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•••••• L••
Latest filing Jun 5, 2026
First filing on the tape Apr 12, 2024 · 6 filings
SEC status approved since May 13, 2024
RAUM
$150M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$150M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$150M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$150M as of Jun 5, 2026
Mar 18, 2025$142M then
HNW client RAUM$150M as of Jun 5, 2026
Mar 18, 2025$142M then
State-registered IARs (5.B.3)1 as of Jun 5, 2026
Mar 18, 20251 then
Employees (5.A)2 as of Jun 5, 2026
Mar 18, 20251 then
Private funds: no history
RAUM +5.6% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jun 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $150MderivedRAUM 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
- $3.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$150M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 41reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•• H••••• D••••• | New York, Ny | May 14, 2024 | 11 y | 0 |
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• J••• H••••• · Chief Compliance Officer/Managing Directorcontrolsince 11/2022 · owns 25% to 50%
- D•••••• P••••• V•••••• · Membercontrolsince 09/2024 · owns 5% to 10%
- F•••••• C•••••••• K•••• · Managing Membercontrolsince 09/2024 · owns 25% to 50%
- F•••••• C•••••••• K•••• · Managing Membercontrolsince 01/2021 · owns 25% to 50% of T•• C•••••••• G•••• L••
Entity owners
- T•• C•••••••• G•••• L•• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- T•• C•••••••• G••••investment advisery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Jun 5, 2026discretionary share of RAUM of 0% against a peer median of 100% (5678 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 1 to 41Mar 18, 2025 to Mar 25, 2026
- Employees · 1 to 2Mar 18, 2025 to Mar 25, 2026
- HNW RAUM · $142M to $150MMar 18, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $142M to $150MMar 18, 2025 to Mar 25, 2026
- RAUM · $142M to $150MMar 18, 2025 to Mar 25, 2026
- Financial planning clients · unset to Sep 9, 2024 to Mar 18, 2025
- HNW RAUM · $138M to $142MSep 9, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $138M to $142MSep 9, 2024 to Mar 18, 2025
- RAUM · $138M to $142MSep 9, 2024 to Mar 18, 2025
- Accounts · 0 to 1Apr 12, 2024 to Sep 9, 2024
- HNW RAUM · unset to 138000000.0Apr 12, 2024 to Sep 9, 2024
- Non-discretionary RAUM · $0 to $138MApr 12, 2024 to Sep 9, 2024
- RAUM · $0 to $138MApr 12, 2024 to Sep 9, 2024
Signals
2 dated events
- Vermont Peter Dutton (Member) appeared on Schedule A of C•••••••• C•••••• L••Sep 9, 2024 · Control person joined · fact
- C•••••••• C•••••• L•• filed its initial SEC registration (Form ADV)Apr 12, 2024 · 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
- Business email
- i•••@c••••••••.capitalreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 212-287-7727reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- c••••••••.capitalreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-287-7727reportedpublic record, Form ADV, Jun 5, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $150Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026