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 Jun 18, 2026
First filing on the tape Oct 9, 2019 · 12 filings
SEC status approved since Nov 6, 2019
RAUM
$358M
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
17
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$358M as of Jun 18, 2026
Mar 2, 2020$106M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 18, 2026
Mar 2, 20200 then
Employees (5.A)17 as of Jun 18, 2026
Mar 2, 202016 then
Private funds2 as of Jun 18, 2026
Mar 2, 20201 then
RAUM +11% over the last fiscal year+4.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 18, 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
- $179MderivedRAUM 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
- +11%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
- $358M, 2 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)
- 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$358M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $358M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0derived
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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••• R••• E••••• P••••••• I•• L• | Real Estate Fund | $310M | 22 | Oct 9, 2019 |
Owners and control persons
Schedule A and B, latest filing
- A••••••• D••••• J•••• · Managercontrolsince 10/2019 · owns 75% or more
- B••••••••• D•••••• I•• · Managercontrolsince 10/2019 · owns less than 5%
- B••••• M••••••• R••••• · Chief Compliance Officersince 09/2022 · owns less than 5%
Related persons
Schedule D 7.A
- C••••• A••••••••• M••••••••• O• A••••••• L••investment companyn
- C••••• A••••••••• M••••••••• L••investment companyn
- C••••• A••••••••• I••investment companyn
- C••••• M••••••••• O• C••••••••• L••investment companyn
- C••••• R••• E••••• P••••••• I• G•• L••pooled vehicle sponsory
- C••••••••• S•••••• H•••••• P••••••• 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 · 1 to 2Mar 26, 2026 to Jun 18, 2026
- Pooled vehicle clients · 1 to 2Mar 26, 2026 to Jun 18, 2026
- Private funds · 1 to 2Mar 26, 2026 to Jun 18, 2026
- Assets in custody · $321M to $358MMar 20, 2025 to Mar 26, 2026
- Discretionary RAUM · $321M to $358MMar 20, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $321M to $358MMar 20, 2025 to Mar 26, 2026
- RAUM · $321M to $358MMar 20, 2025 to Mar 26, 2026
- Assets in custody · $310M to $321MMar 21, 2024 to Mar 20, 2025
- Financial planning clients · unset to Mar 21, 2024 to Mar 20, 2025
- Discretionary RAUM · $310M to $321MMar 21, 2024 to Mar 20, 2025
- Pooled vehicle RAUM · $310M to $321MMar 21, 2024 to Mar 20, 2025
- RAUM · $310M to $321MMar 21, 2024 to Mar 20, 2025
- Assets in custody · $314M to $310MMar 30, 2023 to Mar 21, 2024
- Employees · 16 to 17Mar 30, 2023 to Mar 21, 2024
- Discretionary RAUM · $314M to $310MMar 30, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $314M to $310MMar 30, 2023 to Mar 21, 2024
- RAUM · $314M to $310MMar 30, 2023 to Mar 21, 2024
- Advisory employees · 6 to 5Sep 29, 2022 to Mar 30, 2023
- Assets in custody · $265M to $314MSep 29, 2022 to Mar 30, 2023
- Employees · 18 to 16Sep 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $265M to $314MSep 29, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $265M to $314MSep 29, 2022 to Mar 30, 2023
- RAUM · $265M to $314MSep 29, 2022 to Mar 30, 2023
- Assets in custody · $236M to $265MMar 21, 2022 to Sep 29, 2022
- Discretionary RAUM · $236M to $265MMar 21, 2022 to Sep 29, 2022
- Pooled vehicle RAUM · $236M to $265MMar 21, 2022 to Sep 29, 2022
- RAUM · $236M to $265MMar 21, 2022 to Sep 29, 2022
- Assets in custody · $214M to $236MMar 26, 2021 to Mar 21, 2022
- Employees · 16 to 18Mar 26, 2021 to Mar 21, 2022
- Discretionary RAUM · $214M to $236MMar 26, 2021 to Mar 21, 2022
- Pooled vehicle RAUM · $214M to $236MMar 26, 2021 to Mar 21, 2022
- RAUM · $214M to $236MMar 26, 2021 to Mar 21, 2022
- Advisory employees · 9 to 6Apr 27, 2020 to Mar 26, 2021
- Assets in custody · $110M to $214MApr 27, 2020 to Mar 26, 2021
- Discretionary RAUM · $110M to $214MApr 27, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $110M to $214MApr 27, 2020 to Mar 26, 2021
- RAUM · $110M to $214MApr 27, 2020 to Mar 26, 2021
- Assets in custody · $106M to $110MMar 2, 2020 to Apr 27, 2020
- Discretionary RAUM · $106M to $110MMar 2, 2020 to Apr 27, 2020
- Pooled vehicle RAUM · $106M to $110MMar 2, 2020 to Apr 27, 2020
Signals
2 dated events
- C• A••••••• L•• reported RAUM $214.3M, up 95% from $109.6M (2020-04-27 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- C• A••••••• L•• filed its initial SEC registration (Form ADV)Oct 9, 2019 · 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
- 215-243-7000reportedpublic record, Form ADV, Jun 18, 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
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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