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

I•••••• I•••••••••

Former SEC-registered adviserNew York, New YorkCRD 37214SEC 801-46649IAPD
Legal name C••••••• A•••• M••••••••• C••••
Latest filing Mar 31, 2018
First filing on the tape Mar 30, 2012 · 29 filings
RAUM
$423M
reported, Item 5.F
Discretionary
57%
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
0
0 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
6
$183M gross assets
History
29 filings and snapshots on the tape
RAUM$423M as of Mar 31, 2018
Mar 30, 2012$6.3B then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 31, 2018
Mar 28, 20130 then
Employees (5.A)0 as of Mar 31, 2018
Mar 28, 201330 then
Private funds6 as of Mar 31, 2018
Mar 30, 201211 then
RAUM -20% over the last fiscal year-24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2018; 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
$21.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
57%derivedof RAUM
Institutional
57%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-20%derivedbetween 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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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 has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • State and municipal entities$241M57%
  • Pooled investment vehicles$183M43%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
20reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••••••• S••••••••• F•••••• C••• L•••no longer reportedSecuritized Asset Fund$847M0Mar 28, 2013
      A•• C•• 2•••••• L•••no longer reportedSecuritized Asset Fund$572M0Mar 30, 2012
      C•• C•• I• L•••no longer reportedSecuritized Asset Fund$490M0Mar 30, 2012
      D••••• R••• C••• C•• 2•••••• L•••no longer reportedSecuritized Asset Fund$385M0Mar 30, 2012
      R•••••••• F••••••• L•••no longer reportedSecuritized Asset Fund$96.0M2Mar 30, 2012
      8•••••••••Securitized Asset Fund$53.2M2Mar 30, 2012
      A••••• C•• 6• L•••no longer reportedSecuritized Asset Fund$39.0M2Mar 30, 2012
      4•••••••••Securitized Asset Fund$1.4M4Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• G•••••• A•••• · Directorcontrol
        since 01/2015 · owns less than 5%
      • C••••• C•••••••• D••• · Chief Executive Officercontrol
        since 12/2017 · owns less than 5%
      • E••••• J••••••• · Directorcontrol
        since 11/2017 · owns less than 5%
      • G•••••• S••• · Chief Compliance Officercontrol
        since 12/2017 · owns less than 5%
      • N••••••• A••••••• H•••• · Directorcontrol
        since 01/2015 · owns less than 5%
      • P•••••• D•••••••• M•••• · Directorcontrol
        since 11/2017 · owns less than 5%
      Entity owners
      • C••••••• H•••••••• L•• · Owner
        direct · owns 75% or more
      • T•• B••• O• N•• Y••• M••••• · Indirect Owner Of Camc
        indirect · owns 75% or more of C••••••• H•••••••• L•• · public reporting company
      • T•• B••• O• N•• Y••• M••••• C••••••••• · Indirect Owner
        indirect · owns 75% or more of T•• B••• O• N•• Y••• M••••• · public reporting company
      Related persons
      Schedule D 7.A
      • Benefit Street Partners L••••••
        investment adviserbankpooled vehicle sponsornRAUM $23B
      • Bsp Ny LLC
        investment adviserbankpooled vehicle sponsornRAUM $14B
      • A•••••• C•••••• M••••••••• L••
        investment advisernRAUM $545M
      • A•• I••••••••• L•••
        investment adviserbankn
      • Bny M••••• I••••••• S••••••••, LLC
        investment advisernRAUM $853M
      • B•• M••••• A••••••••• D• A••••• L••••
        investment advisern
      • B•• M••••• A••••••• D• P••••••••• L•••
        investment advisern
      • B•• M••••• A•••• M••••••••• C••••• L••••••
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Bny M••••• Investment M••••••••T J•••• L••••••
        investment advisernRAUM $32B
      • M••••• Investments Corporation
        investment adviserbankpooled vehicle sponsornRAUM $874B
      • B•• M••••• B•••• S•••
        n
      • B•• M••••• C•••••• M•••••• E••• L••••••
        broker-dealerinvestment adviserbankn
      • B•• M••••• C•••••• M••••••• L••
        broker-dealern
      • B•• M••••• F••• M••••••• L••••••
        investment adviserpooled vehicle sponsorn
      • B•• M••••• G••••• M••••••••• L••••••
        investment adviserpooled vehicle sponsorn
      • B•• M••••• I• K•••• L••••••
        investment advisern
