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•••••• L••
Latest filing Dec 4, 2025
First filing on the tape May 5, 2020 · 8 filings
SEC status approved since Jan 7, 2026
RAUM
$60.3M
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$60.3M as of Dec 4, 2025
Jan 29, 2021$29.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Dec 4, 2025
Jan 29, 20210 then
Employees (5.A)2 as of Dec 4, 2025
Jan 29, 20211 then
Private funds1 as of Dec 4, 2025
Jan 29, 20211 then
RAUM +20% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Dec 4, 2025; 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
- $60.3MderivedRAUM 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
- +78%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $60.3M, 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$60.3M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $60.3M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false 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•••••••• P••••••• L• | Hedge Fund | $80.8M | 48 | Sep 24, 2019 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• C••••••• A•••••••• · Chief Investment Officer, Portfolio Manager, Chief Compliance Officercontrolsince 10/2013 · owns less than 5%
- A••••••••• C••••••• A•••••••• · Managercontrolsince 08/2022 · owns 75% or more of C•••••••• H••••••• L••
Entity owners
- C•••••••• H••••••• L•• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- C•••••••• C•••••• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $89.8M to $60.3MMar 30, 2023 to Dec 4, 2025
- Employees · 1 to 2Mar 30, 2023 to Dec 4, 2025
- Financial planning clients · unset to Mar 30, 2023 to Dec 4, 2025
- HQ city · unset to PRAIRIE VILLAGEMar 30, 2023 to Dec 4, 2025
- HQ state · unset to KSMar 30, 2023 to Dec 4, 2025
- Discretionary RAUM · $89.8M to $60.3MMar 30, 2023 to Dec 4, 2025
- Pooled vehicle RAUM · $89.8M to $60.3MMar 30, 2023 to Dec 4, 2025
- RAUM · $89.8M to $60.3MMar 30, 2023 to Dec 4, 2025
- Assets in custody · $50.4M to $89.8MJul 19, 2022 to Mar 30, 2023
- Discretionary RAUM · $50.4M to $89.8MJul 19, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $50.4M to $89.8MJul 19, 2022 to Mar 30, 2023
- RAUM · $50.4M to $89.8MJul 19, 2022 to Mar 30, 2023
- Assets in custody · $29.6M to $50.4MJul 6, 2021 to Mar 28, 2022
- Discretionary RAUM · $29.6M to $50.4MJul 6, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $29.6M to $50.4MJul 6, 2021 to Mar 28, 2022
- RAUM · $29.6M to $50.4MJul 6, 2021 to Mar 28, 2022
- Assets in custody · $25.6M to $29.6MNov 13, 2020 to Jan 29, 2021
- Discretionary RAUM · $25.6M to $29.6MNov 13, 2020 to Jan 29, 2021
- Pooled vehicle RAUM · $25.6M to $29.6MNov 13, 2020 to Jan 29, 2021
- RAUM · $25.6M to $29.6MNov 13, 2020 to Jan 29, 2021
- HQ city · BROOKLYN to unsetMay 5, 2020 to Nov 13, 2020
- HQ state · NY to unsetMay 5, 2020 to Nov 13, 2020
- Private funds · 2 to 1May 5, 2020 to Nov 13, 2020
Signals
1 dated events
- C•••••••• C•••••• L•• filed its initial SEC registration (Form ADV)May 5, 2020 · 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
- (212) 882-1095reportedpublic record, Form ADV, Dec 4, 2025
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