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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C••••••••• A•••• M••••••••• ••• L••
Latest filing Jun 10, 2026
First filing on the tape Sep 16, 2021 · 22 filings
SEC status approved since Oct 14, 2021
RAUM
$252M
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
8
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$252M as of Jun 10, 2026
Mar 31, 2022$85.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 10, 2026
Mar 31, 20220 then
Employees (5.A)8 as of Jun 10, 2026
Mar 31, 202217 then
Private funds1 as of Mar 30, 2023
Mar 31, 20222 then
RAUM -2.6% over the last fiscal year+101% a year over threeIARs 2 to 0
Practice profile
derived from the filing of Jun 10, 2026; 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
- $84.0MderivedRAUM 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
- -2.6%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$252M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=4.0derived
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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| V••••••• O•••••• D••• M••••• F•••• L••no longer reported | Hedge Fund | $25.1M | 37 | Dec 7, 2021 |
| V••••••• O••••••••• F••• L•no longer reported | Hedge Fund | $1.3M | 2 | Mar 30, 2023 |
| V••••••• P••••••• F••• I• L••no longer reported | Other Private Fund | $150,000 | 3 | Mar 31, 2022 |
Owners and control persons
Schedule A and B, latest filing
- H•••• A•••••• E••• · Chief Compliance Officercontrolsince 06/2022 · owns less than 5%
Entity owners
- C••••••••• I••••••••• L•••••• · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- C••••••••• C•••••• L••broker-dealern
- C••••••••• C•pooled vehicle sponsorn
- C••••••••• G• I• L••pooled vehicle sponsorn
- C••••••••• J••••• L••••••bankn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- BD registered reps · 3 to 4Apr 20, 2026 to Jun 10, 2026
- Business name · V••••••• F•••• L•• to C••••••••• A•••• M••••••••• ••• L••Apr 20, 2026 to Jun 10, 2026
- Legal name · V••••••• F•••• L•• to C••••••••• A•••• M••••••••• ••• L••Apr 20, 2026 to Jun 10, 2026
- Advisory activities · 2 to 1Nov 7, 2025 to Feb 4, 2026
- State-registered IARs · 3 to 0Nov 7, 2025 to Feb 4, 2026
- Discretionary RAUM · $259M to $252MNov 7, 2025 to Feb 4, 2026
- RAUM · $259M to $252MNov 7, 2025 to Feb 4, 2026
- Related adviser · true to falseNov 7, 2025 to Feb 4, 2026
- Employees · 6 to 8May 15, 2025 to Aug 28, 2025
- BD registered reps · 2 to 3Apr 24, 2025 to May 15, 2025
- Financial planning clients · unset to Apr 24, 2025 to May 15, 2025
- HQ city · BRENTWOOD to NEW YORKApr 24, 2025 to May 15, 2025
- HQ state · TN to NYApr 24, 2025 to May 15, 2025
- State-registered IARs · 2 to 3Apr 24, 2025 to May 15, 2025
- BD registered reps · 3 to 2Jan 21, 2025 to Apr 24, 2025
- Assets in custody · 0.0 to unsetJan 21, 2025 to Apr 24, 2025
- State-registered IARs · 3 to 2Jan 21, 2025 to Apr 24, 2025
- Discretionary RAUM · $343M to $259MJan 21, 2025 to Apr 24, 2025
- RAUM · $343M to $259MJan 21, 2025 to Apr 24, 2025
- Advisory employees · 2 to 1Sep 27, 2024 to Dec 2, 2024
- BD registered reps · 0 to 3Sep 27, 2024 to Dec 2, 2024
- Employees · 5 to 6Sep 27, 2024 to Dec 2, 2024
- State-registered IARs · 0 to 3Sep 27, 2024 to Dec 2, 2024
- Discretionary RAUM · $152M to $343MSep 27, 2024 to Dec 2, 2024
- RAUM · $152M to $343MSep 27, 2024 to Dec 2, 2024
- Advisory employees · 4 to 2Mar 30, 2023 to Mar 22, 2024
- Pooled vehicle clients · 1.0 to unsetMar 30, 2023 to Mar 22, 2024
- Custody of client assets · true to falseMar 30, 2023 to Mar 22, 2024
- Employees · 11 to 5Mar 30, 2023 to Mar 22, 2024
- Private funds · 1 to unsetMar 30, 2023 to Mar 22, 2024
- Discretionary RAUM · $31.2M to $152MMar 30, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · 1297665.0 to unsetMar 30, 2023 to Mar 22, 2024
- RAUM · $31.2M to $152MMar 30, 2023 to Mar 22, 2024
- Related adviser · false to trueMar 30, 2023 to Mar 22, 2024
- Related bank · false to trueMar 30, 2023 to Mar 22, 2024
- Related broker-dealer · false to trueMar 30, 2023 to Mar 22, 2024
- Accounts · 6 to 3Sep 22, 2022 to Mar 30, 2023
- Advisory employees · 6 to 4Sep 22, 2022 to Mar 30, 2023
- BD registered reps · 2 to 0Sep 22, 2022 to Mar 30, 2023
- Pooled vehicle clients · 3 to 1Sep 22, 2022 to Mar 30, 2023
Signals
8 dated events
- C••••••••• A•••• M••••••••• ••• L•• reported RAUM $343.2M, up 126% from $152.1M (2024-09-27 to 2024-12-02)Dec 2, 2024 · RAUM change · derived
- K•••• S••••• Mcclurg (Chief Investment Officer) no longer on Schedule A of C••••••••• A•••• M••••••••• ••• L•• (listed 2024-05-16, absent 2024-09-12)Sep 12, 2024 · Control person left · inference
- Kathrine Leah Wald (Chief Executive Officer) no longer on Schedule A of C••••••••• A•••• M••••••••• ••• L•• (listed 2023-03-30, absent 2024-03-22)Mar 22, 2024 · Control person left · inference
- C••••••••• S•••••••• K••••• (Chief Compliance Officer) no longer on Schedule A of C••••••••• A•••• M••••••••• ••• L•• (listed 2022-03-31, absent 2022-06-22)Jun 22, 2022 · Control person left · inference
- E••• A••••• H••• (Chief Compliance Officer) appeared on Schedule A of C••••••••• A•••• M••••••••• ••• L••Jun 22, 2022 · Control person joined · fact
- Nikolaos Bonos (Chief Compliance Officer) no longer on Schedule A of C••••••••• A•••• M••••••••• ••• L•• (listed 2021-09-16, absent 2021-10-05)Oct 5, 2021 · Control person left · inference
- C••••••••• S•••••••• K••••• (Chief Compliance Officer) appeared on Schedule A of C••••••••• A•••• M••••••••• ••• L••Oct 5, 2021 · Control person joined · fact
- V••••••• F•••• L•• filed its initial SEC registration (Form ADV)Sep 16, 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.
How to reach
public business contact points only, each with its source
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 218-255-9743reportedpublic record, Form ADV, Jun 10, 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