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••••• C•••••• A•••••••• L••
Latest filing Apr 3, 2026
First filing on the tape Dec 19, 2023 · 5 filings
SEC status approved since Jan 18, 2024
RAUM
$230M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
19%
$44.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$230M as of Apr 3, 2026
Mar 31, 2025$101M then
HNW client RAUM$44.0M as of Apr 3, 2026
Mar 31, 2025$45.2M then
State-registered IARs (5.B.3)0 as of Apr 3, 2026
Mar 31, 20250 then
Employees (5.A)8 as of Apr 3, 2026
Mar 31, 20258 then
Private funds1 as of Apr 3, 2026
Mar 31, 20251 then
RAUM +128% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 3, 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
- $38.3MderivedRAUM 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
- +128%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 assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, 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
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$106M46%
- Other investment advisers$80.0M35%
- High-net-worth individuals$44.0M19%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.19 fund_share=0.81 institutional_share=0.0 related_bd=false related_bank=false 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••• O••••••••• F•••• L•• | Hedge Fund | $73.3M | 54 | Jan 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- P••••••• D••• · Chief Compliance Officer & Chief Financial Officercontrolsince 05/2018 · owns less than 5%
- S••••• C••••••••• D••••••• · President & Ceocontrolsince 08/2015 · owns less than 5%
- S••••• C••••••••• D••••••• · President And Ceocontrolsince 10/2013 · owns 75% or more of C••••• C•••••• I••
Entity owners
- C••••• C•••••• I•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- wealth to institutional shiftCombination · filing Apr 3, 2026peers: other advisers, $100M to $500M (212)
- client mix shiftChange between filings · filing Apr 3, 2026private-client share of RAUM moved from 45.0% to 19.0% between the annual amendments of 2025-03-31 and 2026-04-03peers: other advisers, $100M to $500M (212)
- HNW share shiftChange between filings · filing Apr 3, 2026HNW share of RAUM moved from 45.0% to 19.0% between the annual amendments of 2025-03-31 and 2026-04-03peers: other advisers, $100M to $500M (212)
- institutional asset share shiftChange between filings · filing Apr 3, 2026institutional share of RAUM moved from 0.0% to 35.0% between the annual amendments of 2025-03-31 and 2026-04-03peers: other advisers, $100M to $500M (212)
- RAUM up 50 %Change between filings · filing Apr 3, 2026RAUM (Item 5.F) moved from $100,800,000 to $229,725,346 (+128.0%) between the annual amendments of 2025-03-31 and 2026-04-03; the peer median change was +8.0% (161 comparable advisers, 96.0th percentile of changes)peers: other advisers, $100M to $500M (161) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 4 to 6Mar 31, 2025 to Apr 3, 2026
- Business name · C••••• C•••••• A•••••••• L•• to C••••• C•••••• A•••••••• L••Mar 31, 2025 to Apr 3, 2026
- Legal name · C••••• C•••••• A•••••••• L•• to C••••• C•••••• A•••••••• L••Mar 31, 2025 to Apr 3, 2026
- Discretionary RAUM · $101M to $230MMar 31, 2025 to Apr 3, 2026
- HNW RAUM · $45.2M to $44.0MMar 31, 2025 to Apr 3, 2026
- Pooled vehicle RAUM · $55.6M to $106MMar 31, 2025 to Apr 3, 2026
- RAUM · $101M to $230MMar 31, 2025 to Apr 3, 2026
- Accounts · 2 to 4Jul 15, 2024 to Mar 31, 2025
- Employees · 12 to 8Jul 15, 2024 to Mar 31, 2025
- Financial planning clients · unset to Jul 15, 2024 to Mar 31, 2025
- Discretionary RAUM · $117M to $101MJul 15, 2024 to Mar 31, 2025
- HNW RAUM · $44.0M to $45.2MJul 15, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $73.3M to $55.6MJul 15, 2024 to Mar 31, 2025
- RAUM · $117M to $101MJul 15, 2024 to Mar 31, 2025
- Accounts · 1 to 2Dec 19, 2023 to Jun 28, 2024
- Private funds · 2 to 1Dec 19, 2023 to Jun 28, 2024
- Discretionary RAUM · $47.5M to $117MDec 19, 2023 to Jun 28, 2024
- HNW RAUM · unset to 44000000.0Dec 19, 2023 to Jun 28, 2024
- Pooled vehicle RAUM · $47.5M to $73.3MDec 19, 2023 to Jun 28, 2024
- RAUM · $47.5M to $117MDec 19, 2023 to Jun 28, 2024
Signals
2 dated events
- C••••• C•••••• A•••••••• L•• reported RAUM $229.7M, up 128% from $100.8M (2025-03-31 to 2026-04-03)Apr 3, 2026 · RAUM change · derived
- C••••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Dec 19, 2023 · 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
- c•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 404-443-4762reportedpublic record, Form ADV, Apr 3, 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