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•• I••••••••• G••••• L••

Former SEC-registered adviserNorthfield, MinnesotaCRD 327915SEC 801-128708websiteIAPD
Latest filing Mar 25, 2025
First filing on the tape Aug 9, 2023 · 3 filings
SEC status approved since Sep 8, 2023
RAUM
$952M
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
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$952M as of Mar 25, 2025
Mar 27, 2024$869M then
HNW client RAUM$0 as of Mar 25, 2025
Mar 27, 2024$0 then
State-registered IARs (5.B.3)3 as of Mar 25, 2025
Mar 27, 20243 then
Employees (5.A)3 as of Mar 25, 2025
Mar 27, 20243 then
Private funds: no history
RAUM +9.5% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 25, 2025; every figure names its basis
RAUM per advisor
$317MderivedRAUM 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
$952MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+9.5%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 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)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$952M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
reported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S••••• J•••••• D••••• · Chief Compliance Officer And Presidentcontrol
        since 08/2023 · owns less than 5%
      • C••••••• G••••••• A••• · Founder & Ceocontrol
        since 01/1988 · owns 25% to 50% of C•••••• C•••••• M•••••••••
      • C••••••• J••••••• R••••• · Founder & Secretary/Treasurercontrol
        since 01/1988 · owns 25% to 50% of C•••••• C•••••• M•••••••••
      Entity owners
      • C•••••• C•••••• M••••••••• L•• · Member And Manager
        direct · owns 75% or more
      • C•••••• C•••••• M••••••••• · Member
        indirect · owns 75% or more of C•••••• C•••••• M••••••••• L••
      Related persons
      Schedule D 7.A
      • C•••••• C•••••• M••••••••• L••
        investment adviseryRAUM $3.8B
      • C•••••• T••••• A• T•••• R••••••••• O••••• O• N••••••• A••••••• T•••• C••••••• F••
        custodiann
      • C•• T•• • T••••
        insurancey
      • V•••••••• I•••
        real estatey
      Advisers that list C•• I••••••••• G••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Rochester, MN2 employees
      What changed
      consecutive filings, newest first
      • Financial planning clients · unset to
        Mar 27, 2024 to Mar 25, 2025
      • Discretionary RAUM · $869M to $952M
        Mar 27, 2024 to Mar 25, 2025
      • RAUM · $869M to $952M
        Mar 27, 2024 to Mar 25, 2025
      • Accounts · 0 to 1
        Aug 9, 2023 to Mar 27, 2024
      • Discretionary RAUM · $0 to $869M
        Aug 9, 2023 to Mar 27, 2024
      • RAUM · $0 to $869M
        Aug 9, 2023 to Mar 27, 2024
      Signals
      2 dated events
      • C•• I••••••••• G••••• L•• no longer on the SEC adviser roster (last listed 2026-04-01, RAUM $951.6M)
        May 1, 2026 · Left the SEC roster · derived
      • C•• I••••••••• G••••• L•• filed its initial SEC registration (Form ADV)
        Aug 9, 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.
      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