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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SEC-registered adviser
C••••• P•••••••• A•••••••• L••
Latest filing Apr 28, 2026
First filing on the tape Nov 6, 2020 · 13 filings
SEC status approved since Dec 7, 2020
RAUM
$859M
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
16
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$859M as of Apr 28, 2026
Mar 3, 2021$630M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 28, 2026
Mar 3, 20210 then
Employees (5.A)16 as of Apr 28, 2026
Mar 3, 202110 then
Private funds2 as of Apr 28, 2026
Mar 29, 20242 then
RAUM -11% over the last fiscal year+3.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 28, 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
- $215MderivedRAUM 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
- -11%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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$859M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•• O••••••••• M••••• F••• I• L••• | Hedge Fund | $147M | 22 | Mar 29, 2024 |
| C•• O••••••••• I••••••••• F••• I• L••• | Hedge Fund | $107M | 22 | Mar 29, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• T•••• S•••••• · Chief Operating Officercontrolsince 03/2020 · owns less than 5%
- L••••• M••••••• N•• · Chief Compliance Officer, Chief Financial Officercontrolsince 03/2022 · owns less than 5%
- S••••••• J•••••••• D••••• C• · President & Chief Investment Officercontrolsince 03/2020 · owns less than 5%
- S••••••• J•••••••• D••••• C• · Presidentcontrolsince 03/2020 · owns 75% or more of P••••••• P•••••••• A••••••• C•••••••••
Entity owners
- P••••••• P•••••••• A••••••• C••••••••• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- C•• O••••••••• F••• I• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5 to 4Jul 9, 2025 to Mar 27, 2026
- Pooled vehicle clients · 5 to 4Jul 9, 2025 to Mar 27, 2026
- Employees · 14 to 16Jul 9, 2025 to Mar 27, 2026
- Discretionary RAUM · $964M to $859MJul 9, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $964M to $859MJul 9, 2025 to Mar 27, 2026
- RAUM · $964M to $859MJul 9, 2025 to Mar 27, 2026
- Financial planning clients · unset to Mar 26, 2025 to Jul 9, 2025
- HQ city · GREENWICH to STAMFORDMar 26, 2025 to Jul 9, 2025
- Advisory employees · 7 to 8Jun 17, 2024 to Mar 26, 2025
- Employees · 13 to 14Jun 17, 2024 to Mar 26, 2025
- Discretionary RAUM · $864M to $964MJun 17, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $864M to $964MJun 17, 2024 to Mar 26, 2025
- RAUM · $864M to $964MJun 17, 2024 to Mar 26, 2025
- Accounts · 1 to 5Mar 23, 2023 to Mar 29, 2024
- Advisory employees · 8 to 7Mar 23, 2023 to Mar 29, 2024
- Pooled vehicle clients · 1 to 5Mar 23, 2023 to Mar 29, 2024
- Employees · 14 to 13Mar 23, 2023 to Mar 29, 2024
- Private funds · unset to 2Mar 23, 2023 to Mar 29, 2024
- Discretionary RAUM · $779M to $864MMar 23, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $779M to $864MMar 23, 2023 to Mar 29, 2024
- RAUM · $779M to $864MMar 23, 2023 to Mar 29, 2024
- Employees · 12 to 14May 9, 2022 to Mar 23, 2023
- Discretionary RAUM · $530M to $779MMay 9, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $530M to $779MMay 9, 2022 to Mar 23, 2023
- RAUM · $530M to $779MMay 9, 2022 to Mar 23, 2023
- Advisory employees · 7 to 8Mar 3, 2021 to Mar 18, 2022
- Employees · 10 to 12Mar 3, 2021 to Mar 18, 2022
- Discretionary RAUM · $630M to $530MMar 3, 2021 to Mar 18, 2022
- Pooled vehicle RAUM · $630M to $530MMar 3, 2021 to Mar 18, 2022
- RAUM · $630M to $530MMar 3, 2021 to Mar 18, 2022
- Discretionary RAUM · $2 to $630MJan 4, 2021 to Feb 18, 2021
- Pooled vehicle RAUM · $2 to $630MJan 4, 2021 to Feb 18, 2021
- RAUM · $2 to $630MJan 4, 2021 to Feb 18, 2021
Signals
2 dated events
- C••••• P•••••••• A•••••••• L•• reported RAUM $779.0M, up 47% from $530.0M (2022-05-09 to 2023-03-23)Mar 23, 2023 · RAUM change · derived
- C••••• P•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Nov 6, 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.
How to reach
public business contact points only, each with its source
- Website
- c••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-496-5224reportedpublic record, Form ADV, Apr 28, 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