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•••• L••••• L••
Latest filing Sep 15, 2022
First filing on the tape Nov 18, 2019 · 7 filings
RAUM
$180M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
69%
$124M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$42.3M gross assets
History
7 filings and snapshots on the tape
RAUM$180M as of Mar 31, 2022
Apr 14, 2020$37.8M then
HNW client RAUM: $124M
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Apr 14, 20200 then
Employees (5.A)8 as of Mar 31, 2022
Apr 14, 20203 then
Private funds3 as of Mar 31, 2022
Apr 14, 20203 then
RAUM +57% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 15, 2022; 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
- $31.0MderivedHNW RAUM over HNW clients
- Average account
- $25.7MderivedRAUM 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
- +57%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- 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)
- 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$124M69%
- Pooled investment vehicles$55.7M31%
- Individual clients
- n/areported
- HNW clients
- 4reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| K•• C•••••• M••••••••• L• | Hedge Fund | $23.6M | 9 | Jul 10, 2017 |
| J••• C•••••• I••••••••• F••• L• | Private Equity Fund | $13.0M | 10 | Jul 10, 2017 |
| J••• C•••••• I••••••••• F••• I• L• | Private Equity Fund | $5.7M | 5 | Mar 28, 2019 |
Owners and control persons
Schedule A and B, latest filing
- D••••• H••••••• G••••• · Managing Membercontrolsince 10/2019 · owns 75% or more
- H••••••• R•••••• R••••••• · Chief Compliance Officercontrolsince 10/2019 · owns less than 5%
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 · 5 to 7Mar 31, 2021 to Mar 31, 2022
- HNW clients · unset to 4.0Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $115M to $180MMar 31, 2021 to Mar 31, 2022
- HNW RAUM · unset to 124000000.0Mar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $42.3M to $55.7MMar 31, 2021 to Mar 31, 2022
- RAUM · $115M to $180MMar 31, 2021 to Mar 31, 2022
- Employees · 3 to 8Apr 14, 2020 to Mar 31, 2021
- Discretionary RAUM · $37.8M to $115MApr 14, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $37.8M to $42.3MApr 14, 2020 to Mar 31, 2021
- RAUM · $37.8M to $115MApr 14, 2020 to Mar 31, 2021
- Related adviser · true to falseApr 14, 2020 to Mar 31, 2021
- Accounts · unset to 5.0Jan 23, 2020 to Apr 14, 2020
- Advisory activities · 2 to 3Jan 23, 2020 to Apr 14, 2020
- Pooled vehicle clients · unset to 3.0Jan 23, 2020 to Apr 14, 2020
- Private funds · unset to 3Jan 23, 2020 to Apr 14, 2020
- Discretionary RAUM · unset to 37823000.0Jan 23, 2020 to Apr 14, 2020
- Non-discretionary RAUM · unset to 0.0Jan 23, 2020 to Apr 14, 2020
- Pooled vehicle RAUM · unset to 37823000.0Jan 23, 2020 to Apr 14, 2020
- RAUM · unset to 37823000.0Jan 23, 2020 to Apr 14, 2020
Signals
1 dated events
- C•••• L••••• L•• filed its initial SEC registration (Form ADV)Nov 18, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••• L••••• L•• · Private Equityshared crd · organization
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