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•••••• R••••••• C••••••
Latest filing May 29, 2026
First filing on the tape Dec 20, 2011 · 29 filings
SEC status approved since Oct 27, 1997
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
136
118 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$0 as of May 29, 2026
Sep 28, 2012$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 29, 2026
Sep 28, 20120 then
Employees (5.A)136 as of May 29, 2026
Sep 18, 2013234 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 29, 2026; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- otherreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
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
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• W•••••• R••••• · Directorcontrolsince 09/2013 · owns less than 5%
- C•••• N•••••• H•••• · Director, President, Chairman & Principal Executive Officercontrolsince 01/2019 · owns less than 5%
- E••••• A•••• · Directorcontrolsince 11/2023 · owns less than 5%
- N••••• N•••••• Z•••••• S•••• · Chief Compliance Officercontrolsince 06/2024 · owns less than 5%
- S••••••••• S•••• M•••••• · Treasurercontrolsince 01/2008 · owns less than 5%
- S•••••• K•••••• · Directorcontrolsince 04/2013 · owns less than 5%
Entity owners
- C•••••• R••••••• A•• M••••••••• C•••••• · Shareholderdirect · owns 75% or more
- T•• C•••••• G•••• C••••••••• I••• · Shareholderindirect · owns 75% or more of C•••••• R••••••• A•• M••••••••• C••••••
Related persons
Schedule D 7.A
- C•••••• B••• A•• T•••• C••••••investment adviserbankpooled vehicle sponsornRAUM $139B
- C•••••• C••••• G••••• I•••broker-dealerinvestment adviserreal estaten
- C•••••• G•••• I••••••••• M••••••••• L••••••bankpooled vehicle sponsory
- C•••••• G•••• I••••••••• M••••••••• P••• L•••investment advisern
- C•••••• G•••• P•••••• C••••• S•••••••• I•••investment adviserbanknRAUM $43B
- C•••••• G•••• U• M••••••••• C•••••• L••••••investment adviserbankpooled vehicle sponsorn
- C•••••• G••••••• •••••••• I•••investment advisern
- C•••••• I••••••••• A•••• M••••••••• •••••••• I•••investment adviserpooled vehicle sponsory
- C•••••• I••••••••• K•••investment advisern
- C•••••• I••••••••• L••••••investment advisern
- C•••••• I••••••••• M••••••••• C•••••• S•••investment adviserbankpooled vehicle sponsorn
- C•••••• I••••••••• S•••investment advisern
- C•••••• I••••••••• I•••investment adviserbankpooled vehicle sponsornRAUM $52B
- C•••••• R••••••• A•• M••••••••• C••••••investment adviserbankyRAUM $3754B
Advisers that list C•••••• R••••••• C•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom71 employees
- New York, NY7 employees
What changed
consecutive filings, newest first
- Accounts · unset to 0.0Dec 9, 2024 to Sep 26, 2025
- Advisory employees · 78 to 118Dec 9, 2024 to Sep 26, 2025
- Employees · 87 to 136Dec 9, 2024 to Sep 26, 2025
- Financial planning clients · unset to Dec 9, 2024 to Sep 26, 2025
- Discretionary RAUM · unset to 0.0Dec 9, 2024 to Sep 26, 2025
- Non-discretionary RAUM · unset to 0.0Dec 9, 2024 to Sep 26, 2025
- RAUM · unset to 0.0Dec 9, 2024 to Sep 26, 2025
- Advisory employees · 76 to 78Jun 7, 2024 to Sep 27, 2024
- Employees · 90 to 87Jun 7, 2024 to Sep 27, 2024
- Advisory employees · 73 to 76Sep 28, 2022 to Sep 28, 2023
