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•••••• G•••• L••
Latest filing Apr 1, 2026
First filing on the tape Jun 3, 2025 · 4 filings
SEC status approved since Jul 3, 2025
RAUM
$40.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$40.1M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$20.0M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$40.1M as of Apr 1, 2026
Jun 3, 2025$0 then
HNW client RAUM$40.1M as of Apr 1, 2026
Oct 31, 2025$25.7M then
State-registered IARs (5.B.3)2 as of Apr 1, 2026
Jun 3, 20251 then
Employees (5.A)5 as of Apr 1, 2026
Jun 3, 20255 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
- RAUM per advisor
- $20.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.7MderivedHNW RAUM over HNW clients
- Average account
- $2.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 0.5derived4 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 individualsreportedItem 5.G
- Wrap fee program
- $40.1MreportedItem 5.I
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$40.1M100%
- Individual clients
- n/areported
- HNW clients
- 7reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 15reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• R••• B••••• | Rumson, Nj | Sep 15, 2025 | 16 y | 1 |
| S••••• C• W•••••• | New York, Ny | Oct 15, 2025 | 30 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- S••••• C• W•••••• from C•••••••• G••••• M•••••• I•••Oct 15, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- D•••• R••• B••••• from C•••••••• G••••• M•••••• I•••Sep 15, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 12 to 15Oct 31, 2025 to Mar 31, 2026
- HNW clients · 5 to 7Oct 31, 2025 to Mar 31, 2026
- Other offices · 2 to 3Oct 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $25.7M to $40.1MOct 31, 2025 to Mar 31, 2026
- HNW RAUM · $25.7M to $40.1MOct 31, 2025 to Mar 31, 2026
- RAUM · $25.7M to $40.1MOct 31, 2025 to Mar 31, 2026
- Accounts · 0 to 12Jun 3, 2025 to Oct 31, 2025
- Advisory employees · 1 to 2Jun 3, 2025 to Oct 31, 2025
- HNW clients · unset to 5.0Jun 3, 2025 to Oct 31, 2025
- Financial planning clients · 0 to 0Jun 3, 2025 to Oct 31, 2025
- State-registered IARs · 1 to 2Jun 3, 2025 to Oct 31, 2025
- Other offices · 1 to 2Jun 3, 2025 to Oct 31, 2025
- Discretionary RAUM · $0 to $25.7MJun 3, 2025 to Oct 31, 2025
- HNW RAUM · unset to 25689000.0Jun 3, 2025 to Oct 31, 2025
- RAUM · $0 to $25.7MJun 3, 2025 to Oct 31, 2025
- Wrap assets (manager) · unset to 0.0Jun 3, 2025 to Oct 31, 2025
- Wrap assets (sponsor) · unset to 0.0Jun 3, 2025 to Oct 31, 2025
Signals
No event on the tape.
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
- info@ciogroup.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-516-4000reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/ciogroupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- ciogroup.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-516-4000reportedpublic record, Form ADV, Apr 1, 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
- $20.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026