      • B•• M••••• I••••••••• M••••••••• L••••••
        investment adviserpooled vehicle sponsorn
      • B•• M••••• I••••••••• M••••••••• A•••••••• L••••••
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • B•• M••••• I••••••••• M••••••••• C••••• L••
        investment adviserpooled vehicle sponsornRAUM $10B
      • B•• M••••• I••••••••• M••••••••• E••• L••••••
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • B•• M••••• I••••••••• M••••••••• H••• K••• L••••••
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • B•• M••••• I••••••••• M••••••••• S•••••••• P••• L••••••
        investment advisern
      • B•• M••••• N••••••• A•••••••••
        investment advisercustodiann
      • B•• M••••• S••••••• F••••••••• D••••••••• D• T••••••• E• V•••••• M••••••••• ••••• S•••
        broker-dealerinvestment advisern
      • B•• M••••• T•••• C•••••• •••••••• L••••••
        n
      • B•• M••••• T•••• C•••••• O• I•••••••
        n
      • B•• M••••• T•••• O• D•••••••
        investment advisern
      • B•• M••••• W••••• M••••••••• A••••••• S•••••••• I•••
        broker-dealerinvestment adviserbankpooled vehicle sponsorn
      • C••• M••••• G••••• S••••••••• S••••••• C••••••
        n
      • C••• M••••• T•••• C••••••
        n
      Advisers that list I•••••• I••••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 24 to 20
        Dec 22, 2017 to Mar 31, 2018
      • Advisory employees · 40 to 0
        Dec 22, 2017 to Mar 31, 2018
      • BD registered reps · 23 to 0
        Dec 22, 2017 to Mar 31, 2018
      • Pooled vehicle clients · unset to 6.0
        Dec 22, 2017 to Mar 31, 2018
      • Employees · 75 to 0
        Dec 22, 2017 to Mar 31, 2018
      • Discretionary RAUM · $343M to $241M
        Dec 22, 2017 to Mar 31, 2018
      • Non-discretionary RAUM · $184M to $183M
        Dec 22, 2017 to Mar 31, 2018
      • Pooled vehicle RAUM · $0 to $183M
        Dec 22, 2017 to Mar 31, 2018
      • RAUM · $528M to $423M
        Dec 22, 2017 to Mar 31, 2018
      • Other offices · unset to 1.0
        Jul 6, 2017 to Dec 22, 2017
      • HNW RAUM · unset to 0.0
        Jul 6, 2017 to Dec 22, 2017
      • Individual RAUM · unset to 0.0
        Jul 6, 2017 to Dec 22, 2017
      • Pension RAUM · unset to 0.0
        Jul 6, 2017 to Dec 22, 2017
      • Pooled vehicle RAUM · unset to 0.0
        Jul 6, 2017 to Dec 22, 2017
      • Accounts · 25 to 24
        Jan 23, 2017 to Mar 31, 2017
      • Advisory employees · 30 to 40
        Jan 23, 2017 to Mar 31, 2017
      • BD registered reps · 19 to 23
        Jan 23, 2017 to Mar 31, 2017
      • Private funds · 7 to 6
        Jan 23, 2017 to Mar 31, 2017
      • Discretionary RAUM · $360M to $343M
        Jan 23, 2017 to Mar 31, 2017
      • Non-discretionary RAUM · $261M to $184M
        Jan 23, 2017 to Mar 31, 2017
      • RAUM · $621M to $528M
        Jan 23, 2017 to Mar 31, 2017
      • BD registered reps · 15 to 19
        Mar 31, 2016 to Jul 11, 2016
      • Business name · C••••••• A•••• M••••••••• to I•••••• I•••••••••
        Mar 31, 2016 to Jul 11, 2016
      • Employees · 68 to 75
        Mar 31, 2016 to Jul 11, 2016
      • Accounts · 31 to 25
        Mar 16, 2016 to Mar 31, 2016
      • Advisory employees · 20 to 30
        Mar 16, 2016 to Mar 31, 2016
      • Employees · 82 to 68
        Mar 16, 2016 to Mar 31, 2016
      • Private funds · 8 to 7
        Mar 16, 2016 to Mar 31, 2016
      • Discretionary RAUM · $582M to $360M
        Mar 16, 2016 to Mar 31, 2016
      • Non-discretionary RAUM · $394M to $261M
        Mar 16, 2016 to Mar 31, 2016
      • RAUM · $976M to $621M
        Mar 16, 2016 to Mar 31, 2016
      • BD registered reps · 16 to 15
        Nov 25, 2015 to Mar 16, 2016
      • Employees · 20 to 82
        Nov 25, 2015 to Mar 16, 2016
      • HQ city · ARMONK to NEW Y•••
        Jun 1, 2015 to Jun 11, 2015
      • Advisory activities · 1 to 2
        Mar 31, 2015 to Jun 1, 2015
      • Accounts · 33 to 31
        Feb 12, 2015 to Mar 31, 2015
      • Advisory employees · 25 to 20
        Feb 12, 2015 to Mar 31, 2015
      • BD registered reps · 20 to 16
        Feb 12, 2015 to Mar 31, 2015
      • Employees · 30 to 20
        Feb 12, 2015 to Mar 31, 2015
      • Discretionary RAUM · $4.3B to $582M
        Feb 12, 2015 to Mar 31, 2015
      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.
      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