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C••••••••• C•••••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 1b 10b

C••••••••• C•••••• M••••••••• L••

CRD 130813

OLD GREENWICH, CT

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Search this name across graphsid dfx:ria:3241cff9-415c-8aa0-3389-75244d726c32

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 5
On other graphs: 1
Observed: Mar 28, 2012 to Mar 30, 2026
27 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

C••••••••• C•••••• M••••••••• L••

Private equity manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: other adviserderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $5.1BItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
U••••• M••••••• O••••••••• F••• I•• L•	Hedge Fund	$883M	Jun 26, 2019	1	Mar 29, 2017	dropped	n/a
F••• 1•	Hedge Fund	$364M

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• H•••••• C••••••• L••	MAJORITY OWNER	E	yes	12/2010	Mar 29, 2017	Mar 15, 2024
F••••• D•••••• A•••••	CHIEF STRATEGY OFFICER & SECRETARY	Na	yes	04/2013	Mar 28, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•• S••••••• O••••••••• F••• G•• L••	n/a	n/a	n/a	Y	yes	n/a
C••••••••• R••• E••••• S••••••• •••• L••	n/a	n/a	n/a	N	yes	n/a
S••••• H••• M••••••• O••••••••• F••• G•• L••

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$5.1B	$3.5B	43.3%	$5.5B	-2.6%	43	44	0	0

Relationships

Controls (6)

← R•••• B••••• M•••••••OwnerCHAIRMAN OF THE EXECUTIVE COMMITTEE, MANAGING MEMBER, ownership code E, individual
Mar 28, 2012 to Mar 15, 2024factForm ADV
← S••••• P••••• L•••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Oct 24, 2012 to Mar 15, 2024factForm ADV
← F••••• D•••••• A•••••OwnerCHIEF STRATEGY OFFICER & SECRETARY, ownership code NA, individual
Mar 28, 2012 to Mar 15, 2024factForm ADV
← T•••••• A•••••• M•••OwnerCHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER, ownership code NA, individual

Dated events

Occurred
Mar 30, 2026
Regulatory AUM changed
C••••••••• C•••••• M••••••••• L•• reported RAUM $5.1B, up 43% from $3.5B (2025-03-21 to 2026-03-30)
Form ADVobserved 7 days ago
$1.5B
Occurred
Mar 22, 2022
Regulatory AUM changed
C••••••••• C•••••• M••••••••• L•• reported RAUM $6.8B, up 39% from $4.9B (2021-03-25 to 2022-03-22)
Form ADVobserved 7 days ago
$1.9B
Occurred
Mar 25, 2021
Regulatory AUM changed
C••••••••• C•••••• M••••••••• L•• reported RAUM $4.9B, up 31% from $3.7B (2020-03-27 to 2021-03-25)
Form ADVobserved 7 days ago
$1.2B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3241cff9-415c-8aa0-3389-75244d726c32
First observed: Mar 28, 2012
Last observed: Mar 30, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

2025	Mar 30, 2026	$5.1B	$0	43	32	0	n/a	n/a
2024	Mar 21, 2025	$3.5B	$0	44	32	0	n/a	n/a
2023	Mar 15, 2024	$4.1B	$0	44	31	0	n/a	n/a
2022	Mar 29, 2023	$5.5B	$0	44	31	2	n/a	n/a
2021	Mar 22, 2022	$6.8B	$12.6M	44	32	2	n/a	n/a
2020	Mar 25, 2021	$4.9B	$13.1M	37	25	2	n/a	n/a
2019	Mar 27, 2020	$3.7B	$18.6M	35	24	2	n/a	n/a
2018	Mar 26, 2019	$2.5B	$53.0M	32	23	3	5	$1.2B
2017	Mar 28, 2018	$2.5B	$153M	30	16	3	4	$711M
2016	Mar 29, 2017	$1.8B	$224M	26	16	n/a	3	$446M
2015	Mar 30, 2016	$689M	$142M	24	14	n/a	1	$142M
2014	Mar 31, 2015	$307M	$150M	24	12	n/a	1	$150M
2013	Mar 31, 2014	$2.0B	$70.0M	24	12	n/a	1	$70.0M
2012	Apr 1, 2013	$1.8B	$383M	22	13	n/a	1	$364M
2011	Mar 28, 2012	$651M	$364M	n/a	n/a	n/a	3	$428M