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

X• C•••••• A••••••• L••

Former SEC-registered adviserCRD 332176SEC 801-130979IAPD
Latest filing Mar 30, 2025
First filing on the tape Jul 25, 2024 · 4 filings
SEC status 120-day approval since Aug 28, 2024
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM: $0
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2025
Jul 25, 20241 then
Employees (5.A)1 as of Mar 30, 2025
Jul 25, 20241 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 2025; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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 assets, hourly, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B•••••••• A•••••• C•••••• · Director - Chief Compliance Officercontrol
    since 07/2024 · owns less than 5%
  • B•••••••• A•••••• C•••••• · Membercontrol
    since 07/2024 · owns 25% to 50% of X• C•••••• A••••••• H•••••• L••
  • Q•••• X•••• · Ownercontrol
    since 07/2024 · owns 75% or more of I•••••••• A••••••• H•••••• L••
Entity owners
  • X• C•••••• A••••••• H•••••• L•• · Owner
    direct · owns 75% or more
  • I•••••••• A••••••• H•••••• L•• · Owner
    indirect · owns 75% or more of X• C•••••• A••••••• H•••••• L••
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
New York, Ny000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · unset to 0.0
    Oct 11, 2024 to Mar 30, 2025
  • Financial planning clients · unset to
    Oct 11, 2024 to Mar 30, 2025
  • HQ city · unset to
    Oct 11, 2024 to Mar 30, 2025
  • HQ state · unset to
    Oct 11, 2024 to Mar 30, 2025
  • Discretionary RAUM · unset to 0.0
    Oct 11, 2024 to Mar 30, 2025
  • Non-discretionary RAUM · unset to 0.0
    Oct 11, 2024 to Mar 30, 2025
  • Pooled vehicle RAUM · unset to 0.0
    Oct 11, 2024 to Mar 30, 2025
  • RAUM · unset to 0.0
    Oct 11, 2024 to Mar 30, 2025
Signals
4 dated events
  • X• C•••••• A••••••• L•• no longer on the SEC adviser roster (last listed 2025-08-01)
    Sep 2, 2025 · Left the SEC roster · derived
  • A••••• C•••••• B••••••• left X• C•••••• A••••••• L•• for G••••• S•••• C•••••• I••• (registered 2026-06-03)
    Aug 18, 2025 · Advisor changed firm · fact
  • X•••• Q••• (Owner) appeared on Schedule A of X• C•••••• A••••••• L••
    Aug 16, 2024 · Control person joined · fact
  • X• C•••••• A••••••• L•• filed its initial SEC registration (Form ADV)
    Jul 25, 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.
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