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•••
Legal name C•••••• A••••••••• A•••• M••••••••• L••
Latest filing Jul 23, 2026
First filing on the tape Sep 8, 2022 · 9 filings
SEC status approved since Oct 7, 2022
RAUM
$26.8M
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
17
4 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$26.8M as of Jul 23, 2026
Mar 28, 2024$16.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 23, 2026
Mar 31, 20232 then
Employees (5.A)17 as of Jul 23, 2026
Mar 31, 202316 then
Private funds: no history
RAUM +34% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 23, 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
- $8.9MderivedRAUM 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
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%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 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)
- 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
- Investment companies$26.8M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=10.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• G••••••• S••• U•• · Directorcontrolsince 07/2022 · owns 25% to 50%
- C•••••• S••• J•••• P•••• · Global Chief Investment Officercontrolsince 07/2022 · owns less than 5%
- D•••••••• D•••••• L•• · Presidentcontrolsince 07/2022 · owns less than 5%
- H•••••• T•••••• E••••• · Chief Financial Officer And Treasurercontrolsince 07/2022 · owns less than 5%
- K••••••••• J•••• S•••• · Director, Chairman And Chief Executive Officercontrolsince 07/2022 · owns less than 5%
- O••••• E•••• D••••• · Chief Legal Officercontrolsince 07/2023 · owns less than 5%
- R••••••• C••••••••• S•••••• · Secretarycontrolsince 07/2022 · owns less than 5%
- S•••••• J•••• H•••• · Directorcontrolsince 07/2022 · owns less than 5%
- S••••••••• P••••• C••••••••• E• · Chief Compliance Officercontrolsince 07/2022 · owns less than 5%
- W•••••• D••••• R•••••• · Directorcontrolsince 10/2023 · owns less than 5%
- A••••••••• G••••••• S••• U•• · Membercontrolsince 06/2021 · owns 75% or more of O••••••• P•• L••
- C•••••• S••• J•••• P•••• · Shareholdercontrolsince 12/2020 · owns 50% to 75% of C•••••• A•••• M••••••••• I•••
- 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••••
- C•••••• S••• J•••• P•••• · Managercontrolsince 07/2016 · owns F of C•••••• P••••••• L••
- K••••••••• J•••• S•••• · Shareholdercontrolsince 12/2020 · owns 25% to 50% of C•••••• A•••• M••••••••• I•••
- K••••••••• J•••• S•••• · Managercontrolsince 07/2016 · owns F of C•••••• P••••••• L••
- T••••••••• W••••••• J• · Managercontrolsince 07/2016 · owns F of C•••••• P••••••• L••
Entity owners
- C•••••• A••••••• L•• · Memberdirect · owns 50% to 75%
- O••••••• C• F••• L•• · Memberdirect · owns 50% to 75%
- C•••••• A•••• M••••••••• I••• · Sole Manager/Memberindirect · owns F of C•••••• I••••••••• L••
- C•••••• F••••• P•••••••• I••• · Memberindirect · owns 75% or more of C•••••• P••••••• L••
- C•••••• I••••••••• L•• · Sole 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•••• · Shareholderindirect · owns 75% or more of C•••••• F••••• P•••••••• I•••
- O••••••• P•• L•• · Class B Memberindirect · owns 50% to 75% of O••••••• C• F••• L••
Related persons
Schedule D 7.A
- C•••••• A••••••• L••investment adviserpooled vehicle sponsoryRAUM $44B
- C•••••• A••••••• L•• M••••• G•••• T•••• G••••• O••••••••• T••••bankn
- C•••••• A••••••••• S••••••••• E••••••• T••••bankn
- C•••••• A••• Q•••• F••• I• L•bankn
- C•••••• E•• T••••bankn
- C•••••• F•••••••• S••••••• L••broker-dealern
- C•••••• G••••• O••••••••• F••• L•bankn
- C•••••• I••••••••• T••••bankn
- C•••••• P•••••• E••••• L••investment advisern
- C•••••• W••••• M••••••••• L••investment advisernRAUM $5.5B
- C••• F••• I• L•bankn
Advisers that list C••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Portland, OR2 employees
- Chicago, IL1 employees
- , 1 employees
What changed
consecutive filings, newest first
- BD registered reps · 9 to 10Mar 28, 2025 to Mar 27, 2026
- Employees · 16 to 17Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $20.0M to $26.8MMar 28, 2025 to Mar 27, 2026
- RAUM · $20.0M to $26.8MMar 28, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $16.3M to $20.0MMar 28, 2024 to Mar 28, 2025
- RAUM · $16.3M to $20.0MMar 28, 2024 to Mar 28, 2025
- Accounts · unset to 3.0Aug 23, 2023 to Mar 28, 2024
- BD registered reps · 8 to 9Aug 23, 2023 to Mar 28, 2024
- State-registered IARs · 2 to 0Aug 23, 2023 to Mar 28, 2024
- Discretionary RAUM · unset to 16315702.0Aug 23, 2023 to Mar 28, 2024
- Non-discretionary RAUM · unset to 0.0Aug 23, 2023 to Mar 28, 2024
- RAUM · unset to 16315702.0Aug 23, 2023 to Mar 28, 2024
- BD registered reps · 5 to 8Jan 4, 2023 to Mar 31, 2023
- Business name · C••• L•• to C•••Jan 4, 2023 to Mar 31, 2023
- Employees · 12 to 16Jan 4, 2023 to Mar 31, 2023
- Other offices · 2 to 3Jan 4, 2023 to Mar 31, 2023
- Legal name · C••• L•• to C•••••• A••••••••• A•••• M••••••••• L••Jan 4, 2023 to Jan 4, 2023
Signals
7 dated events
- R•••••• D•••• W••••• (Director) appeared on Schedule A of CgamMar 28, 2024 · Control person joined · fact
- C••••••••• A••••••••• S••••••• (Director) no longer on Schedule A of Cgam (listed 2023-08-23, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- D••••• E••• O•••• (Chief Legal Officer) appeared on Schedule A of CgamAug 23, 2023 · Control person joined · fact
- Christopher Jerald Jackson (Chief Legal Officer) no longer on Schedule A of Cgam (listed 2023-03-31, absent 2023-08-23)Aug 23, 2023 · Control person left · inference
- Stephen Christopher Russell (Secretary) appeared on Schedule A of CgamMar 31, 2023 · Control person joined · fact
- Francis Robert Behan (Chief Distribution Officer) no longer on Schedule A of Cgam (listed 2023-01-04, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- C••• L•• filed its initial SEC registration (Form ADV)Sep 8, 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
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/C••••••-INVESTMENTSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 630-245-7200reportedpublic record, Form ADV, Jul 23, 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
- Asset manager (funds and pooled vehicles)deriveda 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