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••••• A•••• M•••••••••
Legal name C••••• A•••• M••••••••• L•
Latest filing Mar 11, 2026
First filing on the tape Aug 7, 2025 · 3 filings
SEC status approved since Aug 7, 2025
RAUM
$989M
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
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$989M as of Mar 11, 2026
Aug 7, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 11, 2026
Aug 7, 20250 then
Employees (5.A)3 as of Mar 11, 2026
Aug 7, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 11, 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
- $247MderivedRAUM 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 assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$989M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
- E••••••••• J••••••• W••••• · Limited Partner, Chief Investment Officercontrolsince 04/2025 · owns 75% or more
- H••••••• R••••••• A•• · Chief Compliance Officersince 06/2025 · owns less than 5%
Entity owners
- C••••• A•••• M••••••••• G• L•• · General Partnerdirect · owns less than 5%
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
- Discretionary RAUM · $776M to $989MDec 3, 2025 to Mar 11, 2026
- Pooled vehicle RAUM · $776M to $989MDec 3, 2025 to Mar 11, 2026
- RAUM · $776M to $989MDec 3, 2025 to Mar 11, 2026
- Accounts · 0 to 4Aug 7, 2025 to Dec 3, 2025
- Advisory employees · 1 to 3Aug 7, 2025 to Dec 3, 2025
- Pooled vehicle clients · unset to 4.0Aug 7, 2025 to Dec 3, 2025
- Employees · 1 to 3Aug 7, 2025 to Dec 3, 2025
- Discretionary RAUM · $0 to $776MAug 7, 2025 to Dec 3, 2025
- Pooled vehicle RAUM · unset to 775702000.0Aug 7, 2025 to Dec 3, 2025
- RAUM · $0 to $776MAug 7, 2025 to Dec 3, 2025
Signals
1 dated events
- C••••• A•••• M••••••••• reported RAUM $989.0M, up 27% from $775.7M (2025-12-03 to 2026-03-11)Mar 11, 2026 · RAUM change · derived
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
- Principal office phone
- 917-541-5410reportedpublic record, Form ADV, Mar 11, 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