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•• I••••••••• M••••••••• L••
Latest filing Mar 29, 2024
First filing on the tape Apr 12, 2021 · 6 filings
RAUM
$951M
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
14
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
$856M gross assets
History
6 filings and snapshots on the tape
RAUM$951M as of Mar 29, 2024
Aug 31, 2022$851M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2024
Aug 31, 20220 then
Employees (5.A)14 as of Mar 29, 2024
Aug 31, 202224 then
Private funds3 as of Mar 29, 2024
Aug 31, 20222 then
RAUM +9.8% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 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
- $238MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.8%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 vehicles, selection of other advisersreportedItem 5.G
- Custody
- $951M, 4 clientsreportedItem 9.A
- 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$951M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $951M for 4 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•• H••••••••• O••••••••• F••• I• L• | Real Estate Fund | $643M | 33 | Apr 12, 2021 |
| C•• F••• I• L• | Real Estate Fund | $206M | 17 | Apr 12, 2021 |
| C•• W••••• M••••••••• F••• I• L• | Other Private Fund | $7.2M | 10 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- T•••••• R••••• A•••• · Ceocontrolsince 12/2020 · owns less than 5%
- W•••••• F••••••••• E••••• · Managing Directorcontrolsince 01/2021 · owns less than 5%
- T•••••• R••••• A•••• · Ownercontrolsince 10/2006 · owns 75% or more of C•• M••••••• G••••• L••
- R••••••• I•••••• A• · Chief Compliance Officersince 03/2023 · owns less than 5%
Entity owners
- C•• F•••• G•••• L•• · Ownerindirect · owns 75% or more of C•• M••••••••• L••
- C•• M••••••• G••••• L•• · Ownerindirect · owns 75% or more of C•• F•••• G•••• L••
- C•• M••••••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- C•• H••••••••• G• I• L••pooled vehicle sponsory
- C•• M••••••• G•• L••pooled vehicle sponsory
- C•• M••••••• G••••• L••pooled vehicle sponsory
- C•• W••••• M••••••••• F••• I• G• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Toronto, Ontario, Canada1 employees
What changed
consecutive filings, newest first
- Assets in custody · $866M to $951MMar 31, 2023 to Mar 29, 2024
- HQ city · MIAMI to CORAL GABLESMar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $866M to $951MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $866M to $951MMar 31, 2023 to Mar 29, 2024
- RAUM · $866M to $951MMar 31, 2023 to Mar 29, 2024
- Accounts · 3 to 4Aug 31, 2022 to Mar 31, 2023
- Advisory employees · 16 to 8Aug 31, 2022 to Mar 31, 2023
- Advisory activities · 1 to 2Aug 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 3 to 4Aug 31, 2022 to Mar 31, 2023
- Assets in custody · $0 to $866MAug 31, 2022 to Mar 31, 2023
- Custody of client assets · false to trueAug 31, 2022 to Mar 31, 2023
- Employees · 24 to 14Aug 31, 2022 to Mar 31, 2023
- Private funds · 2 to 3Aug 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $0 to $866MAug 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $851M to $0Aug 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $851M to $866MAug 31, 2022 to Mar 31, 2023
- RAUM · $851M to $866MAug 31, 2022 to Mar 31, 2023
- Accounts · 2 to 3Sep 30, 2021 to Aug 31, 2022
- Advisory employees · 18 to 16Sep 30, 2021 to Aug 31, 2022
- Pooled vehicle clients · 2 to 3Sep 30, 2021 to Aug 31, 2022
- Assets in custody · unset to 0.0Sep 30, 2021 to Aug 31, 2022
- Discretionary RAUM · $301M to $0Sep 30, 2021 to Aug 31, 2022
- Non-discretionary RAUM · $0 to $851MSep 30, 2021 to Aug 31, 2022
- Pooled vehicle RAUM · $301M to $851MSep 30, 2021 to Aug 31, 2022
- RAUM · $301M to $851MSep 30, 2021 to Aug 31, 2022
Signals
7 dated events
- A••••• P•••• S••••••••• (Cfo) no longer on Schedule A of C•• I••••••••• M••••••••• L•• (listed 2021-09-30, absent 2022-08-31)Aug 31, 2022 · Control person left · inference
- Lee Suzanne Wilder (Cco, Gc) no longer on Schedule A of C•• I••••••••• M••••••••• L•• (listed 2021-09-30, absent 2022-08-31)Aug 31, 2022 · Control person left · inference
- C•• I••••••••• M••••••••• L•• reported RAUM $850.5M, up 183% from $301.0M (2021-09-30 to 2022-08-31)Aug 31, 2022 · RAUM change · derived
- M•••••• R•••••• S••••• (Cfo) no longer on Schedule A of C•• I••••••••• M••••••••• L•• (listed 2021-04-29, absent 2021-09-30)Sep 30, 2021 · Control person left · inference
- A••••• P•••• S••••••••• (Cfo) appeared on Schedule A of C•• I••••••••• M••••••••• L••Sep 30, 2021 · Control person joined · fact
- B•••• M•••••• K•••• (Coo) no longer on Schedule A of C•• I••••••••• M••••••••• L•• (listed 2021-04-29, absent 2021-09-30)Sep 30, 2021 · Control person left · inference
- C•• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 12, 2021 · 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
Across the graphs
C•• I••••••••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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