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••••• P•••••• M••••• S••••••••• A•••••••• L••
Latest filing Sep 17, 2026
First filing on the tape Aug 16, 2023 · 9 filings
SEC status approved since Sep 19, 2023
RAUM
$1.8B
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
25
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$1.8B as of Jun 26, 2026
Jun 28, 2024$324M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 26, 2026
Jun 28, 20240 then
Employees (5.A)25 as of Jun 26, 2026
Jun 28, 202417 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 17, 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
- $924MderivedRAUM 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
- 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 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$1.8B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- 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=false bd_reps=18.0derived
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•••••••• R•••• · Directorcontrolsince 09/2023 · owns less than 5%
- E•••••••• R•••••• · Presidentcontrolsince 02/2023 · owns less than 5%
- L•••• H••••• L••••• · Directorcontrolsince 09/2023 · owns less than 5%
- O••••••••• F•••• · Chief Compliance Officercontrolsince 02/2023 · owns less than 5%
- S••••••••• J•••••• F• · Directorcontrolsince 09/2023 · owns less than 5%
- W••••••••• A•••• B• M••••• · Directorcontrolsince 09/2023 · owns less than 5%
- C•••••• J•••••• J••••• · Ownercontrolsince 10/1993 · owns 75% or more of C•••• L••••••
Entity owners
- C••••• P•••••• M••••• S••••••••• H•••••••• L•• · Ownerdirect · owns 75% or more
- C•••• L•••••• · Ownerindirect · owns 75% or more of C••••• P•••••• M••••• S••••••••• H•••••••• L••
Related persons
Schedule D 7.A
- C••••• C•••••• I••investment advisernRAUM $12B
- C••••• C•••••• L••••••investment advisern
- C••••• I••••••••• G•••••• P•••••• I•• L•••investment adviserpooled vehicle sponsorn
- C••••• I••••••••• P••••••• I• L••••••••• G• S•••••••pooled vehicle sponsorn
Advisers that list C••••• P•••••• M••••• S••••••••• A•••••••• L•• as a related person
- 158102 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Sep 17, 2026broker-dealer affiliate (Item 7.A.1): no on the filing of 2026-06-26, yes on the filing of 2026-09-17peers: asset managers, $1B to $5B (1,506)
What changed
consecutive filings, newest first
- Business name · C••••• P•••••• M••••• S••••••••• A•••••••• L•• to C••••• E••Jun 26, 2026 to Sep 17, 2026
- Financial planning clients · to unsetJun 26, 2026 to Sep 17, 2026
- Related broker-dealer · false to trueJun 26, 2026 to Sep 17, 2026
- Succession · false to unsetJun 26, 2026 to Sep 17, 2026
- Accounts · 1 to 2Jun 27, 2025 to Jun 26, 2026
- BD registered reps · 12 to 18Jun 27, 2025 to Jun 26, 2026
- Employees · 16 to 25Jun 27, 2025 to Jun 26, 2026
- Discretionary RAUM · $594M to $1.8BJun 27, 2025 to Jun 26, 2026
- RAUM · $594M to $1.8BJun 27, 2025 to Jun 26, 2026
- BD registered reps · 10 to 12Jun 28, 2024 to Jun 27, 2025
- Employees · 17 to 16Jun 28, 2024 to Jun 27, 2025
- Financial planning clients · unset to Jun 28, 2024 to Jun 27, 2025
- Discretionary RAUM · $324M to $594MJun 28, 2024 to Jun 27, 2025
- RAUM · $324M to $594MJun 28, 2024 to Jun 27, 2025
- BD registered reps · 0 to 10May 3, 2024 to Jun 28, 2024
- Discretionary RAUM · $100,000 to $324MJan 30, 2024 to May 3, 2024
- RAUM · $100,000 to $324MJan 30, 2024 to May 3, 2024
- Accounts · unset to 1.0Sep 14, 2023 to Jan 30, 2024
- Discretionary RAUM · unset to 100000.0Sep 14, 2023 to Jan 30, 2024
- Non-discretionary RAUM · unset to 0.0Sep 14, 2023 to Jan 30, 2024
- RAUM · unset to 100000.0Sep 14, 2023 to Jan 30, 2024
- Advisory activities · 2 to 1Aug 16, 2023 to Aug 30, 2023
- Employees · 16 to 17Aug 16, 2023 to Aug 30, 2023
Signals
8 dated events
- C••••• P•••••• M••••• S••••••••• A•••••••• L•• reported RAUM $1.8B, up 211% from $594.2M (2025-06-27 to 2026-06-26)Jun 26, 2026 · RAUM change · derived
- C••••• P•••••• M••••• S••••••••• A•••••••• L•• reported RAUM $594.2M, up 83% from $323.9M (2024-06-28 to 2025-06-27)Jun 27, 2025 · RAUM change · derived
- Louise Helen Lamb (Director) appeared on Schedule A of C••••• P•••••• M••••• S••••••••• A•••••••• L••Jun 28, 2024 · Control person joined · fact
- Eli Bauernfreund (Treasurer) no longer on Schedule A of C••••• P•••••• M••••• S••••••••• A•••••••• L•• (listed 2023-08-30, absent 2023-09-14)Sep 14, 2023 · Control person left · inference
- Radin Ahmadian (Secretary) appeared on Schedule A of C••••• P•••••• M••••• S••••••••• A•••••••• L••Sep 14, 2023 · Control person joined · fact
- F Joshua Schnurman (Treasurer) appeared on Schedule A of C••••• P•••••• M••••• S••••••••• A•••••••• L••Sep 14, 2023 · Control person joined · fact
- Bo Martin Alex Wahllof-Malinconico (Chief Operating Officer) appeared on Schedule A of C••••• P•••••• M••••• S••••••••• A•••••••• L••Sep 14, 2023 · Control person joined · fact
- C••••• P•••••• M••••• S••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Aug 16, 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
- p•••.c•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212 644 8500reportedpublic record, Form ADV, Sep 17, 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