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•••••• L••• C••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 315094SEC 801-121966IAPD
Latest filing Apr 13, 2023
First filing on the tape Jun 30, 2021 · 5 filings
RAUM
$33.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
57%
$19.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$14.4M gross assets
History
5 filings and snapshots on the tape
RAUM$33.5M as of Mar 30, 2023
Mar 24, 2022$45.6M then
HNW client RAUM$19.1M as of Mar 30, 2023
Mar 24, 2022$25.1M then
State-registered IARs (5.B.3)0 as of Mar 30, 2023
Mar 24, 20220 then
Employees (5.A)2 as of Mar 30, 2023
Mar 24, 20222 then
Private funds1 as of Mar 30, 2023
Mar 24, 20221 then
RAUM -26% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 13, 2023; 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
$16.8MderivedRAUM 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
-26%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 individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$14.4M, 1 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$19.1M57%
  • Pooled investment vehicles$14.4M43%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$14.4M for 1 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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••• L••• P••••••• L•Hedge Fund$14.4M4Jun 30, 2021
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• S•••• R•••••• · Chief Compliance Officer And Managing Membercontrol
        since 03/2021 · owns 75% or more
      Related persons
      Schedule D 7.A
      • C•••••• L••• G• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $0 to $14.4M
        Aug 29, 2022 to Mar 30, 2023
      • Discretionary RAUM · $45.6M to $33.5M
        Aug 29, 2022 to Mar 30, 2023
      • HNW RAUM · $25.1M to $19.1M
        Aug 29, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · $20.5M to $14.4M
        Aug 29, 2022 to Mar 30, 2023
      • RAUM · $45.6M to $33.5M
        Aug 29, 2022 to Mar 30, 2023
      • Advisory employees · 1 to 2
        Jun 30, 2021 to Mar 24, 2022
      • Employees · 1 to 2
        Jun 30, 2021 to Mar 24, 2022
      • Discretionary RAUM · $42.0M to $45.6M
        Jun 30, 2021 to Mar 24, 2022
      • HNW RAUM · $21.8M to $25.1M
        Jun 30, 2021 to Mar 24, 2022
      • Pooled vehicle RAUM · $20.2M to $20.5M
        Jun 30, 2021 to Mar 24, 2022
      • RAUM · $42.0M to $45.6M
        Jun 30, 2021 to Mar 24, 2022
      Signals
      1 dated events
      • C•••••• L••• C••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 30, 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