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•• A•••• M•••••••••

Former SEC-registered adviserLansing, MichiganCRD 319466SEC 801-126743IAPD
Legal name C•• A•••• M••••••••• L••
Latest filing Mar 13, 2024
First filing on the tape Sep 15, 2022 · 7 filings
SEC status 120-day approval since Nov 1, 2022
RAUM
$10.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$5.0M
derived; firm RAUM over IAPD count
Employees
1
1 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$10.0M as of Mar 13, 2024
Mar 10, 2023$0 then
HNW client RAUM$0 as of Mar 13, 2024
Sep 15, 2022$0 then
State-registered IARs (5.B.3)1 as of Mar 13, 2024
Sep 15, 20221 then
Employees (5.A)1 as of Mar 13, 2024
Sep 15, 20221 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 13, 2024; every figure names its basis
RAUM per advisor
$5.0MderivedRAUM 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
$10.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for businesses and institutionsreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$10.0M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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••••• C••••••• D••••• · Chairman 7546104 7546104 7546104 7546104 7546104control
        since 09/2021 · owns 50% to 75%
      • S••••••• J••• P••• · Ceo, Chief Compliance Officercontrol
        since 09/2021 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • C•••••• D• C••••
        n
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 1
        Mar 10, 2023 to Mar 13, 2024
      • Corporate clients · 0 to 1
        Mar 10, 2023 to Mar 13, 2024
      • Discretionary RAUM · $0 to $10.0M
        Mar 10, 2023 to Mar 13, 2024
      • RAUM · $0 to $10.0M
        Mar 10, 2023 to Mar 13, 2024
      • Accounts · unset to 0.0
        Feb 9, 2023 to Mar 10, 2023
      • Discretionary RAUM · unset to 0.0
        Feb 9, 2023 to Mar 10, 2023
      • Non-discretionary RAUM · unset to 0.0
        Feb 9, 2023 to Mar 10, 2023
      • RAUM · unset to 0.0
        Feb 9, 2023 to Mar 10, 2023
      • Business name · C•• F••• to C•• A•••• M•••••••••
        Nov 15, 2022 to Feb 9, 2023
      Signals
      2 dated events
      • C•• A•••• M••••••••• no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $10.0M)
        Mar 6, 2025 · Left the SEC roster · derived
      • C•• F••• filed its initial SEC registration (Form ADV)
        Sep 15, 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
      $5.0Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026