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•• C•••••• I• M••••••••• L••
Latest filing Sep 2, 2026
First filing on the tape Apr 11, 2019 · 15 filings
SEC status approved since May 13, 2019
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
160
16 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$1.1B as of Mar 27, 2026
Mar 30, 2020$2.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 30, 20200 then
Employees (5.A)160 as of Mar 27, 2026
Mar 30, 202093 then
Private funds: no history
RAUM -4.5% over the last fiscal year-16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 2, 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
- $360MderivedRAUM 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
- -4.5%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 vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $749M, 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)
- 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)
- 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$749M69%
- Investment companies$332M31%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $749M 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=12.0derived
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
- B•••••• B••••• N••• · Vice President And Chief Financial Officercontrolsince 02/2019 · owns less than 5%
- E••••• J••••• M•••• · Vice President And Chief Technology Officercontrolsince 02/2019 · owns less than 5%
- P•••••• M••••• S•• D••••• · Vice President, Secretary And Chief Compliance Officercontrolsince 02/2019 · owns less than 5%
- S••••••• A••••••• •••• · President And Treasurercontrolsince 02/2019 · owns less than 5%
- K•••• S••••• •••• · Trusteecontrolsince 09/2021 · owns F of T•• K••• 2••• F••••• T••••
- K•••• S••••• •••• · Managercontrolsince 09/2021 · owns F of K•• I••••••••• H•••••••• L••
- R••••••• R••••••• S•••• · Trusteecontrolsince 01/2020 · owns F of T•• O•• 2••• T••••
- R••••••• R••••••• S•••• · Trusteecontrolsince 10/2023 · owns F of T•• R•••••• S• R•••••• A•• A••••• S• R•••••• R•••••••• T••••
- S••••••• A••••••• •••• · Trusteecontrolsince 09/2021 · owns F of T•• S•••••• 2••• F••••• T••••
- S••••••• A••••••• •••• · Managercontrolsince 09/2021 · owns F of S•• I••••••••• H•••••••• L••
Entity owners
- C•• G•••• M••••••••• L•• · Sole Memberdirect · owns 75% or more
- C•• G•••• M••••••••• H•••••••• L•• · Memberindirect · owns 75% or more of C•• G•••• M••••••••• L••
- C•• G••••• L•• · Memberindirect · owns 75% or more of C•• G•••• M••••••••• H•••••••• L••
- C•• H••••••• G••• L•• · General Partnerindirect · owns F of C•• H•••••••• L•
- C•• H•••••••• I••• · Memberindirect · owns 50% to 75% of C•• H•••••••• L•
- C•• H•••••••• L• · Memberindirect · owns 50% to 75% of C•• G••••• L••
- K•• I••••••••• H•••••••• L•• · Memberindirect · owns 25% to 50% of C•• H••••••• G••• L••
- O••• L•• · Memberindirect · owns 75% or more of O•••••• I••••••••• L••
- O••• L•• · Memberindirect · owns 25% to 50% of C•• H•••••••• I•••
- O•••••• C•••••• C••••••••• · Managerindirect · owns F of O•••••• I••••••••• L••
- O•••••• C•••••• C••••••••• · Managerindirect · owns F of O••• L••
- O•••••• C•••••• H••••••• C••••••••• · Memberindirect · owns 75% or more of O•••••• C•••••• C•••••••••
- O•••••• I••••••••• L•• · Memberindirect · owns 50% to 75% of C•• H••••••• G••• L••
- S•• I••••••••• H•••••••• L•• · Memberindirect · owns 25% to 50% of C•• H••••••• G••• L••
- T•• K••• 2••• F••••• T•••• · Memberindirect · owns 75% or more of K•• I••••••••• H•••••••• L••
- T•• O•• 2••• T•••• · Memberindirect · owns 25% to 50% of C•• H•••••••• I•••
- T•• R•••••• S• R•••••• A•• A••••• S• R•••••• R•••••••• T•••• · Memberindirect · owns 75% or more of O•••••• C•••••• H••••••• C•••••••••
- T•• S•••••• 2••• F••••• T•••• · Memberindirect · owns 75% or more of S•• I••••••••• H•••••••• L••
Related persons
Schedule D 7.A
- 4•• P••• M••••••••• L••investment companyn
- 4••• C••••••••• L••n
- C••• S•• I• O•••••••• L••n
- C•• C••••••• L••broker-dealern
- C•• G••••• L••n
- C•• C•••••• C••••••••• C•••••• M••••••••• L••investment advisern
- C•• C•••••• R• D••• M••••••••• L••investment advisern
- C•• C•••••• R••• P••••••• M••••••••• L••investment advisern
- C•• C•••••• S• M••••••••• L••investment advisernRAUM $134M
