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

R•• I••••••••• L••

Former SEC-registered adviserCRD 317275SEC 801-123336IAPD
Legal name C•••••••• B•••• I••••••••• L••
Latest filing Mar 22, 2023
First filing on the tape Oct 22, 2021 · 7 filings
RAUM
$6.5M
reported, Item 5.F
Discretionary
0.0%
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$6.5M as of Mar 22, 2023
Apr 5, 2022$5.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 22, 2023
Oct 22, 20210 then
Employees (5.A)2 as of Mar 22, 2023
Oct 22, 20211 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 22, 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
$6.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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, otherreportedItem 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
  • buys or sells securities as principal to or from clients (8.A.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$6.5M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• V••• D••••••••• · Directorcontrol
        since 04/2022 · owns less than 5%
      • C•••••• D•••••• K• · Member, Chief Compliance Officer, Directorcontrol
        since 12/2021 · owns 10% to 25%
      • D•••••• T•••••• F•••••• · Directorcontrol
        since 04/2022 · owns less than 5%
      • D••••• S••••••• S••••••• · Directorcontrol
        since 04/2022 · owns less than 5%
      • G••••••••• K•••• · Directorcontrol
        since 04/2022 · owns less than 5%
      • H••••••• J••• S••••••• · Directorcontrol
        since 04/2022 · owns less than 5%
      • H••••••• L•••• · Directorcontrol
        since 04/2022 · owns less than 5%
      • M••••••••• J•••• N••••• R••• · Directorcontrol
        since 04/2022 · owns less than 5%
      • M••••••••• J•••• N••••• R••• · Director And Chair Of The Boardcontrol
        since 12/2020 · owns 50% to 75% of B•• S•••• H•••••• I•••
      Entity owners
      • B•••••••• C•••••• M••••••••• L•• · Managing Member
        direct · owns 50% to 75%
      • B•• S•••• H•••••• I••• · Sole Member
        indirect · owns 75% or more of B•••••••• C•••••• M••••••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Non-discretionary RAUM · $5.4M to $6.5M
        Nov 10, 2022 to Mar 22, 2023
      • RAUM · $5.4M to $6.5M
        Nov 10, 2022 to Mar 22, 2023
      • Accounts · unset to 1.0
        Jan 27, 2022 to Apr 5, 2022
      • Advisory employees · 1 to 2
        Jan 27, 2022 to Apr 5, 2022
      • Employees · 1 to 2
        Jan 27, 2022 to Apr 5, 2022
      • Discretionary RAUM · unset to 0.0
        Jan 27, 2022 to Apr 5, 2022
      • Non-discretionary RAUM · unset to 5353673.0
        Jan 27, 2022 to Apr 5, 2022
      • RAUM · unset to 5353673.0
        Jan 27, 2022 to Apr 5, 2022
      • Business name · C•••••••• B•••• I••••••••• L•• to R•• I••••••••• L••
        Jan 12, 2022 to Jan 27, 2022
      • Related adviser · false to true
        Oct 22, 2021 to Jan 12, 2022
      Signals
      15 dated events
      • Stafford Jon Halbert (Director) appeared on Schedule A of R•• I••••••••• L••
        May 10, 2022 · Control person joined · fact
      • Devanthini Von Celestine (Director) appeared on Schedule A of R•• I••••••••• L••
        May 10, 2022 · Control person joined · fact
      • Francis Thomas Darden (Director) appeared on Schedule A of R•• I••••••••• L••
        May 10, 2022 · Control person joined · fact
      • Linda Halbert (Director) appeared on Schedule A of R•• I••••••••• L••
        May 10, 2022 · Control person joined · fact
      • Sedgwick Shannon Davis (Director) appeared on Schedule A of R•• I••••••••• L••
        May 10, 2022 · Control person joined · fact
      • Kelly Garramone (Director) appeared on Schedule A of R•• I••••••••• L••
        May 10, 2022 · Control person joined · fact
      • R•• I••••••••• L•• filed its initial SEC registration (Form ADV)
        Jan 27, 2022 · First SEC registration · fact
      • Stafford Jon Halbert (Member) no longer on Schedule A of R•• I••••••••• L•• (listed 2021-10-22, absent 2022-01-12)
        Jan 12, 2022 · Control person left · inference
      • Scott Friesen (Member) no longer on Schedule A of R•• I••••••••• L•• (listed 2021-10-22, absent 2022-01-12)
        Jan 12, 2022 · Control person left · inference
      • Thomas Rinks (Member) no longer on Schedule A of R•• I••••••••• L•• (listed 2021-10-22, absent 2022-01-12)
        Jan 12, 2022 · Control person left · inference
      • Michael James Johnston (Member) no longer on Schedule A of R•• I••••••••• L•• (listed 2021-10-22, absent 2022-01-12)
        Jan 12, 2022 · Control person left · inference
      • Bradley Scott Schaefer (Trustee) no longer on Schedule A of R•• I••••••••• L•• (listed 2021-10-22, absent 2022-01-12)
        Jan 12, 2022 · Control person left · inference
      • Francis Thomas Darden (Trustee) no longer on Schedule A of R•• I••••••••• L•• (listed 2021-10-22, absent 2022-01-12)
        Jan 12, 2022 · Control person left · inference
      • Davis Robert Darden (Trustee) no longer on Schedule A of R•• I••••••••• L•• (listed 2021-10-22, absent 2022-01-12)
        Jan 12, 2022 · Control person left · inference
      • Anthony John Mazzarino (Trustee) no longer on Schedule A of R•• I••••••••• L•• (listed 2021-10-22, absent 2022-01-12)
        Jan 12, 2022 · Control person left · inference
      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