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.

SEC-registered adviser

Columbia Cent Clo Advisers, LLC

Asset manager (funds and pooled vehicles)Boston, MassachusettsCRD 310864SEC 801-119647IAPD
Latest filing Mar 27, 2026
First filing on the tape Sep 17, 2020 · 17 filings
SEC status approved since Oct 14, 2020
RAUM
$3.0B
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
24
13 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
10
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$3.0B as of Mar 27, 2026
Mar 29, 2021$3.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 27, 2026
Mar 29, 20212 then
Employees (5.A)24 as of Mar 27, 2026
Mar 29, 202126 then
Private funds10 as of Mar 27, 2026
Mar 29, 20217 then
RAUM +5.7% over the last fiscal year+1.7% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$3.0BderivedRAUM 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
$300MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
24.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+5.7%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
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)
  • 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
  • Pooled investment vehicles$3.0B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
10reported
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=true related_bank=true bd_reps=3.0derived
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
      Every departureEvery arrival
      Private funds
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Columbia Cent Clo 29 LimitedSecuritized Asset Fund$392M9Mar 29, 2021
      Columbia Cent Clo 31 LimitedSecuritized Asset Fund$391M9Mar 28, 2022
      Columbia Cent Clo 30 LimitedSecuritized Asset Fund$386M9Mar 29, 2021
      Columbia Cent Clo 27 LimitedSecuritized Asset Fund$385M8Mar 28, 2019
      Cent Clo 21 LimitedSecuritized Asset Fund$383M10Mar 30, 2015
      Columbia Cent Clo 32 LimitedSecuritized Asset Fund$348M12Mar 28, 2023
      Columbia Cent Clo 28 LimitedSecuritized Asset Fund$318M15Mar 28, 2019
      Cent Clo 24 Limitedno longer reportedSecuritized Asset Fund$2.0M9Mar 21, 2016
      Cent Clo 19 Limitedno longer reportedSecuritized Asset Fund$8559Mar 28, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • Gerald Michael Clarke · Senior Vice President And North America Head Of Operations & Investor Servicescontrol
        since 06/2023 · owns less than 5%
      • E Michael Defao · Chief Legal Officer, Vice President And Assistant Secretarycontrol
        since 10/2021 · owns less than 5%
      • Michael Brian Engelking · Member, Board Of Directors, Vice President And Chief Financial Officercontrol
        since 08/2020 · owns less than 5%
      • A Lee Faria · Vice President And Chief Compliance Officercontrol
        since 08/2020 · owns less than 5%
      • Dewayne Stanton Ray · Vice Presidentcontrol
        since 01/2024 · owns less than 5%
      • Frederick William Truscott · President, Chief Executive Officer, And Chairman Of The Boardcontrol
        since 01/2024 · owns less than 5%
      • M Matt Waldner · Senior Vice President And Global Head Of Tradingcontrol
        since 03/2024 · owns less than 5%
      • Richard Gene Tannuzzo · Member, Board Of Directors, Managing Director And Global Head Of Fixed Income
        since 01/2022 · owns less than 5%
      Entity owners
      • Riversource Life Insurance Company · Sole Member
        direct · owns 75% or more
      • Ameriprise Financial, Inc. · Sole Shareholder
        indirect · owns 75% or more of Riversource Life Insurance Company · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list Columbia Cent Clo Advisers, LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • El Segundo, CA10 employees
      What changed
      consecutive filings, newest first
      • Accounts · 9 to 10
        Mar 26, 2025 to Mar 27, 2026
      • Advisory employees · 14 to 13
        Mar 26, 2025 to Mar 27, 2026
      • Pooled vehicle clients · 9 to 10
        Mar 26, 2025 to Mar 27, 2026
      • Employees · 25 to 24
        Mar 26, 2025 to Mar 27, 2026
      • State-registered IARs · 2 to 1
        Mar 26, 2025 to Mar 27, 2026
      • Private funds · 9 to 10
        Mar 26, 2025 to Mar 27, 2026
      • Discretionary RAUM · $2.8B to $3.0B
        Mar 26, 2025 to Mar 27, 2026
      • Pooled vehicle RAUM · $2.8B to $3.0B
        Mar 26, 2025 to Mar 27, 2026
      • RAUM · $2.8B to $3.0B
        Mar 26, 2025 to Mar 27, 2026
      • Employees · 24 to 25
        Apr 25, 2024 to Mar 26, 2025
      • Accounts · 7 to 9
