DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

C•••••• C•••••• M••••••••• L•••

CRD 163503

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Search this name across graphsid dfx:ria:826d8cba-3b8f-516d-19b5-d9466d4c2352

Data as of Jun 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 36
Dated events: 5
On other graphs: 2
Observed: Jun 30, 2014 to Jun 4, 2026
27 observations

Across DFX

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

Venture Capitalidentity

C•••••• C•••••• M••••••••• L•••

Venture manager · shared crd

Real Estate Fundsidentity

C•••••• C•••••• M••••••••• L•••

Real estate fund manager · shared crd

Facts

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

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=0.94 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $1.3B••• Locked
Discretionary RAUM: $1.3B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 17

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•••••• R••• L•	Hedge Fund	$861M	Mar 27, 2024	144	Mar 29, 2021	reported	021-377557
C•••••• P•• I••••• F•••• L•••	Hedge Fund	$440M	Feb 26, 2016

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• E•••••• M••••••	Trustee	F	yes	07/2015	Jun 30, 2014	Mar 27, 2024
C••••••• E•••••• M••••••	MANAGING PARTNER	Na	yes	03/2012	Jun 30, 2014	Mar 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••• I••••• A••••••• I• L••	n/a	n/a	n/a	N	yes	n/a
C•••••• I••••• A••••••• I•• L••	n/a	n/a	n/a	N	yes	n/a
C•••••• O••••••••• G•• L••	n/a

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.3B	$920M	45.6%	$1.1B	7.1%	17	18	1	1

Relationships

Advises (21)

→ C•••••• R••• L•Private fundHedge Fund, IA
Mar 29, 2021 to presentfactForm ADV
→ C••••••••• I••••• F•••• L•••Private fundHedge Fund, IA
Mar 31, 2014 to presentfactForm ADV
→ C••••••••• I••••• F•••• L•••Private fundHedge Fund, IA
Mar 31, 2014 to presentfactForm ADV
→ C•••••• O••••••••• M••••• F•••• L•••Private fund

Dated events

Occurred
Mar 26, 2026
Regulatory AUM changed
C•••••• C•••••• M••••••••• L••• reported RAUM $1.3B, up 46% from $919.8M (2025-03-25 to 2026-03-26)
Form ADVobserved 7 days ago
$419M
Occurred
Mar 27, 2024
Control person joined
D. Sun Yee (Chief Financial Officer) appeared on Schedule A of C•••••• C•••••• M••••••••• L•••
Form ADVobserved 7 days ago
Occurred
Mar 30, 2023
Control person left
Michael Thomas Moore (Chief Financial Officer; Chief Operating Officer) no longer on Schedule A of C•••••• C•••••• M••••••••• L••• (listed 2022-04-15, absent 2023-03-30)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:826d8cba-3b8f-516d-19b5-d9466d4c2352
First observed: Jun 30, 2014
Last observed: Jun 4, 2026 3 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.