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•••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 319163SEC 801-123609IAPD
Latest filing Apr 27, 2023
First filing on the tape Mar 3, 2022 · 4 filings
RAUM
$64.4M
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
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$64.4M gross assets
History
4 filings and snapshots on the tape
RAUM$64.4M as of Apr 27, 2023
Mar 3, 2022$158M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 27, 2023
Mar 3, 20220 then
Employees (5.A)3 as of Apr 27, 2023
Mar 3, 20223 then
Private funds1 as of Apr 27, 2023
Mar 3, 20221 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 27, 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
$64.4MderivedRAUM 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
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 assetsreportedItem 5.E
Advisory activities
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)
  • 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
  • Pooled investment vehicles$64.4M100%
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••• E••••••• T••••••• F••• L•••Other Private Fund$64.4M2Nov 10, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • E••••••••• M•••••••• T••••• · Chief Compliance Officer & Chief Adminstrative Officercontrol
        since 01/2007 · owns less than 5%
      • H•••••• J••••• A•••• · Managing Member And Chairmancontrol
        since 04/2006 · owns 10% to 25%
      • K•••••••• J•••••••• G• · Chief Financial Officercontrol
        since 11/2021 · owns less than 5%
      • H•••••• D••••••• L••• · Owner
        since 12/2009 · owns 10% to 25%
      • H•••••• D••••••• L•• · Owner
        since 12/2009 · owns 10% to 25%
      • H•••••• J•••••••• A•• · Owner
        since 06/2010 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • C•••••• P••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $158M to $64.4M
        Mar 9, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $158M to $64.4M
        Mar 9, 2022 to Mar 31, 2023
      • RAUM · $158M to $64.4M
        Mar 9, 2022 to Mar 31, 2023
      Signals
      1 dated events
      • C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 3, 2022 · 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