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••••••• P••••••• L••
Latest filing Apr 26, 2024
First filing on the tape Jun 28, 2022 · 7 filings
RAUM
$211M
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
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$211M gross assets
History
7 filings and snapshots on the tape
RAUM$256M as of Mar 29, 2024
Mar 31, 2023$317M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2024
Mar 31, 20230 then
Employees (5.A)4 as of Mar 29, 2024
Mar 31, 20235 then
Private funds2 as of Mar 29, 2024
Mar 31, 20232 then
RAUM -33% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 26, 2024; 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
- $52.8MderivedRAUM 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
- -19%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
- yesreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$211M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••• L•• | Hedge Fund | $136M | 40 | Dec 14, 2020 |
| C••••••• S•••••• S••••••••• F••• I• L•• | Hedge Fund | $1.9M | 1 | Dec 14, 2020 |
Owners and control persons
Schedule A and B, latest filing
- R••••••• D•••••• J• · Chief Executive Officer And Chief Investment Officercontrolsince 04/2019 · owns less than 5%
- R••••••• D•••••• J• · Managing M•••••controlsince 04/2019 · owns 75% or more of D• M••••• L••
- S•••• M•••••• D•••••• · Managing M•••••controlsince 04/2019 · owns 75% or more of M••• S••• C••••••• P•••••••• L••
- F•••••••• S••• H••••• · Chief Financial Officersince 04/2019 · owns less than 5%
- R•••••• D••••• L•• · Chief Compliance Officersince 03/2022 · owns less than 5%
Entity owners
- D• M••••• L•• · Shareholderdirect · owns 50% to 75%
- M••• S••• C••••••• P•••••••• L•• · Shareholderdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- A••••• C•••••• M••••••••• L••investment advisernRAUM $610M
- C••••••• G• L••pooled vehicle sponsorn
- M••• S••• S••••••••• L•••••broker-dealern
- M••• S••••••••• F•••••••• S••••••••• M••••••••• C••••••• L••investment advisernRAUM $8.3M
- M••• S•••• L••investment adviserbanknRAUM $2.1B
Advisers that list C••••••• P••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $256M to $211MMar 29, 2024 to Apr 26, 2024
- Pooled vehicle RAUM · $256M to $211MMar 29, 2024 to Apr 26, 2024
- RAUM · $256M to $211MMar 29, 2024 to Apr 26, 2024
- Employees · 5 to 4Mar 31, 2023 to Mar 29, 2024
- Financial planning clients · unset to 0Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $317M to $256MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $317M to $256MMar 31, 2023 to Mar 29, 2024
- RAUM · $317M to $256MMar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $325M to $317MSep 9, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $325M to $317MSep 9, 2022 to Mar 31, 2023
- RAUM · $325M to $317MSep 9, 2022 to Mar 31, 2023
- HQ city · UPPER SADDLE RIVER to MONTVALEJun 28, 2022 to Sep 9, 2022
- Private funds · 4 to 2Jun 28, 2022 to Sep 9, 2022
Signals
1 dated events
- C••••••• P••••••• L•• filed its initial SEC registration (Form ADV)Jun 28, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C••••••• P••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- cladrius.comreportedpublic record, Form ADV, Sep 18, 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
- 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