- Employees · 94 to 90Sep 28, 2022 to Sep 28, 2023
- Advisory employees · 61 to 73Jan 19, 2022 to Sep 28, 2022
- Employees · 88 to 94Jan 19, 2022 to Sep 28, 2022
- Employees · 82 to 88Sep 28, 2020 to Sep 28, 2021
- Other offices · 1 to 2Sep 28, 2020 to Sep 28, 2021
- Advisory employees · 67 to 61Sep 27, 2019 to Sep 28, 2020
- Employees · 85 to 82Sep 27, 2019 to Sep 28, 2020
- Advisory employees · 59 to 67Mar 18, 2019 to Sep 27, 2019
- Employees · 72 to 85Mar 18, 2019 to Sep 27, 2019
- Advisory employees · 55 to 59Sep 28, 2017 to Sep 28, 2018
- Employees · 73 to 72Sep 28, 2017 to Sep 28, 2018
- Other offices · unset to 1.0Sep 28, 2017 to Sep 28, 2018
- Advisory employees · 43 to 55Oct 6, 2015 to Sep 28, 2016
- Employees · 61 to 73Oct 6, 2015 to Sep 28, 2016
- Advisory employees · 46 to 43Jun 5, 2015 to Sep 28, 2015
- Employees · 56 to 61Jun 5, 2015 to Sep 28, 2015
- Advisory employees · 203 to 46Sep 18, 2013 to Sep 29, 2014
- Employees · 234 to 56Sep 18, 2013 to Sep 29, 2014
- Accounts · 0.0 to unsetJun 27, 2013 to Sep 18, 2013
- Advisory employees · 166 to 203Jun 27, 2013 to Sep 18, 2013
- Employees · 225 to 234Jun 27, 2013 to Sep 18, 2013
- Discretionary RAUM · 0.0 to unsetJun 27, 2013 to Sep 18, 2013
- Non-discretionary RAUM · 0.0 to unsetJun 27, 2013 to Sep 18, 2013
- RAUM · 0.0 to unsetJun 27, 2013 to Sep 18, 2013
- Related bank · false to trueJun 27, 2013 to Sep 18, 2013
- Advisory employees · unset to 166.0Sep 28, 2012 to May 13, 2013
- Employees · unset to 225.0Sep 28, 2012 to May 13, 2013
- Insurance-licensed employees · unset to 0.0Dec 20, 2011 to Mar 29, 2012
Signals
8 dated events
- Zarifeh Sahar Naseem Nixon (Chief Compliance Officer) appeared on Schedule A of C•••••• R••••••• C••••••Jun 7, 2024 · Control person joined · fact
- Yungtai Herbert Poon (Chief Compliance Officer) no longer on Schedule A of C•••••• R••••••• C•••••• (listed 2023-11-21, absent 2024-06-07)Jun 7, 2024 · Control person left · inference
- Martin Romo (Director, Chairman & Principal Executive Officer) no longer on Schedule A of C•••••• R••••••• C•••••• (listed 2023-09-28, absent 2023-11-21)Nov 21, 2023 · Control person left · inference
- Aaron Espin (Director) appeared on Schedule A of C•••••• R••••••• C••••••Nov 21, 2023 · Control person joined · fact
- Marie Canise Arredondo (Chief Compliance Officer) no longer on Schedule A of C•••••• R••••••• C•••••• (listed 2019-01-28, absent 2019-03-18)Mar 18, 2019 · Control person left · inference
- Yungtai Herbert Poon (Chief Compliance Officer) appeared on Schedule A of C•••••• R••••••• C••••••Mar 18, 2019 · Control person joined · fact
- Johnston Bradley Vogt (Director/Chairman/Peo) no longer on Schedule A of C•••••• R••••••• C•••••• (listed 2018-09-28, absent 2019-01-28)Jan 28, 2019 · Control person left · inference
- Honda Noriko Chen (Director And President) appeared on Schedule A of C•••••• R••••••• C••••••Jan 28, 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
- Firm profile
- linkedin.com/company/capital-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 213-486-9200reportedpublic record, Form ADV, May 29, 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
- No RAUM reportedderiveda 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