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••

Former SEC-registered adviserNaperville, IllinoisCRD 310196SEC 801-119329IAPD
Latest filing Aug 11, 2021
First filing on the tape Jul 22, 2020 · 3 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 11, 2021
Jul 22, 20200 then
Employees (5.A)15 as of Aug 11, 2021
Jul 22, 202015 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 11, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 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 assetsreportedItem 5.E
Advisory activities
selection of other advisers, otherreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••••• C••••••••• A•••• · Associate Vice Presidentcontrol
        since 01/2020 · owns less than 5%
      • H•••••• T•••••• E••••• · President And Chief Financial Officercontrol
        since 01/2020 · owns less than 5%
      • J••••••• J•••••• C••••••••• · Chief Legal Officer And Secretarycontrol
        since 01/2020 · owns less than 5%
      • L•••••• T•••••• M••• · Vice Presidentcontrol
        since 01/2020 · owns less than 5%
      • S•••••••• A•••••• K•••• · Vice Presidentcontrol
        since 01/2020 · owns less than 5%
      • S•••••• J••••••••• E•••••••• · Chief Compliance Officercontrol
        since 07/2021 · owns less than 5%
      • C•••••• S••• J•••• P•••• · T•••••• And Shareholdercontrol
        since 08/1985 · owns 75% or more of J••• P• C••••••• T••••••• U•••• T•• J••• P• C•••••• 1••• T•••• D•••• A••••• 2•• 1•••
      • C•••••• S••• J•••• P•••• · Shareholdercontrol
        since 12/2020 · owns 50% to 75% of C•••••• A•••• M••••••••• I•••
      • C•••••• S••• J•••• P•••• · Managercontrol
        since 07/2016 · owns F of C•••••• P••••••• L••
      • G••••••• S••••• E••••• · Managing Membercontrol
        since 10/2006 · owns F of G• M••••••••• L••
      • G••••••• S••••• E••••• · Membercontrol
        since 06/2005 · owns F of A••••• C•••••• M••••••••• I• G•••••• L••
      • G••••••• S••••• E••••• · Managing Membercontrol
        since 10/2006 · owns F of A••••• M••••••••• H••••• G•••••• L••
      • K••••••••• J•••• S•••• · Managercontrol
        since 07/2016 · owns F of C•••••• P••••••• L••
      • K••••••••• J•••• S•••• · Shareholdercontrol
        since 12/2020 · owns 25% to 50% of C•••••• A•••• M••••••••• I•••
      • L••••• M•••• N•• · Managing Membercontrol
        since 06/2005 · owns 75% or more of A••••• C•••••• M••••••••• I• G•••••• L••
      • L••••• M•••• N•• · Managing Membercontrol
        since 10/2006 · owns 75% or more of A••••• M••••••••• H••••• G•••••• L••
      • L••••• M•••• N•• · Managing Membercontrol
        since 10/2006 · owns 75% or more of G• M••••••••• L••
      • L••••• M•••• N•• · Chairman And Chief Executive Officer Of A••••• Capital Groupcontrol
        since 06/2000 · owns 50% to 75% of A••••• C•••••• M••••••••• I•• L•••
      • T••••••••• W••••••• J• · Managercontrol
        since 07/2016 · owns F of C•••••• P••••••• L••
      Entity owners
      • A••••• C•••••• M••••••••• I•• L••• · Member
        direct · owns 50% to 75%
      • C•••••• A••••••• L•• · Member
        direct · owns 50% to 75%
      • A••••• C•••••• M••••••••• I• G•••••• L•• · General Partner
        indirect · owns F of A••••• C•••••• M••••••••• I•• L•••
      • A••••• M••••••••• H••••• G•••••• L•• · General Partner
        indirect · owns F of A••••• M••••••••• H•••••• L•••
      • A••••• M••••••••• H•••••• L••• · Limited Partner
        indirect · owns 75% or more of A••••• C•••••• M••••••••• I•• L•••
      • C•••••• A•••• M••••••••• I••• · Sole Manager/Member
        indirect · owns F of C•••••• I••••••••• L••
      • C•••••• F••••• P•••••••• I••• · Member
        indirect · owns 75% or more of C•••••• P••••••• L••
      • C•••••• I••••••••• L•• · Sole Member/Manager
        indirect · owns 75% or more of C•••••• A••••••• L••
      • C•••••• P••••••• L•• · Member
        indirect · owns 75% or more of C•••••• I••••••••• L••
      • G• M••••••••• L•• · Managing Member
        indirect · owns 75% or more of M•• M••••••••• L••
      • J••• P• C••••••• T••••••• U•••• T•• J••• P• C•••••• 1••• T•••• D•••• A••••• 2•• 1••• · Shareholder
        indirect · owns 75% or more of C•••••• F••••• P•••••••• I•••
      • M•• M••••••••• L•• · Limited Partner
        indirect · owns 75% or more of A••••• M••••••••• H•••••• L•••
      Related persons
      Schedule D 7.A
      Advisers that list C•••••• A••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY4 employees
      • San Francisco, CA1 employees
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      2 dated events
      • Elizabeth Jacqueline Sinker (Chief Compliance Officer) appeared on Schedule A of C•••••• A••••• M••••••••• L••
        Aug 11, 2021 · Control person joined · fact
      • C•••••• A••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jul 22, 2020 · 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.
      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