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
C••••••••• I••••••••• I••••••••• L••
Latest filing Mar 28, 2017
First filing on the tape Mar 27, 2012 · 15 filings
RAUM
$787M
reported, Item 5.F
Discretionary
40%
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
22
19 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$787M as of Mar 28, 2017
Mar 27, 2012$256M then
HNW client RAUM: no history
State-registered IARs (5.B.3)19 as of Mar 28, 2017
Mar 27, 201315 then
Employees (5.A)22 as of Mar 28, 2017
Mar 27, 201317 then
Private funds: no history
RAUM +25% over the last fiscal year+14% a year over threeIARs 20 to 19
Practice profile
derived from the filing of Mar 28, 2017; every figure names its basis
- RAUM per advisor
- $41.4MderivedRAUM 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
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 40%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 19.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- -5.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 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
- is an insurance broker or agent (6.A.6)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
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
- 486reported
- Financial planning clients
- 1-10reported
- 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
- P•••••• A•• W••••••• to C••••••••• A••••••• A•••• M••••••••• L••Aug 19, 2014 · Other
- S••• L•••• to Y•• A•••• M••••••••• I•••Apr 23, 2013 · Other
- A•• T••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 15, 2010 · Other
- M••••• D•••• B•••• to P•• W••••• M•••••••••Sep 9, 2008 · Other
- D••••• L•••• W••••••• to Y•• A•••• M••••••••• I•••Jan 24, 2006 · Other
Joined, latest
- M•••••• J••••• Z••••••• from A••••• A•• P••••••• S•••••••Sep 3, 2015 · Other
- T•••• J•••• P•••• from M•• F•••••••• S•••••••• I•••Jul 31, 2013 · Other
- B•••• D••••• B••••• from M•• S•••••••••May 12, 2011 · Other
- M••••• D•••• B•••• from C••••••••• A••••••• A•••• M••••••••• L••May 6, 2008 · Other
- R••• D••••••• M••••• from Y•• A•••• M••••••••• I•••Jul 18, 2005 · Other
- K•••• •••• K••••• from Y•• A•••• M••••••••• I•••Jul 8, 2004 · Other
- R••• D• W••• from Y•• A•••• M••••••••• I•••Jul 8, 2004 · Other
- T•••••• A•• G•••••• from Y•• A•••• M••••••••• I•••Jul 8, 2004 · Other
- M•••••• L•• C•••• from Y•• A•••• M••••••••• I•••Jul 8, 2004 · Other
- T••••• J••••• S•••••• from Y•• A•••• M••••••••• I•••Jul 8, 2004 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 18 left for C••••••••• A••••••• A•••• M••••••••• L••Dec 31, 2017 · Bethlehem, Pa · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• M••••••• L•• · President/Managercontrolsince 11/1997 · owns less than 5%
- K•••••• K••••• •••• · Chief Investment Officer/Managercontrolsince 01/2011 · owns less than 5%
- M•••••••• C••••••••• J••• · Chief Compliance Officer/Managercontrolsince 03/2015 · owns less than 5%
- S••••••• T•••••• J••••• · Ceo/Managercontrolsince 01/2000 · owns less than 5%
Entity owners
- C••••••••• B•••••••• I••• · Sole Memberdirect · owns 75% or more
- C••••••••• B•••••••• I••• E••••••• S•••• O•••••••• T•••• · Shareholderindirect · owns 75% or more of C••••••••• B••••••• Inc.
- H•••••• B•••• N••• D•• H•••••• T•••• · Trusteeindirect · owns F of C••••••••• B•••••••• I••• E••••••• S•••• O•••••••• T••••
Related persons
Schedule D 7.A
- C••••••••• A••••••• A•••• M••••••••• L••investment adviserLP sponsornRAUM $9.6B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 412 to 486Dec 27, 2016 to Mar 28, 2017
- Advisory employees · 20 to 19Dec 27, 2016 to Mar 28, 2017
- BD registered reps · 20 to 19Dec 27, 2016 to Mar 28, 2017
- Insurance-licensed employees · 20 to 19Dec 27, 2016 to Mar 28, 2017
- State-registered IARs · 20 to 19Dec 27, 2016 to Mar 28, 2017
- Discretionary RAUM · $225M to $315MDec 27, 2016 to Mar 28, 2017
- Non-discretionary RAUM · $406M to $472MDec 27, 2016 to Mar 28, 2017
- RAUM · $631M to $787MDec 27, 2016 to Mar 28, 2017
- Succession · true to falseAug 2, 2016 to Aug 16, 2016
- Business name · C••••••••• I••••••••• I••••••••• I••• to C••••••••• I••••••••• I••••••••• L••Jul 20, 2016 to Aug 2, 2016
- Legal name · C••••••••• I••••••••• I••••••••• I••• to C••••••••• I••••••••• I••••••••• L••Jul 20, 2016 to Aug 2, 2016
- Succession · false to trueJul 20, 2016 to Aug 2, 2016
- Organization form · Corporation to Limited Liability CompanyMar 23, 2016 to Jul 20, 2016
- Accounts · 379 to 412Jan 13, 2016 to Mar 23, 2016
- Advisory employees · 17 to 20Jan 13, 2016 to Mar 23, 2016
- BD registered reps · 17 to 20Jan 13, 2016 to Mar 23, 2016
- Employees · 20 to 22Jan 13, 2016 to Mar 23, 2016
- Insurance-licensed employees · 16 to 20Jan 13, 2016 to Mar 23, 2016
- State-registered IARs · 17 to 20Jan 13, 2016 to Mar 23, 2016
- Discretionary RAUM · $197M to $225MJan 13, 2016 to Mar 23, 2016
- Non-discretionary RAUM · $393M to $406MJan 13, 2016 to Mar 23, 2016
- RAUM · $590M to $631MJan 13, 2016 to Mar 23, 2016
- Accounts · 455 to 379Apr 8, 2014 to Mar 30, 2015
- Advisory employees · 15 to 17Apr 8, 2014 to Mar 30, 2015
- BD registered reps · 14 to 17Apr 8, 2014 to Mar 30, 2015
- Employees · 18 to 20Apr 8, 2014 to Mar 30, 2015
- Insurance-licensed employees · 12 to 16Apr 8, 2014 to Mar 30, 2015
- State-registered IARs · 15 to 17Apr 8, 2014 to Mar 30, 2015
- Discretionary RAUM · $169M to $197MApr 8, 2014 to Mar 30, 2015
- Non-discretionary RAUM · $364M to $393MApr 8, 2014 to Mar 30, 2015
- RAUM · $534M to $590MApr 8, 2014 to Mar 30, 2015
- Accounts · 418 to 455Jun 4, 2013 to Mar 27, 2014
- Advisory employees · 14 to 15Jun 4, 2013 to Mar 27, 2014
- BD registered reps · 16 to 14Jun 4, 2013 to Mar 27, 2014
- Employees · 17 to 18Jun 4, 2013 to Mar 27, 2014
- Insurance-licensed employees · 13 to 12Jun 4, 2013 to Mar 27, 2014
- Discretionary RAUM · $141M to $169MJun 4, 2013 to Mar 27, 2014
- Non-discretionary RAUM · $303M to $364MJun 4, 2013 to Mar 27, 2014
- RAUM · $445M to $534MJun 4, 2013 to Mar 27, 2014
- Accounts · 373 to 418Mar 28, 2012 to Mar 27, 2013
Signals
1 dated events
- C••••••••• I••••••••• I••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Aug 2, 2016 · Succession (Item 4) · 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