DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

C•••••••• G••••• I•••••••• L••

Former SEC-registered adviserFormer SEC adviser1 private funds· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $28.3M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2022-10-18 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $28.3M
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2022-10-18 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 315724 · SEC 801-122198 · 5 filingsShow

CRD 315724SEC 801-122198First filing on the tape Jul 30, 2021, latest Oct 18, 2022IAPD

RAUM

$28.3M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$7.9M gross assets

History

5 filings and snapshots on the tape

Filed figures over time · the tape starts Jul 30, 2021

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$28.3M as of Oct 18, 2022

Jul 30, 2021$350,202 then

HNW client RAUM$0 as of Oct 18, 2022

Jul 30, 2021$0 then

State-registered IARs (5.B.3)0 as of Oct 18, 2022

Jul 30, 20210 then

Employees (5.A)3 as of Oct 18, 2022

Jul 30, 20214 then

Private funds1 as of Oct 18, 2022

Jul 30, 20211 then

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Oct 18, 2022; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $5.7MderivedRAUM 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: unknownderivedbetween 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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 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

100% pooled investment vehicles

The breakdown by client type, and the client counts1 client typesShow

Pooled investment vehicles$27.3M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 5reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: absent from the latest SEC rosterderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
C•••••••• P•••• C•••••• M••••• S•	Hedge Fund	$7.9M	1	Jul 30, 2021

Owners and control persons

Schedule A and B, latest filing

H••••••• M•••• •••• · Ceocontrol
since 05/2020 · owns less than 5%
M•••••• T•••••• K•••••• · Chief Compliance Officercontrol
since 07/2021 · owns less than 5%
A••••••••• N•••• G••••• · Ownercontrol
since 04/2015 · owns 75% or more of L••• G•••••• A•

Entity owners

C•••••••• S• · Owner
direct · owns 75% or more
C••••• A• · Owner
indirect · owns 50% to 75% of C•••••••• S•
L••• G•••••• A• · Owner
indirect · owns 75% or more of S•••••••• C•••••• A•
S•••••••• C•••••• A• · Owner
indirect · owns 75% or more of C••••• A•

Related persons

Schedule D 7.A

C•••••••• S•
investment advisery

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 2 to 1
Dec 21, 2021 to Mar 29, 2022
Employees · 4 to 3
Dec 21, 2021 to Mar 29, 2022
Discretionary RAUM · $27.1M to $28.3M
Dec 21, 2021 to Mar 29, 2022
Pooled vehicle RAUM · $25.9M to $27.3M
Dec 21, 2021 to Mar 29, 2022
RAUM · $27.1M to $28.3M
Dec 21, 2021 to Mar 29, 2022

Full history · 10 changes

Accounts · 2 to 5
Aug 4, 2021 to Dec 21, 2021
Pooled vehicle clients · 2 to 4
Aug 4, 2021 to Dec 21, 2021
Discretionary RAUM · $350,202 to $27.1M
Aug 4, 2021 to Dec 21, 2021
Pooled vehicle RAUM · $350,202 to $25.9M
Aug 4, 2021 to Dec 21, 2021
RAUM · $350,202 to $27.1M
Aug 4, 2021 to Dec 21, 2021

Signals

1 dated events

••• Locked
Jul 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

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026