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•••• A••••••• L••
Latest filing Jul 22, 2022
First filing on the tape Jul 20, 2022 · 2 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM: no history
HNW client RAUM$0 as of Jul 22, 2022
Jul 20, 2022$0 then
State-registered IARs (5.B.3)1 as of Jul 22, 2022
Jul 20, 20221 then
Employees (5.A)17 as of Jul 22, 2022
Jul 20, 202217 then
Private funds: no history
Practice profile
derived from the filing of Jul 22, 2022; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 17.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 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 investment companies, selection of other advisersreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- n/areported
- Financial planning clients
- 0reported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• R•••••• F•••••• · Vice Presidentcontrolsince 06/2022 · owns less than 5%
- D•••••••• D•••••• L•• · Directorcontrolsince 06/2022 · owns less than 5%
- F••••••• M••• · Secretarycontrolsince 06/2022 · owns less than 5%
- H•••••••• C••••••••• A•••• · Chief Financial Officer, Treasurercontrolsince 06/2022 · owns less than 5%
- H•••••• J•••••• D•••• R••• · Vice Presidentcontrolsince 06/2022 · owns less than 5%
- H•••••• T•••••• E••••• · Presidentcontrolsince 06/2022 · owns less than 5%
- J••••••• J•••••• C••••••••• · Assistant Secretarycontrolsince 06/2022 · owns less than 5%
- K••••••••• J•••• S•••• · Directorcontrolsince 06/2022 · owns less than 5%
- L•• W•••••• · Assistant Treasurercontrolsince 06/2022 · owns less than 5%
- M••••••• F•••• · Vice Presidentcontrolsince 06/2022 · owns less than 5%
- M•••••• S••••••• S••• · Assistant Secretarycontrolsince 06/2022 · owns less than 5%
- N•••• W••••••• T•••••• · Directorcontrolsince 06/2022 · owns less than 5%
- R••••••• C••••••••• S•••••• · Vice Presidentcontrolsince 06/2022 · owns less than 5%
- S•••••• J••••••••• E•••••••• · Chief Compliance Officercontrolsince 06/2022 · owns less than 5%
- V••• J••••• H••••• · Director, Global Chief Investment Officercontrolsince 06/2022 · owns less than 5%
- C•••••• S••• J•••• P•••• · T•••••• And Shareholdercontrolsince 08/1985 · owns 75% or more of J••• P• C••••••• T••••••• U•••• T•• J••• P• C•••••• 1••• T•••• D•••• A••••• 2•• 1•••
- C•••••• S••• J•••• P•••• · Managercontrolsince 07/2016 · owns F of C•••••• A•••• M••••••••• I•••
- C•••••• S••• J•••• P•••• · Managercontrolsince 07/2016 · owns F of C•••••• P••••••• L••
- K••••••••• J•••• S•••• · Managercontrolsince 07/2016 · owns F of C•••••• P••••••• L••
- K••••••••• J•••• S•••• · Managercontrolsince 07/2016 · owns F of C•••••• A•••• M••••••••• I•••
- T••••••••• W••••••• J• · Managercontrolsince 07/2016 · owns F of C•••••• P••••••• L••
- C•••••• S••• J•••• P•••• · Global Chief Investment Officersince 06/2022 · owns less than 5%
- P••••••••• A••••••••• · Membersince 10/2006 · owns 25% to 50% of A•••• L••
Entity owners
- A•••• L•• · Memberdirect · owns 50% to 75%
- C•••••• A••••••• L•• · Memberdirect · owns 50% to 75%
- C•••••• A•••• M••••••••• I••• · Sole Manager/Memberindirect · owns 75% or more of C•••••• I••••••••• L••
- C•••••• F••••• P•••••••• I••• · Memberindirect · owns 75% or more of C•••••• P••••••• L••
- C•••••• I••••••••• L•• · Member/Managerindirect · owns 75% or more of C•••••• A••••••• L••
- C•••••• P••••••• L•• · Memberindirect · owns 75% or more of C•••••• I••••••••• L••
- J••• P• C••••••• T••••••• U•••• T•• J••• P• C•••••• 1••• T•••• D•••• A••••• 2•• 1••• · Shareholderindirect · owns 75% or more of C•••••• F••••• P•••••••• I•••
Related persons
Schedule D 7.A
- A•••• A••• A••••••• L•••pooled vehicle sponsorn
- A•••• B•••• A••••••• L•••pooled vehicle sponsorn
- A•••• C• L••investment adviserLP sponsornRAUM $2.1B
- A•••• C•••••• A••••••• L•••pooled vehicle sponsorn
- A•••• C•••••• L••investment adviserLP sponsorn
- A•••• D•••• A••••••• L•pooled vehicle sponsorn
- A•••• E••• A••••••• L•pooled vehicle sponsorn
- A•••• E••••• L••••••investment advisern
- A•••• F•••••• A••••••• L•pooled vehicle sponsorn
- A•••• G••• A••••••• L•pooled vehicle sponsorn
- A•••• G• L•••pooled vehicle sponsorn
- A•••• H••• K••• L••••••investment advisern
- A•••• H•••• A••••••• L•pooled vehicle sponsorn
- A•••• I••• A••••••• L•pooled vehicle sponsorn
- A•••• J•••• C••• L•••investment advisern
- A•••• L••investment adviserbankpooled vehicle sponsorLP sponsoryRAUM $35B
- C•••••• A••••••• L••investment adviserbankpooled vehicle sponsoryRAUM $44B
- C•••••• A••••••• L•• M••••• G•••• T•••• G••••• O••••••••• T••••bankpooled vehicle sponsorn
- C•••••• A••• Q•••• F••• I• L•bankpooled vehicle sponsorn
- C•••••• F•••••••• S••••••• L••broker-dealern
- C•••••• G••••• O••••••••• F••• L•bankpooled vehicle sponsorn
- C•••••• I••••••••• T••••bankn
- C•••••• W••••• M••••••••• L••investment advisernRAUM $5.5B
Offices
Schedule D 1.F, the 25 largest
- New York, NY4 employees
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
- C•••••• A•••• A••••••• L•• filed its initial SEC registration (Form ADV)Jul 20, 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