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••••••••• A•••• M••••••••• L•
Latest filing Jun 29, 2026
First filing on the tape Oct 8, 2019 · 21 filings
RAUM
$296M
reported, Item 5.F
Discretionary
0.0%
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$912M as of Mar 28, 2024
Mar 4, 2020$760M then
HNW client RAUM$0 as of Mar 28, 2024
Mar 4, 2020$0 then
State-registered IARs (5.B.3)0 as of Mar 28, 2024
Mar 4, 20200 then
Employees (5.A)15 as of Mar 28, 2024
Mar 4, 202010 then
Private funds7 as of Mar 28, 2024
Mar 4, 20203 then
RAUM -80% over the last fiscal year-2.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 29, 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
- $98.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- -40%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $296M, 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 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$296M100%
- 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
- $296M for 3 clientsreported
- Compensation
- % of AUM, fixed, 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
Private funds
18 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- F•••••• A•••• B••••• · Founder / Chief Investment Officer / Limited Partnercontrolsince 06/2019 · owns less than 5%
- R••••••• P••••• S•••• · Presidentcontrolsince 06/2023 · owns less than 5%
- S••••••••• A•••••• N••••• · Chief Financial Officercontrolsince 03/2021 · owns less than 5%
- W••••••• O•••••• C•••••• · Chief Operating Officer / Chief Compliance Officercontrolsince 08/2021 · owns less than 5%
- F•••••• A•••• B••••• · Sole Membercontrolsince 04/2019 · owns 75% or more of F••••• C••• ••• L••
- H•••••• A•••• E•••• · Limited Partner Of A••• L•••controlsince 10/2008 · owns 50% to 75% of A••• L•••
Entity owners
- C••••••••• A•••• M••••••••• H••••••• L•• · General Partnerdirect · owns 75% or more
- A••• L••• · Limited Partner Of B••••• H••••• C•••••• M••••••••• L•indirect · owns 75% or more of B••••• H••••• C•••••• M••••••••• L•
- B••• H••••••• L•• · Memberindirect · owns 25% to 50% of C••••••••• A•••• M••••••••• H••••••• L••
- B••••• H••••• A•••• M••••••••• S••••••• L••• · Owner Of 100% Share Capital Of B••• H••••••• L••indirect · owns 75% or more of B••• H••••••• L••
- B••••• H••••• C•••••• M••••••••• L• · Owner Of 100% Of Share Capital Of B••••• H••••• I••••••••• H••••••• L•••indirect · owns 75% or more of B••••• H••••• I••••••••• H••••••• L•••
- B••••• H••••• I••••••••• H••••••• L••• · Owner Of 100% Share Capital Of B••••• H••••• A•••• M••••••••• S••••••• L•••indirect · owns 75% or more of B••••• H••••• A•••• M••••••••• S••••••• L•••
- C••• F••••• L•• · Member & Mangerindirect · owns 50% to 75% of C••••••••• A•••• M••••••••• H••••••• L••
- F••••• C••• ••• L•• · Memberindirect · owns 25% to 50% of C••• F••••• L••
- F••••• C••• L•• · Memberindirect · owns 25% to 50% of C••• F••••• L••
- T•• F••••• F••••• 2••• D••••••• T•••• · Memberindirect · owns 75% or more of F••••• C••• L••
- T•• G•••••• S•••• T•••• C•••••• O• D••••••• · Trusteeindirect · owns F of T•• F••••• F••••• 2••• D••••••• T••••
Related persons
Schedule D 7.A
- C••••••••• A•••• M••••••••• G• L••pooled vehicle sponsorn
- C••••••••• R••• E••••• L•pooled vehicle sponsorn
- C••••••••• R••• E••••• N• G• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 10 to 3Jun 14, 2024 to Jun 29, 2026
- Advisory employees · 6 to 3Jun 14, 2024 to Jun 29, 2026
- Advisory activities · 2 to 1Jun 14, 2024 to Jun 29, 2026
- Charity clients · 0.0 to unsetJun 14, 2024 to Jun 29, 2026
- Corporate clients · 0.0 to unsetJun 14, 2024 to Jun 29, 2026
- HNW clients · 0.0 to unsetJun 14, 2024 to Jun 29, 2026
- Individual clients · 0.0 to unsetJun 14, 2024 to Jun 29, 2026
- Pension plan clients · 0.0 to unsetJun 14, 2024 to Jun 29, 2026
- Pooled vehicle clients · 9 to 3Jun 14, 2024 to Jun 29, 2026
- Assets in custody · $0 to $296MJun 14, 2024 to Jun 29, 2026
- Custody of client assets · false to trueJun 14, 2024 to Jun 29, 2026
- Employees · 15 to 4Jun 14, 2024 to Jun 29, 2026
- Private funds · 7 to unsetJun 14, 2024 to Jun 29, 2026
- Discretionary RAUM · $912M to $0Jun 14, 2024 to Jun 29, 2026
- HNW RAUM · 0.0 to unsetJun 14, 2024 to Jun 29, 2026
