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • P••••••••• A•••• · Co-Chief Investment Officercontrol
        since 03/2019 · owns 25% to 50%
      • S••••••• D••••• · Founder And Co-Chief Investment Officercontrol
        since 01/2017 · owns 25% to 50%
      • S••••••• O••• · Chief Technology Officer And Chief Compliance Officercontrol
        since 03/2019 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • C•••••• C•••••• G• L••
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 9 to 11
        Nov 11, 2022 to Mar 30, 2023
      • Advisory employees · 6 to 8
        Nov 11, 2022 to Mar 30, 2023
      • Pooled vehicle clients · 8 to 11
        Nov 11, 2022 to Mar 30, 2023
      • Assets in custody · $51.6M to $57.7M
        Nov 11, 2022 to Mar 30, 2023
      • Employees · 9 to 13
        Nov 11, 2022 to Mar 30, 2023
      • Discretionary RAUM · $327M to $475M
        Nov 11, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · $313M to $475M
        Nov 11, 2022 to Mar 30, 2023
      • RAUM · $327M to $475M
        Nov 11, 2022 to Mar 30, 2023
      • Accounts · 8 to 9
        Jun 9, 2021 to Mar 14, 2022
      • Advisory employees · 2 to 6
        Jun 9, 2021 to Mar 14, 2022
      • Pooled vehicle clients · 7 to 8
        Jun 9, 2021 to Mar 14, 2022
      • Assets in custody · $33.3M to $51.6M
        Jun 9, 2021 to Mar 14, 2022
      • Employees · 5 to 9
        Jun 9, 2021 to Mar 14, 2022
      • Discretionary RAUM · $144M to $327M
        Jun 9, 2021 to Mar 14, 2022
      • Pooled vehicle RAUM · $138M to $313M
        Jun 9, 2021 to Mar 14, 2022
      • RAUM · $144M to $327M
        Jun 9, 2021 to Mar 14, 2022
      • Accounts · 7 to 8
        Apr 9, 2020 to Mar 22, 2021
      • Assets in custody · $17.9M to $33.3M
        Apr 9, 2020 to Mar 22, 2021
      • Employees · 4 to 5
        Apr 9, 2020 to Mar 22, 2021
      • Private funds · 6 to 3
        Apr 9, 2020 to Mar 22, 2021
      • Discretionary RAUM · $60.3M to $144M
        Apr 9, 2020 to Mar 22, 2021
      • Pooled vehicle RAUM · $60.3M to $138M
        Apr 9, 2020 to Mar 22, 2021
      • RAUM · $60.3M to $144M
        Apr 9, 2020 to Mar 22, 2021
      Signals
      3 dated events
      • C•••••• C•••••• M••••••••• L•• reported RAUM $475.5M, up 46% from $326.5M (2022-11-11 to 2023-03-30)
        Mar 30, 2023 · RAUM change · derived
      • C•••••• C•••••• M••••••••• L•• reported RAUM $326.5M, up 127% from $144.1M (2021-06-09 to 2022-03-14)
        Mar 14, 2022 · RAUM change · derived
      • C•••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Apr 9, 2020 · 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