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•••• B••••• I••••••••• M••••••••• L••

Former SEC-registered adviserBellevue, WashingtonCRD 305978SEC 801-117964IAPD
Latest filing Mar 22, 2021
First filing on the tape Dec 18, 2019 · 3 filings
RAUM
$137M
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
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$137M gross assets
History
3 filings and snapshots on the tape
RAUM$137M as of Mar 22, 2021
Dec 18, 2019$273M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 22, 2021
Dec 18, 20190 then
Employees (5.A)5 as of Mar 22, 2021
Dec 18, 201911 then
Private funds2 as of Mar 22, 2021
Dec 18, 20192 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 22, 2021; 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
$34.3MderivedRAUM 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
unknownderivedbetween 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
$137M, 2 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$137M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$137M for 2 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••• G••••• P•••••• O••••••••• F••• S•• L•••Hedge Fund$85.1M4Dec 18, 2019
      C••• G••••• D••• O••••••••• F••• L••Hedge Fund$129,9732Dec 18, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • H••••••••• S••••••• C•••••• H••• · Principal, Chief Compliance Officercontrol
        since 10/2017 · owns 5% to 10%
      • K••• H•••• H• · Principalcontrol
        since 10/2017 · owns 75% or more
      • R••••••••• M•••••• J••••• · Principalcontrol
        since 01/2021 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 4
        May 14, 2020 to Mar 22, 2021
      • Advisory employees · 6 to 5
        May 14, 2020 to Mar 22, 2021
      • Assets in custody · $146M to $137M
        May 14, 2020 to Mar 22, 2021
      • Employees · 6 to 5
        May 14, 2020 to Mar 22, 2021
      • Discretionary RAUM · $146M to $137M
        May 14, 2020 to Mar 22, 2021
      • Pooled vehicle RAUM · $146M to $137M
        May 14, 2020 to Mar 22, 2021
      • RAUM · $146M to $137M
        May 14, 2020 to Mar 22, 2021
      • Accounts · 6 to 2
        Dec 18, 2019 to May 14, 2020
      • Advisory employees · 11 to 6
        Dec 18, 2019 to May 14, 2020
      • Pooled vehicle clients · 6 to 2
        Dec 18, 2019 to May 14, 2020
      • Assets in custody · $273M to $146M
        Dec 18, 2019 to May 14, 2020
      • Employees · 11 to 6
        Dec 18, 2019 to May 14, 2020
      • Discretionary RAUM · $154M to $146M
        Dec 18, 2019 to May 14, 2020
      • Non-discretionary RAUM · $120M to $0
        Dec 18, 2019 to May 14, 2020
      • Pooled vehicle RAUM · $273M to $146M
        Dec 18, 2019 to May 14, 2020
      • RAUM · $273M to $146M
        Dec 18, 2019 to May 14, 2020
      Signals
      4 dated events
      • Joseph Martin Rosenburgh (Principal) appeared on Schedule A of C•••• B••••• I••••••••• M••••••••• L••
        Mar 22, 2021 · Control person joined · fact
      • Kyu H••• Lee (Partner) no longer on Schedule A of C•••• B••••• I••••••••• M••••••••• L•• (listed 2020-05-14, absent 2021-03-22)
        Mar 22, 2021 · Control person left · inference
      • C•••• B••••• I••••••••• M••••••••• L•• reported RAUM $145.6M, down 47% from $273.3M (2019-12-18 to 2020-05-14)
        May 14, 2020 · RAUM change · derived
      • C•••• B••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Dec 18, 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/cross-border-investment-management-llc/reportedpublic record, Form ADV, Sep 19, 2026
      Website
      crossborderim.comreportedpublic record, Form ADV, Sep 19, 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
      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