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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SEC-registered adviser
C••••••• A•••• M••••••••• L••
Latest filing Jul 22, 2026
First filing on the tape Jun 9, 2022 · 13 filings
SEC status approved since Jul 11, 2022
RAUM
$840M
reported, Item 5.F
Discretionary
62%
of RAUM
Private clients
8.7%
$72.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
6
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$840M as of Jul 22, 2026
Mar 31, 2023$157M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 22, 2026
Mar 31, 20230 then
Employees (5.A)14 as of Jul 22, 2026
Mar 31, 202321 then
Private funds6 as of Jul 22, 2026
Mar 31, 20233 then
RAUM +857% over the last fiscal year+75% a year over threeIARs 0 to 0offices 2 to 1
Practice profile
derived from the filing of Jul 22, 2026; 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
- $70.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 62%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +857%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$633M75%
- Pooled investment vehicles$119M14%
- Individuals$72.9M8.7%
- Other investment advisers$15.8M1.9%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 12reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.09 fund_share=0.16 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0derived
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
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••• E••••••• F•••• L••• | Hedge Fund | $264M | 14 | Jan 8, 2021 |
| O•• R•••• D•••••• O••••••••• F•••no longer reported | Hedge Fund | $59.9M | 2 | Nov 29, 2021 |
| C••••••• B•••••• F•••• L••• | Hedge Fund | $13.7M | 12 | Jan 8, 2021 |
| P••••• R••• T••••••• S•• F••• L•• P••••• R••• D•••••• S•no longer reported | Hedge Fund | $3.8M | 2 | Nov 29, 2021 |
| C••••••• D•••••• C••••• F•••• L••• | Hedge Fund | $108,333 | 1 | Jun 9, 2022 |
Owners and control persons
Schedule A and B, latest filing
- C••••• G••••• C•••••• · Chief Compliance Officercontrolsince 10/2024 · owns less than 5%
- L••••• M•••• J••••• · Interim Chief Operating Officercontrolsince 08/2024 · owns less than 5%
- P•••••• C••••••• E••• · Chief Executive Officercontrolsince 01/2021 · owns less than 5%
Entity owners
- C••••••• G•••••• I••• · Ownerdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- Keystone Capital Corporationbroker-dealernRAUM $12.5M
- C••••••• C•••••• T•••• C••••••• L••custodiann
- C••••••• F•••••••• M•••••• I••trust companyn
- C••••••• I•••••••• C•••••• S••• L••real estaten
Advisers that list C••••••• A•••• M••••••••• L•• as a related person
- 167835 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 31, 2026discretionary share of RAUM moved from 100.0% to 62.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: other advisers, $500M to $1B (95)
- institutional asset share shiftChange between filings · filing Mar 31, 2026institutional share of RAUM moved from 4.0% to 77.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: other advisers, $500M to $1B (95)
- private fund count surgeChange between filings · filing Mar 31, 2026private funds (Schedule D 7.B.1) moved from 3.0 to 6.0 (+100.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (21 comparable advisers, 100.0th percentile of changes)peers: other advisers, $500M to $1B (21) · 100% percentile
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $87,851,847 to $840,467,014 (+857.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +12.0% (87 comparable advisers, 100.0th percentile of changes)peers: other advisers, $500M to $1B (87) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 11 to 12Aug 5, 2025 to Mar 31, 2026
- Advisory employees · 6 to 7Aug 5, 2025 to Mar 31, 2026
- Advisory activities · 2 to 3Aug 5, 2025 to Mar 31, 2026
- Charity clients · 1.0 to unsetAug 5, 2025 to Mar 31, 2026
- Corporate clients · 3.0 to unsetAug 5, 2025 to Mar 31, 2026
- Individual clients · 3.0 to unsetAug 5, 2025 to Mar 31, 2026
- Pooled vehicle clients · 4 to 6Aug 5, 2025 to Mar 31, 2026
- Assets in custody · $734M to $0Aug 5, 2025 to Mar 31, 2026
- Employees · 12 to 14Aug 5, 2025 to Mar 31, 2026
- Private funds · 4 to 6Aug 5, 2025 to Mar 31, 2026
- Discretionary RAUM · $471M to $522MAug 5, 2025 to Mar 31, 2026
- Individual RAUM · $69.1M to $72.9MAug 5, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $262M to $319MAug 5, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $95.8M to $119MAug 5, 2025 to Mar 31, 2026
