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••••••••• L••

Former SEC-registered adviserNaples, FloridaCRD 313549SEC 801-120966IAPD
Latest filing Nov 6, 2024
First filing on the tape Mar 26, 2021 · 8 filings
SEC status approved since Apr 26, 2021
RAUM
$32.8M
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
10
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$32.8M gross assets
History
8 filings and snapshots on the tape
RAUM$29.4M as of Mar 28, 2024
Mar 29, 2022$41.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2024
Mar 29, 202212 then
Employees (5.A)10 as of Mar 28, 2024
Mar 29, 202212 then
Private funds2 as of Mar 28, 2024
Mar 29, 20222 then
RAUM -20% over the last fiscal yearIARs 9 to 0
Practice profile
derived from the filing of Nov 6, 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
$16.4MderivedRAUM 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
-28%derivedbetween the last two annual amendments
Advisor growth, one year
-100%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 pooled vehiclesreportedItem 5.G
Custody
$29.4M, 2 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$32.8M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$29.4M for 2 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
Every departureEvery arrival
Private funds
4 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
C• N•••••• R•••••••• M•••••• L•Hedge Fund$22.0M23Oct 11, 2021
C• S•••••• O••••••••• F•••• L•no longer reportedHedge Fund$19.4M40Jun 29, 2018
C• S•••••• O••••••••• F•••• L•Hedge Fund$17.7M37Mar 29, 2022
C• N•••••• R••••••••• L•Hedge Fund$15.1M22Dec 9, 2015
Owners and control persons
Schedule A and B, latest filing
  • A••••••• Z••• W••••• · Membercontrol
    since 09/2021 · owns 5% to 10%
  • B•••••• W••••••• N••• · Managing Membercontrol
    since 03/2021 · owns less than 5%
  • E••••• K••••• M• · Membercontrol
    since 03/2021 · owns 10% to 25%
  • F•••••••• B•••••• M•••••• · Managing Member, Chief Operating Officercontrol
    since 03/2021 · owns less than 5%
  • J••••••• L••••• M•••• · Membercontrol
    since 03/2021 · owns less than 5%
  • K••• K•••••••• R••• · Chief Compliance Officercontrol
    since 03/2021 · owns less than 5%
  • K•••••••• R••••••• K••• · Chief Financial Officercontrol
    since 07/2015 · owns less than 5%
  • B•••••• W••••••• N••• · Membercontrol
    since 08/2021 · owns 25% to 50% of C•• H•••••••• L••
  • F•••••••• B•••••• M•••••• · Membercontrol
    since 08/2021 · owns 25% to 50% of C•• H•••••••• L••
  • J••••••• L••••• M•••• · Membercontrol
    since 08/2021 · owns 25% to 50% of C•• H•••••••• L••
  • M•••••• J•••••• H••• · Membercontrol
    since 08/2021 · owns 25% to 50% of C•• H•••••••• L••
Entity owners
  • C•• H•••••••• L•• · Owner
    direct · owns 50% to 75%
Related persons
Schedule D 7.A
  • 5•• A••••• B••••••••• L••
    real estaten
  • C••••• R•••• C•••••• L••
    real estaten
  • C•••••• W••••• A•••••••• I•••
    real estaten
  • C• N•••••• R••••••••• L•
    pooled vehicle sponsorn
  • C• S•••••• O••••••••• F•••• L•
    pooled vehicle sponsorn
  • C•• A•••• M••••••••• G••••
    investment advisernRAUM $4.5B
  • C•• R••• M•••••••••
    real estaten
  • L•••••• W•••• E••••••••• L••
    real estatey
  • L•• C••••••••• L••
    real estatey
  • L••• I••••••••• L••
    real estatey
  • S••••• I•••••••• A•••••••• L••
    real estaten
Advisers that list C• I••••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Naples, Fl · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Discretionary RAUM · $29.4M to $32.8M