- C•• C•••••• S••••••••• M••••••••• L••investment advisern
- C•• C••••••• L••investment advisernRAUM $2.7B
- C•• C••••••••• C•••••• M••••••••• L••n
- C•• G•••• ••••••••• P•• L••broker-dealern
- C•• G•••• M••••••••• L••y
- C•• G••••• L•••n
- C•• I• M••••••••• L••investment companyn
- C•• I••••••••• F••• I••• G•• L••pooled vehicle sponsorn
- C•• I••••••••• F••• I•• G•• L••pooled vehicle sponsorn
- C•• I••••••••• I• G•• L••pooled vehicle sponsorn
- C•• I••••••••• I•• G• ••••• S•• R•••pooled vehicle sponsorn
- C•• J••••• L•••broker-dealern
- C•• M••••••••• I•••investment companyn
- C•• M• M••••••••• L••investment companyn
- C•• N• M••••••••• L••investment companyn
- C•• R• D••• M••••••••• L••n
- C•• R••• E••••• F•••••• M••••••••• L••bankn
- C•• R••• E••••• S•••••••• L••investment companyn
- C•• T• M••••••••• L••investment companyn
- C•• V• M••••••••• L••investment companyn
- C••• A•••••••• L••investment companyn
Advisers that list C•• C•••••• I• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · to unsetMar 27, 2026 to Sep 2, 2026
- Succession · false to unsetMar 27, 2026 to Sep 2, 2026
- Advisory employees · 15 to 16Mar 31, 2025 to Mar 27, 2026
- BD registered reps · 10 to 12Mar 31, 2025 to Mar 27, 2026
- Assets in custody · $797M to $749MMar 31, 2025 to Mar 27, 2026
- Employees · 148 to 160Mar 31, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.1B to $1.1BMar 31, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $797M to $749MMar 31, 2025 to Mar 27, 2026
- RAUM · $1.1B to $1.1BMar 31, 2025 to Mar 27, 2026
- Accounts · 2 to 3Mar 29, 2024 to Mar 31, 2025
- Advisory employees · 13 to 15Mar 29, 2024 to Mar 31, 2025
- BD registered reps · 13 to 10Mar 29, 2024 to Mar 31, 2025
- Pooled vehicle clients · 1 to 2Mar 29, 2024 to Mar 31, 2025
- Assets in custody · $1.5B to $797MMar 29, 2024 to Mar 31, 2025
- Employees · 170 to 148Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.8B to $1.1BMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.5B to $797MMar 29, 2024 to Mar 31, 2025
- RAUM · $1.8B to $1.1BMar 29, 2024 to Mar 31, 2025
- Advisory employees · 11 to 13Jul 27, 2023 to Mar 29, 2024
- BD registered reps · 10 to 13Jul 27, 2023 to Mar 29, 2024
- Assets in custody · $1.5B to $1.5BJul 27, 2023 to Mar 29, 2024
- Employees · 134 to 170Jul 27, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.8B to $1.8BJul 27, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $1.5B to $1.5BJul 27, 2023 to Mar 29, 2024
- RAUM · $1.8B to $1.8BJul 27, 2023 to Mar 29, 2024
- Advisory employees · 12 to 11Nov 7, 2022 to Mar 31, 2023
- BD registered reps · 6 to 10Nov 7, 2022 to Mar 31, 2023
- Assets in custody · unset to 1452161653.0Nov 7, 2022 to Mar 31, 2023
- Custody of client assets · false to trueNov 7, 2022 to Mar 31, 2023
- Employees · 122 to 134Nov 7, 2022 to Mar 31, 2023
- Discretionary RAUM · $897M to $1.8BNov 7, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $814M to $1.5BNov 7, 2022 to Mar 31, 2023
- RAUM · $897M to $1.8BNov 7, 2022 to Mar 31, 2023
- Related bank · false to trueNov 7, 2022 to Mar 31, 2023
- Advisory activities · 3 to 2Oct 1, 2021 to Mar 31, 2022
- Assets in custody · 335391600.0 to unsetOct 1, 2021 to Mar 31, 2022
- Custody of client assets · true to falseOct 1, 2021 to Mar 31, 2022
- Employees · 124 to 122Oct 1, 2021 to Mar 31, 2022
- Discretionary RAUM · $335M to $897MOct 1, 2021 to Mar 31, 2022
Signals
4 dated events
- C•• C•••••• I• M••••••••• L•• reported RAUM $1.1B, down 38% from $1.8B (2024-03-29 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- C•• C•••••• I• M••••••••• L•• reported RAUM $1.8B, up 102% from $897.2M (2022-11-07 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- C•• C•••••• I• M••••••••• L•• reported RAUM $897.2M, up 168% from $335.4M (2021-10-01 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- C•• C•••••• I• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 11, 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
- Firm profile
- linkedin.com/company/CIMGROUPreportedpublic record, Form ADV, Sep 18, 2026
- Website
- cimgroup.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 323-860-4900reportedpublic record, Form ADV, Sep 2, 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