DFX Intelligence
RIA Intelligence
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SEC-registered adviser
C•••••• C•••••• M••••••••• L•
Latest filing Mar 23, 2026
First filing on the tape Jun 28, 2024 · 4 filings
SEC status approved since Jul 29, 2024
RAUM
$178M
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
1
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$178M as of Mar 23, 2026
Mar 21, 2025$252M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2026
Mar 21, 20250 then
Employees (5.A)5 as of Mar 23, 2026
Mar 21, 20255 then
Private funds1 as of Mar 23, 2026
Mar 21, 20251 then
RAUM -29% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 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
- $59.4MderivedRAUM 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
- -29%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 pooled vehiclesreportedItem 5.G
- Custody
- $178M, 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
- 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)
- 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$178M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $178M for 3 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=false 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•••••• C•••••• M••••• F••• L• | Hedge Fund | $214M | 15 | Jan 30, 2020 |
Owners and control persons
Schedule A and B, latest filing
- L••• A••• · Cfo & Ccocontrolsince 07/2021 · owns less than 5%
- M••••••••• J•••• C••••• · Cio & Limited Partnercontrolsince 02/2019 · owns 75% or more
- M••••••••• J•••• C••••• · Sole Membercontrolsince 02/2019 · owns 75% or more of C•••••• C•••••• M••••••••• G• L••
Entity owners
- C•••••• C•••••• M••••••••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- C•••••• C•••••• F•••• G• L••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 down 25 %Change between filings · filing Mar 23, 2026RAUM (Item 5.F) moved from $251,830,829 to $178,143,123 (-29.0%) between the annual amendments of 2025-03-21 and 2026-03-23; the peer median change was +4.0% (1145 comparable advisers, 9.0th percentile of changes)peers: asset managers, $100M to $500M (1,145) · 8.6% percentile
What changed
consecutive filings, newest first
- Assets in custody · $252M to $178MMay 13, 2025 to Mar 23, 2026
- Discretionary RAUM · $252M to $178MMay 13, 2025 to Mar 23, 2026
- Pooled vehicle RAUM · $252M to $178MMay 13, 2025 to Mar 23, 2026
- RAUM · $252M to $178MMay 13, 2025 to Mar 23, 2026
- Financial planning clients · unset to Mar 21, 2025 to May 13, 2025
- Advisory employees · 4 to 5Jun 28, 2024 to Mar 21, 2025
- Assets in custody · $214M to $252MJun 28, 2024 to Mar 21, 2025
- Employees · 4 to 5Jun 28, 2024 to Mar 21, 2025
- Private funds · 2 to 1Jun 28, 2024 to Mar 21, 2025
- Discretionary RAUM · $214M to $252MJun 28, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $214M to $252MJun 28, 2024 to Mar 21, 2025
- RAUM · $214M to $252MJun 28, 2024 to Mar 21, 2025
Signals
1 dated events
- C•••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Jun 28, 2024 · 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
- Principal office phone
- 332-207-4630reportedpublic record, Form ADV, Mar 23, 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
- 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