    Mar 28, 2024 to Nov 6, 2024
  • Pooled vehicle RAUM · $29.4M to $32.8M
    Mar 28, 2024 to Nov 6, 2024
  • RAUM · $29.4M to $32.8M
    Mar 28, 2024 to Nov 6, 2024
  • Accounts · 4 to 2
    Oct 27, 2023 to Mar 28, 2024
  • Advisory employees · 3 to 2
    Oct 27, 2023 to Mar 28, 2024
  • Pooled vehicle clients · 4 to 2
    Oct 27, 2023 to Mar 28, 2024
  • Assets in custody · $0 to $29.4M
    Oct 27, 2023 to Mar 28, 2024
  • Custody of client assets · false to true
    Oct 27, 2023 to Mar 28, 2024
  • Employees · 11 to 10
    Oct 27, 2023 to Mar 28, 2024
  • Financial planning clients · unset to 0
    Oct 27, 2023 to Mar 28, 2024
  • State-registered IARs · 9 to 0
    Oct 27, 2023 to Mar 28, 2024
  • Discretionary RAUM · $40.8M to $29.4M
    Oct 27, 2023 to Mar 28, 2024
  • Pooled vehicle RAUM · $40.8M to $29.4M
    Oct 27, 2023 to Mar 28, 2024
  • RAUM · $40.8M to $29.4M
    Oct 27, 2023 to Mar 28, 2024
  • Advisory employees · 7 to 3
    Jul 11, 2022 to Mar 31, 2023
  • Assets in custody · $41.4M to $0
    Jul 11, 2022 to Mar 31, 2023
  • Custody of client assets · true to false
    Jul 11, 2022 to Mar 31, 2023
  • Employees · 12 to 11
    Jul 11, 2022 to Mar 31, 2023
  • Insurance-licensed employees · 12 to 9
    Jul 11, 2022 to Mar 31, 2023
  • State-registered IARs · 12 to 9
    Jul 11, 2022 to Mar 31, 2023
  • Discretionary RAUM · $41.4M to $40.8M
    Jul 11, 2022 to Mar 31, 2023
  • Pooled vehicle RAUM · $41.4M to $40.8M
    Jul 11, 2022 to Mar 31, 2023
  • RAUM · $41.4M to $40.8M
    Jul 11, 2022 to Mar 31, 2023
  • Related bank · false to true
    Jul 11, 2022 to Mar 31, 2023
  • Advisory employees · 9 to 7
    Oct 11, 2021 to Mar 29, 2022
  • Assets in custody · $46.8M to $41.4M
    Oct 11, 2021 to Mar 29, 2022
  • Insurance-licensed employees · 11 to 12
    Oct 11, 2021 to Mar 29, 2022
  • State-registered IARs · 11 to 12
    Oct 11, 2021 to Mar 29, 2022
  • Discretionary RAUM · $46.8M to $41.4M
    Oct 11, 2021 to Mar 29, 2022
  • Pooled vehicle RAUM · $46.8M to $41.4M
    Oct 11, 2021 to Mar 29, 2022
  • RAUM · $46.8M to $41.4M
    Oct 11, 2021 to Mar 29, 2022
  • Accounts · 0 to 4
    Mar 26, 2021 to Oct 11, 2021
  • Pooled vehicle clients · unset to 4.0
    Mar 26, 2021 to Oct 11, 2021
  • Assets in custody · unset to 46752341.0
    Mar 26, 2021 to Oct 11, 2021
  • Custody of client assets · false to true
    Mar 26, 2021 to Oct 11, 2021
  • Private funds · unset to 2
    Mar 26, 2021 to Oct 11, 2021
  • Discretionary RAUM · $0 to $46.8M
    Mar 26, 2021 to Oct 11, 2021
  • Pooled vehicle RAUM · unset to 46752341.0
    Mar 26, 2021 to Oct 11, 2021
  • RAUM · $0 to $46.8M
    Mar 26, 2021 to Oct 11, 2021
Signals
6 dated events
  • C• I••••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $32.8M)
    May 2, 2025 · Left the SEC roster · derived
  • Kimberly Ruth Key no longer registered at C• I••••••••• L••; no later IA registration on IAPD
    Mar 27, 2025 · Advisor departure · fact
  • B••••• M•••••• F••••••• left C• I••••••••• L•• for G•••••••• C•••••• M••••••••• G•••• L•• (registered 2022-10-19)
    Mar 27, 2025 · Advisor changed firm · fact
  • Karl Richard Knepfler (Chief Financial Officer) appeared on Schedule A of C• I••••••••• L••
    Mar 28, 2024 · Control person joined · fact
  • Warren Zev Abraham (Member) appeared on Schedule A of C• I••••••••• L••
    Oct 11, 2021 · Control person joined · fact
  • C• I••••••••• L•• filed its initial SEC registration (Form ADV)
    Mar 26, 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