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••••• C•••••• M•••••••••
Legal name C••••• C•••••• M••••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Mar 6, 2012 · 40 filings
SEC status approved since Mar 1, 2000
RAUM
$431M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
65%
$280M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$144M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$431M as of Mar 25, 2026
Mar 6, 2012$264M then
HNW client RAUM$275M as of Mar 25, 2026
Mar 1, 2018$160M then
State-registered IARs (5.B.3)3 as of Mar 25, 2026
Mar 6, 20120 then
Employees (5.A)9 as of Mar 25, 2026
Mar 19, 20137 then
Private funds2 as of Mar 25, 2026
Mar 6, 20123 then
RAUM +27% over the last fiscal year+12% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $144MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $114M, 3 clientsreportedItem 9.A
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$275M64%
- Pooled investment vehicles$101M24%
- Corporations and businesses$29.3M6.8%
- Charitable organizations$16.4M3.8%
- Individuals$5.0M1.2%
- Pension and profit-sharing plans$3.6M0.8%
- Individual clients
- 22reported
- HNW clients
- 102reported
- Pension plan clients
- 2reported
- Charitable clients
- 3reported
- Accounts
- 348reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $114M for 3 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.65 fund_share=0.24 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••••••• K••••••••• A•••• D•••••Chartered Financial Analyst | Worcester, Ma | Feb 13, 2004 | 22 y | 0 |
| M•••••• E••••• H••••Chartered Financial Consultant | Worcester, Ma | Oct 18, 2019 | 30 y | 4 |
| M••••• S•••••• C••••• | Worcester, Ma | Nov 29, 2025 | 54 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- P••• V•••••• B•••• to B••••••• G••••• A•••••••• L••Jan 30, 2015 · Other
Joined, latest
- M•••••• E••••• H•••• from W•••••••• A•••• M••••••••• I•••Oct 18, 2019 · RIA to RIA
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••• I••••••••• F•••• L• | Hedge Fund | $62.0M | 34 | Mar 6, 2012 |
| C••••• F••••••••• F•••• L• | Hedge Fund | $26.0M | 36 | Mar 6, 2012 |
| C••••• C••••••••• A••••••• R••••• F•••• L•no longer reported | Hedge Fund | $18.0M | 20 | Mar 6, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• M•••••• S•••••• · Principalcontrolsince 07/1999 · owns less than 5%
- D•••••• G•••••••• K••••••••• A•••• · President, Chief Compliance Officer, Principal And Managing Membercontrolsince 06/2006 · owns 50% to 75%
Entity owners
- C••••• L••• C•••• · Equity Ownerindirect · owns F of C••••• L•••••• P••••••••• I•
- M••••• S• C••••• 2••• R•••••••• T•••• · Sole Shareholderindirect · owns 75% or more of C••••• L••• C••••
- C••••• L•••••• P••••••••• I• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- M••••• S• C•••••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Worcester, Ma · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Clearwater, FL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Mar 25, 2026RAUM per registered advisor of $143,609,261 against a peer median of $55,746,441 (3254 comparable advisers, 98.0th percentile, 3.1 robust deviations)peers: independent wealth managers, $100M to $500M (3,254) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 300 to 348Sep 16, 2025 to Mar 25, 2026
- Charity clients · unset to 3.0Sep 16, 2025 to Mar 25, 2026
- HNW clients · 96 to 102Sep 16, 2025 to Mar 25, 2026
- Individual clients · 16 to 22Sep 16, 2025 to Mar 25, 2026
- Pension plan clients · unset to 2.0Sep 16, 2025 to Mar 25, 2026
- Assets in custody · $100M to $114MSep 16, 2025 to Mar 25, 2026
- Financial planning clients · 11-25 to 1-10Sep 16, 2025 to Mar 25, 2026
- Discretionary RAUM · $340M to $431MSep 16, 2025 to Mar 25, 2026
- HNW RAUM · $204M to $275MSep 16, 2025 to Mar 25, 2026
- Individual RAUM · $2.3M to $5.0MSep 16, 2025 to Mar 25, 2026
- Pension RAUM · $3.5M to $3.6MSep 16, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $89.4M to $101MSep 16, 2025 to Mar 25, 2026
- RAUM · $340M to $431MSep 16, 2025 to Mar 25, 2026
- Accounts · 278 to 300Mar 26, 2024 to Mar 28, 2025
- Charity clients · 3.0 to unsetMar 26, 2024 to Mar 28, 2025
- Corporate clients · 14 to 15Mar 26, 2024 to Mar 28, 2025
- HNW clients · 87 to 96Mar 26, 2024 to Mar 28, 2025
- Individual clients · 20 to 16Mar 26, 2024 to Mar 28, 2025
- Pension plan clients · 2.0 to unsetMar 26, 2024 to Mar 28, 2025
- Assets in custody · $98.2M to $100MMar 26, 2024 to Mar 28, 2025
- Financial planning clients · 11-25 to 11-25Mar 26, 2024 to Mar 28, 2025
- Other offices · 1 to 0Mar 26, 2024 to Mar 28, 2025
- Discretionary RAUM · $316M to $340MMar 26, 2024 to Mar 28, 2025
- HNW RAUM · $181M to $204MMar 26, 2024 to Mar 28, 2025
- Individual RAUM · $3.3M to $2.3MMar 26, 2024 to Mar 28, 2025
- Pension RAUM · $3.6M to $3.5MMar 26, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $88.0M to $89.4MMar 26, 2024 to Mar 28, 2025
- RAUM · $316M to $340MMar 26, 2024 to Mar 28, 2025
- Accounts · 162 to 278Mar 31, 2023 to Mar 26, 2024
- Advisory employees · 5 to 6Mar 31, 2023 to Mar 26, 2024
- Corporate clients · 13 to 14Mar 31, 2023 to Mar 26, 2024
- HNW clients · 67 to 87Mar 31, 2023 to Mar 26, 2024
- Assets in custody · $103M to $98.2MMar 31, 2023 to Mar 26, 2024
- Employees · 8 to 9Mar 31, 2023 to Mar 26, 2024
- Discretionary RAUM · $305M to $316MMar 31, 2023 to Mar 26, 2024
- HNW RAUM · $166M to $181MMar 31, 2023 to Mar 26, 2024
- Individual RAUM · $4.5M to $3.3MMar 31, 2023 to Mar 26, 2024
- Pension RAUM · $3.8M to $3.6MMar 31, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $92.8M to $88.0MMar 31, 2023 to Mar 26, 2024
- RAUM · $305M to $316MMar 31, 2023 to Mar 26, 2024
Signals
2 dated events
- David Gregory Smith (Chief Operating Officer / Chief Compliance Officer / Corporate Counsel) no longer on Schedule A of C••••• C•••••• M••••••••• (listed 2019-03-26, absent 2019-06-17)Jun 17, 2019 · Control person left · inference
- David Gregory Smith (Chief Operating Officer / Chief Compliance Officer / Corporate Counsel) appeared on Schedule A of C••••• C•••••• M•••••••••Mar 26, 2019 · Control person joined · fact
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
- Business phone
- 508-757-4455reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 508-757-4466reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- C•••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 508-757-4455reportedpublic record, Form ADV, Mar 25, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $144Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026