- Individual RAUM · 0.0 to unsetJun 14, 2024 to Jun 29, 2026
- Non-discretionary RAUM · $0 to $296MJun 14, 2024 to Jun 29, 2026
- Pension RAUM · 0.0 to unsetJun 14, 2024 to Jun 29, 2026
- Pooled vehicle RAUM · $897M to $296MJun 14, 2024 to Jun 29, 2026
- RAUM · $912M to $296MJun 14, 2024 to Jun 29, 2026
- Related adviser · false to trueJun 14, 2024 to Jun 29, 2026
- Succession · false to unsetJun 14, 2024 to Jun 29, 2026
- Accounts · 14 to 10Aug 25, 2023 to Mar 28, 2024
- Advisory employees · 9 to 6Aug 25, 2023 to Mar 28, 2024
- Pooled vehicle clients · 13 to 9Aug 25, 2023 to Mar 28, 2024
- Employees · 27 to 15Aug 25, 2023 to Mar 28, 2024
- Private funds · 5 to 7Aug 25, 2023 to Mar 28, 2024
- Discretionary RAUM · $357M to $912MAug 25, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $1.1B to $0Aug 25, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.5B to $897MAug 25, 2023 to Mar 28, 2024
- RAUM · $1.5B to $912MAug 25, 2023 to Mar 28, 2024
- Private funds · 11 to 5May 23, 2023 to Aug 25, 2023
- Accounts · 15 to 14Jul 6, 2022 to Mar 30, 2023
- Advisory employees · 6 to 9Jul 6, 2022 to Mar 30, 2023
- Custody of client assets · true to falseJul 6, 2022 to Mar 30, 2023
- Employees · 17 to 27Jul 6, 2022 to Mar 30, 2023
- Private funds · 7 to 11Jul 6, 2022 to Mar 30, 2023
- Discretionary RAUM · $387M to $357MJul 6, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $0 to $1.1BJul 6, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $366M to $1.5BJul 6, 2022 to Mar 30, 2023
Signals
14 dated events
- C••••••••• A•••• M••••••••• L• reported RAUM $295.7M, down 68% from $911.6M (2024-06-14 to 2026-06-29)Jun 29, 2026 · RAUM change · derived
- E•••• M•••••••• (Chief Compliance Officer) no longer on Schedule A of C••••••••• A•••• M••••••••• L• (listed 2024-03-28, absent 2024-06-14)Jun 14, 2024 · Control person left · inference
- Scott Peter Rumbold (President) appeared on Schedule A of C••••••••• A•••• M••••••••• L•Jun 14, 2024 · Control person joined · fact
- C••••••••• A•••• M••••••••• L• reported RAUM $911.6M, down 40% from $1.5B (2023-08-25 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- C••••••••• A•••• M••••••••• L• reported RAUM $1.5B, up 289% from $387.2M (2022-07-06 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Raymond Christopher Mendez (Chief Compliance Officer And General Counsel) no longer on Schedule A of C••••••••• A•••• M••••••••• L• (listed 2022-03-31, absent 2022-07-06)Jul 6, 2022 · Control person left · inference
- E•••• M•••••••• (Chief Compliance Officer) appeared on Schedule A of C••••••••• A•••• M••••••••• L•Jul 6, 2022 · Control person joined · fact
- Charles Oliver Walters (Chief Operating Officer) appeared on Schedule A of C••••••••• A•••• M••••••••• L•Sep 7, 2021 · Control person joined · fact
- Nicole Andrea Schweikert (Chief Financial Officer) appeared on Schedule A of C••••••••• A•••• M••••••••• L•Sep 7, 2021 · Control person joined · fact
- C••••••••• A•••• M••••••••• L• reported RAUM $317.6M, down 58% from $760.3M (2020-08-31 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Faye Natalie Smith (President / Chief Compliance Officer) no longer on Schedule A of C••••••••• A•••• M••••••••• L• (listed 2020-07-07, absent 2020-08-28)Aug 28, 2020 · Control person left · inference
- Raymond Christopher Mendez (Chief Compliance Officer And General Counsel) appeared on Schedule A of C••••••••• A•••• M••••••••• L•Aug 28, 2020 · Control person joined · fact
- Eldad Alan Howard (Limited Partner Of Brevan Howard (Jersey) Lp) appeared on Schedule A of C••••••••• A•••• M••••••••• L•Jul 7, 2020 · Control person joined · fact
- C••••••••• A•••• M••••••••• L• filed its initial SEC registration (Form ADV)Oct 8, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C••••••••• A•••• M••••••••• L• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/commonwealth-asset-management-lp/mycompreportedpublic record, Form ADV, Sep 18, 2026
- Website
- cwamgroup.comreportedpublic record, Form ADV, Sep 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
- 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
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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