- RAUM · $734M to $840MAug 5, 2025 to Mar 31, 2026
- Accounts · 4 to 11Mar 31, 2025 to Aug 5, 2025
- Advisory employees · 9 to 6Mar 31, 2025 to Aug 5, 2025
- Corporate clients · unset to 3.0Mar 31, 2025 to Aug 5, 2025
- Individual clients · 1 to 3Mar 31, 2025 to Aug 5, 2025
- Pooled vehicle clients · 2 to 4Mar 31, 2025 to Aug 5, 2025
- Assets in custody · $87.9M to $734MMar 31, 2025 to Aug 5, 2025
- Employees · 16 to 12Mar 31, 2025 to Aug 5, 2025
- Financial planning clients · 0 to Mar 31, 2025 to Aug 5, 2025
- Other offices · 2 to 1Mar 31, 2025 to Aug 5, 2025
- Private funds · 3 to 4Mar 31, 2025 to Aug 5, 2025
- Discretionary RAUM · $87.9M to $471MMar 31, 2025 to Aug 5, 2025
- Individual RAUM · $46,930 to $69.1MMar 31, 2025 to Aug 5, 2025
- Non-discretionary RAUM · $0 to $262MMar 31, 2025 to Aug 5, 2025
- Pooled vehicle RAUM · $83.9M to $95.8MMar 31, 2025 to Aug 5, 2025
- RAUM · $87.9M to $734MMar 31, 2025 to Aug 5, 2025
- Accounts · 7 to 4Feb 4, 2025 to Mar 31, 2025
- Advisory employees · 6 to 9Feb 4, 2025 to Mar 31, 2025
- Charity clients · unset to 1.0Feb 4, 2025 to Mar 31, 2025
- Individual clients · unset to 1.0Feb 4, 2025 to Mar 31, 2025
- Pooled vehicle clients · 5 to 2Feb 4, 2025 to Mar 31, 2025
- Assets in custody · $0 to $87.9MFeb 4, 2025 to Mar 31, 2025
- Custody of client assets · false to trueFeb 4, 2025 to Mar 31, 2025
- Employees · 17 to 16Feb 4, 2025 to Mar 31, 2025
- Financial planning clients · unset to 0Feb 4, 2025 to Mar 31, 2025
- Other offices · 0 to 2Feb 4, 2025 to Mar 31, 2025
Signals
15 dated events
- C••••••• A•••• M••••••••• L•• reported RAUM $733.7M, up 735% from $87.9M (2025-03-31 to 2025-08-05)Aug 5, 2025 · RAUM change · derived
- C••••••• A•••• M••••••••• L•• reported RAUM $87.9M, down 69% from $281.6M (2025-02-04 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- Cardozo Glenn Cross (Chief Compliance Officer) appeared on Schedule A of C••••••• A•••• M••••••••• L••Nov 13, 2024 · Control person joined · fact
- Joseph Matt Lundy (Interim Chief Operating Officer) appeared on Schedule A of C••••••• A•••• M••••••••• L••Nov 13, 2024 · Control person joined · fact
- Christina Jasmine Burgess (Chief Operating Officer) no longer on Schedule A of C••••••• A•••• M••••••••• L•• (listed 2024-03-29, absent 2024-11-13)Nov 13, 2024 · Control person left · inference
- Armstrong Timothy Smith (Chief Compliance Officer) no longer on Schedule A of C••••••• A•••• M••••••••• L•• (listed 2024-03-29, absent 2024-11-13)Nov 13, 2024 · Control person left · inference
- C••••••• A•••• M••••••••• L•• reported RAUM $281.6M, up 80% from $156.6M (2024-01-09 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- Ann Vanessa Williams (Chief Compliance Officer) no longer on Schedule A of C••••••• A•••• M••••••••• L•• (listed 2024-01-09, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- Armstrong Timothy Smith (Chief Compliance Officer) appeared on Schedule A of C••••••• A•••• M••••••••• L••Mar 29, 2024 · Control person joined · fact
- C••••••• A•••• M••••••••• L•• reported RAUM $156.6M, down 61% from $400.5M (2023-03-03 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Eldad Alan Howard (Limited Partner) no longer on Schedule A of C••••••• A•••• M••••••••• L•• (listed 2023-03-03, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Ann Vanessa Williams (Chief Compliance Officer) appeared on Schedule A of C••••••• A•••• M••••••••• L••Mar 3, 2023 · Control person joined · fact
- Gerard William Wallin (Chief Compliance Officer) no longer on Schedule A of C••••••• A•••• M••••••••• L•• (listed 2022-10-25, absent 2023-03-03)Mar 3, 2023 · Control person left · inference
- Louise Tamara Peters (Trustee - The Charles Eric Peters Revocable Trust Agreement) no longer on Schedule A of C••••••• A•••• M••••••••• L•• (listed 2022-06-09, absent 2022-10-25)Oct 25, 2022 · Control person left · inference
- O•• R•••• D•••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 9, 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.
How to reach
public business contact points only, each with its source
- Website
- cbam.coinbase.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (203) 489-1450reportedpublic record, Form ADV, Jul 22, 2026
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
- Other 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