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••• L••
Latest filing Apr 24, 2026
First filing on the tape Dec 9, 2020 · 16 filings
SEC status approved since Jan 8, 2021
RAUM
$300M
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$300M as of Apr 24, 2026
Mar 29, 2021$225M then
HNW client RAUM$0 as of Apr 24, 2026
Mar 29, 2021$0 then
State-registered IARs (5.B.3)0 as of Apr 24, 2026
Mar 29, 20210 then
Employees (5.A)2 as of Apr 24, 2026
Mar 29, 20212 then
Private funds: no history
RAUM +8.6% over the last fiscal year+9.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- 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
- $21.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 100%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
- +8.6%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, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$300M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 14reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• T•••••• E••••• · Ceocontrolsince 12/2020 · owns less than 5%
- G••••••• W•••••• A••• · Ccocontrolsince 12/2020 · owns less than 5%
- D•••••• T•••••• E••••• · Membercontrolsince 01/2010 · owns 75% or more of D••••• H••••••• L••
Entity owners
- C••••••••• L•• · Memberdirect · owns 75% or more
- D••••• H••••••• L•• · Memberindirect · owns 50% to 75% of C••••••••• L••
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $276M to $300MFeb 13, 2025 to Mar 25, 2026
- Pension RAUM · $276M to $300MFeb 13, 2025 to Mar 25, 2026
- RAUM · $276M to $300MFeb 13, 2025 to Mar 25, 2026
- Accounts · 16 to 14Mar 5, 2024 to Feb 13, 2025
- Advisory activities · 1 to 2Mar 5, 2024 to Feb 13, 2025
- Financial planning clients · 0 to 0Mar 5, 2024 to Feb 13, 2025
- Discretionary RAUM · $228M to $276MMar 5, 2024 to Feb 13, 2025
- Pension RAUM · $228M to $276MMar 5, 2024 to Feb 13, 2025
- RAUM · $228M to $276MMar 5, 2024 to Feb 13, 2025
- Accounts · 17 to 16Nov 15, 2023 to Mar 5, 2024
- Discretionary RAUM · $229M to $228MNov 15, 2023 to Mar 5, 2024
- Pension RAUM · $229M to $228MNov 15, 2023 to Mar 5, 2024
- RAUM · $229M to $228MNov 15, 2023 to Mar 5, 2024
- HQ city · unset to MARCO ISLANDMay 19, 2023 to Oct 16, 2023
- HQ state · unset to FLMay 19, 2023 to Oct 16, 2023
- Discretionary RAUM · $250M to $229MFeb 23, 2023 to Mar 3, 2023
- Pension RAUM · $250M to $229MFeb 23, 2023 to Mar 3, 2023
- RAUM · $250M to $229MFeb 23, 2023 to Mar 3, 2023
- HQ city · NEW YORK to unsetFeb 8, 2022 to Jun 8, 2022
- HQ state · NY to unsetFeb 8, 2022 to Jun 8, 2022
- Accounts · 5 to 17Aug 17, 2021 to Feb 8, 2022
- Discretionary RAUM · $225M to $250MAug 17, 2021 to Feb 8, 2022
- Pension RAUM · $225M to $250MAug 17, 2021 to Feb 8, 2022
- RAUM · $225M to $250MAug 17, 2021 to Feb 8, 2022
- Accounts · 6 to 5Feb 17, 2021 to Mar 29, 2021
- Accounts · 0 to 6Dec 9, 2020 to Feb 17, 2021
- Pension plan clients · 0 to 1Dec 9, 2020 to Feb 17, 2021
- Discretionary RAUM · $0 to $225MDec 9, 2020 to Feb 17, 2021
- Pension RAUM · $0 to $225MDec 9, 2020 to Feb 17, 2021
- RAUM · $0 to $225MDec 9, 2020 to Feb 17, 2021
Signals
1 dated events
- C••• L•• filed its initial SEC registration (Form ADV)Dec 9, 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
- (212) 359-0959reportedpublic record, Form ADV, Apr 24, 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
- Institutional managerderiveda 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