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•••• M••••••••• L••
Latest filing Aug 11, 2026
First filing on the tape Jun 24, 2021 · 13 filings
SEC status approved since Jul 26, 2021
RAUM
$174M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$174M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$174M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
14
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$174M as of Aug 11, 2026
Feb 1, 2022$140M then
HNW client RAUM$174M as of Aug 11, 2026
Feb 1, 2022$140M then
State-registered IARs (5.B.3)1 as of Aug 11, 2026
Feb 1, 20221 then
Employees (5.A)1 as of Aug 11, 2026
Feb 1, 20221 then
Private funds14 as of Aug 11, 2026
Mar 19, 202411 then
RAUM +36% over the last fiscal year+10% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Aug 11, 2026; every figure names its basis
Archetypes, each a printed rule
- Multi-family-office-like · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, average HNW client assets at least $25M, fewer than 200 HNW clients, and business name contains 'family office' or private funds are reported
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $174MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $29.0MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +36%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $52.1M, 3 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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
- High-net-worth individuals$174M100%
- Individual clients
- n/areported
- HNW clients
- 6reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 92reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $52.1M for 3 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• L•••Chartered Financial Analyst | Ooltewah, Tn | Jul 22, 2025 | 15 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J••••• L••• from G•••• L•••• A•••••••• L••Jul 22, 2025 · Other
Private funds
11 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••• • R• I• | Real Estate Fund | $4.0M | 11 | Mar 19, 2024 |
| C••• • B•• R•• | Private Equity Fund | $3.1M | 15 | Mar 19, 2024 |
| C••• • R•••••••• | Private Equity Fund | $2.7M | 18 | Mar 19, 2024 |
| C••• • E••• S••••• I• | Private Equity Fund | $2.3M | 13 | Mar 19, 2024 |
| C••• • E••• S••••• | Private Equity Fund | $2.0M | 4 | Mar 19, 2024 |
| C••• • B••••••• | Private Equity Fund | $1.6M | 5 | Mar 19, 2024 |
| C••• • B•••••••• | Private Equity Fund | $1.4M | 10 | Mar 19, 2024 |
| C••• • M••••••• | Private Equity Fund | $1.3M | 10 | Mar 19, 2024 |
| C••• • L••• B•••• I• L•• | Private Equity Fund | $1.0M | 8 | Mar 19, 2024 |
| C••• P•••• | Private Equity Fund | $500,000 | 5 | Mar 19, 2024 |
| C••• K•••••••• | Private Equity Fund | $480,000 | 9 | Mar 19, 2024 |
Owners and control persons
Schedule A and B, latest filing
- L•••• J••••• · Managing Member / Ccocontrolsince 09/2019 · owns 25% to 50%
- L••••••••• R••••••• D••••• · Membersince 09/2019 · owns 25% to 50%
- T••••• J•••••••• A•••• · Membersince 09/2019 · owns 25% to 50%
Related persons
Schedule D 7.A
- C•• I•••••••••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 20, 2026RAUM (Item 5.F) moved from $127,700,000 to $173,842,000 (+36.0%) between the annual amendments of 2025-03-20 and 2026-03-20; the peer median change was +15.0% (4550 comparable advisers, 91.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 91% percentile
What changed
consecutive filings, newest first
- Accounts · 64 to 92Feb 13, 2026 to Mar 20, 2026
- Assets in custody · $31.3M to $52.1MFeb 13, 2026 to Mar 20, 2026
- Private funds · 15 to 14Feb 13, 2026 to Mar 20, 2026
- Discretionary RAUM · $128M to $174MFeb 13, 2026 to Mar 20, 2026
- HNW RAUM · $128M to $174MFeb 13, 2026 to Mar 20, 2026
- RAUM · $128M to $174MFeb 13, 2026 to Mar 20, 2026
- Accounts · 6 to 64Mar 19, 2024 to Mar 20, 2025
- Assets in custody · $1.3M to $31.3MMar 19, 2024 to Mar 20, 2025
- Financial planning clients · unset to Mar 19, 2024 to Mar 20, 2025
- HQ city · unset to Mar 19, 2024 to Mar 20, 2025
- HQ state · unset to Mar 19, 2024 to Mar 20, 2025
- Private funds · 11 to 15Mar 19, 2024 to Mar 20, 2025
- Discretionary RAUM · $140M to $128MMar 19, 2024 to Mar 20, 2025
- HNW RAUM · $140M to $128MMar 19, 2024 to Mar 20, 2025
- RAUM · $140M to $128MMar 19, 2024 to Mar 20, 2025
- Accounts · 58 to 6Feb 13, 2023 to Mar 19, 2024
- Assets in custody · $1.1M to $1.3MFeb 13, 2023 to Mar 19, 2024
- Private funds · unset to 11Feb 13, 2023 to Mar 19, 2024
- Discretionary RAUM · $130M to $140MFeb 13, 2023 to Mar 19, 2024
- HNW RAUM · $130M to $140MFeb 13, 2023 to Mar 19, 2024
- RAUM · $130M to $140MFeb 13, 2023 to Mar 19, 2024
- Accounts · 53 to 58Apr 28, 2022 to Feb 13, 2023
- Assets in custody · $27.4M to $1.1MApr 28, 2022 to Feb 13, 2023
- Discretionary RAUM · $140M to $130MApr 28, 2022 to Feb 13, 2023
- HNW RAUM · $140M to $130MApr 28, 2022 to Feb 13, 2023
- RAUM · $140M to $130MApr 28, 2022 to Feb 13, 2023
- Accounts · 82 to 53Aug 9, 2021 to Feb 1, 2022
- Assets in custody · $1.5M to $27.4MAug 9, 2021 to Feb 1, 2022
- Discretionary RAUM · $106M to $140MAug 9, 2021 to Feb 1, 2022
- HNW RAUM · $106M to $140MAug 9, 2021 to Feb 1, 2022
- RAUM · $106M to $140MAug 9, 2021 to Feb 1, 2022
Signals
1 dated events
- C•• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 24, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•• A•••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 630-272-6321reportedpublic record, Form ADV, Aug 11, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $174Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
C•• A•••• M••••••••• 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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