        Apr 25, 2024 to Mar 26, 2025
      • Advisory employees · 13 to 14
        Apr 25, 2024 to Mar 26, 2025
      • Pooled vehicle clients · 7 to 9
        Apr 25, 2024 to Mar 26, 2025
      • Financial planning clients · unset to
        Apr 25, 2024 to Mar 26, 2025
      • Private funds · 7 to 9
        Apr 25, 2024 to Mar 26, 2025
      • Discretionary RAUM · $2.6B to $2.8B
        Apr 25, 2024 to Mar 26, 2025
      • Pooled vehicle RAUM · $2.6B to $2.8B
        Apr 25, 2024 to Mar 26, 2025
      • RAUM · $2.6B to $2.8B
        Apr 25, 2024 to Mar 26, 2025
      • Advisory employees · 12 to 13
        Jan 19, 2024 to Mar 27, 2024
      • Employees · 27 to 24
        Jan 19, 2024 to Mar 27, 2024
      • Insurance-licensed employees · 3 to 2
        Jan 19, 2024 to Mar 27, 2024
      • State-registered IARs · 1 to 2
        Jan 19, 2024 to Mar 27, 2024
      • Discretionary RAUM · $2.8B to $2.6B
        Jan 19, 2024 to Mar 27, 2024
      • Pooled vehicle RAUM · $2.8B to $2.6B
        Jan 19, 2024 to Mar 27, 2024
      • RAUM · $2.8B to $2.6B
        Jan 19, 2024 to Mar 27, 2024
      • Accounts · 8 to 7
        Jan 13, 2023 to Mar 28, 2023
      • Advisory employees · 13 to 12
        Jan 13, 2023 to Mar 28, 2023
      • Pooled vehicle clients · 8 to 7
        Jan 13, 2023 to Mar 28, 2023
      • Employees · 26 to 27
        Jan 13, 2023 to Mar 28, 2023
      • Private funds · 8 to 7
        Jan 13, 2023 to Mar 28, 2023
      • Discretionary RAUM · $2.7B to $2.8B
        Jan 13, 2023 to Mar 28, 2023
      • Pooled vehicle RAUM · $2.7B to $2.8B
        Jan 13, 2023 to Mar 28, 2023
      • RAUM · $2.7B to $2.8B
        Jan 13, 2023 to Mar 28, 2023
      • Accounts · 7 to 8
        Jan 31, 2022 to Mar 28, 2022
      • Advisory employees · 12 to 13
        Jan 31, 2022 to Mar 28, 2022
      • Pooled vehicle clients · 7 to 8
        Jan 31, 2022 to Mar 28, 2022
      • Employees · 25 to 26
        Jan 31, 2022 to Mar 28, 2022
      • State-registered IARs · 2 to 1
        Jan 31, 2022 to Mar 28, 2022
      • Private funds · 7 to 8
        Jan 31, 2022 to Mar 28, 2022
      • Discretionary RAUM · $3.2B to $2.7B
        Jan 31, 2022 to Mar 28, 2022
      Signals
      10 dated events
      • J Stephen Harasimowicz (Senior Vice President And Global Head Of Trading) no longer on Schedule A of Columbia Cent Clo Advisers, Llc (listed 2024-01-19, absent 2024-03-27)
        Mar 27, 2024 · Control person left · inference
      • M Matt Waldner (Senior Vice President And Global Head Of Trading) appeared on Schedule A of Columbia Cent Clo Advisers, Llc
        Mar 27, 2024 · Control person joined · fact
      • Dewayne Stanton Ray (Vice President) appeared on Schedule A of Columbia Cent Clo Advisers, Llc
        Jan 19, 2024 · Control person joined · fact
      • Edward Scott Couto (Member, Board Of Directors, Executive Vice President And Head Of North America) no longer on Schedule A of Columbia Cent Clo Advisers, Llc (listed 2023-11-21, absent 2024-01-19)
        Jan 19, 2024 · Control person left · inference
      • John William Landes (Head Of North America Institutional Sales And Global Head Of Investment Solutions) no longer on Schedule A of Columbia Cent Clo Advisers, Llc (listed 2022-07-15, absent 2023-01-13)
        Jan 13, 2023 · Control person left · inference
      • Colin Moore (Member, Board Of Directors, Executive Vice President And Global Chief Investment Officer) no longer on Schedule A of Columbia Cent Clo Advisers, Llc (listed 2021-10-29, absent 2022-01-31)
        Jan 31, 2022 · Control person left · inference
      • E Michael Defao (Chief Legal Officer, Vice President And Assistant Secretary) appeared on Schedule A of Columbia Cent Clo Advisers, Llc
        Oct 29, 2021 · Control person joined · fact
      • Brian Paul Goucher (Chief Legal Officer, Vice President And Assistant Secretary) no longer on Schedule A of Columbia Cent Clo Advisers, Llc (listed 2021-07-30, absent 2021-10-29)
        Oct 29, 2021 · Control person left · inference
      • James Colin Lundgren (Managing Director And Global Head Of Fixed Income) no longer on Schedule A of Columbia Cent Clo Advisers, Llc (listed 2020-09-17, absent 2021-03-29)
        Mar 29, 2021 · Control person left · inference
      • Columbia Cent Clo Advisers, Llc filed its initial SEC registration (Form ADV)
        Sep 17, 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
      Principal office phone
      800-225-2365reportedpublic record, Form ADV, Mar 27, 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