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.

Former SEC-registered adviser

Columbus Circle Investors

Former SEC-registered adviserStamford, ConnecticutCRD 111878SEC 801-47516IAPD
Latest filing Jun 2, 2020
First filing on the tape Mar 30, 2012 · 22 filings
RAUM
$2.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.3%
$6.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
33
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$2.3B as of Mar 20, 2020
Mar 30, 2012$14B then
HNW client RAUM$6.9M as of Mar 20, 2020
Mar 29, 2018$52.0M then
State-registered IARs (5.B.3)2 as of Mar 20, 2020
Mar 28, 20132 then
Employees (5.A)33 as of Mar 20, 2020
Mar 28, 201357 then
Private funds6 as of Mar 31, 2017
Mar 30, 20126 then
RAUM -35% over the last fiscal year-34% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 2, 2020; every figure names its basis
RAUM per advisor
$1.2BderivedRAUM 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
$59.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
29%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
16.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-35%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
  • 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
  • Investment companies$1.1B46%
  • Corporations and businesses$554M24%
  • Pension and profit-sharing plans$513M22%
  • State and municipal entities$143M6.2%
  • Pooled investment vehicles$24.3M1.0%
  • Charitable organizations$23.2M1.0%
  • High-net-worth individuals$6.9M0.3%
Individual clients
0reported
HNW clients
n/areported
Pension plan clients
12reported
Charitable clients
5reported
Accounts
39reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      10 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Cci Healthcare Partners Diversified Master Fund, Ltd.no longer reportedHedge Fund$203M140Mar 30, 2012
      Cci Healthcare Partners Genesis, LPno longer reportedHedge Fund$53.0M28Jul 10, 2013
      Cci Technology Partners, L.P.no longer reportedHedge Fund$41.5M27Mar 30, 2012
      Cci International Partners European Fund LPno longer reportedHedge Fund$41.3M25Dec 16, 2013
      Cci Technology Partners II, LPno longer reportedHedge Fund$32.5M16Mar 30, 2012
      Cci Micro Healthcare, Ltd.no longer reportedHedge Fund$16.1M5Jul 10, 2013
      Cci Healthcare Partners Diversified II, LPno longer reportedHedge Fund$8.9M20Mar 30, 2012
      Cci Technology Partners, Ltd.no longer reportedHedge Fund$8.1M4Mar 30, 2012
      Cci Technology Partners II, Ltd.no longer reportedHedge Fund$5.3M3Mar 30, 2012
      Cci International Partners European Fund Ltd.no longer reportedHedge Fund$00Dec 16, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • G Clifford Fox · Senior Managing Directorcontrol
        since 01/2000 · owns less than 5%
      • J Markham Penrod · Chief Compliance Officercontrol
        since 09/2015 · owns less than 5%
      Entity owners
      • Ccip, LLC · General Partner
        direct · owns 75% or more
      • Principal Global Columbus Circle LLC · General Partner
        direct · owns less than 5%
      • Principal Financial Group, Inc. · 100% Owner
        indirect · owns 75% or more of Principal Financial Services, Inc. · public reporting company
      • Principal Financial Services, Inc. · 100% Owner
        indirect · owns 75% or more of Principal Life Insurance Company
      • Principal Global Investors · Member
        indirect · owns 75% or more of Ccip, LLC
      • Principal Global Investors, LLC · Sole Member, 100% Owner
        indirect · owns 75% or more of Principal Global Columbus Circle, LLC
      • Principal Life Insurance Company · Sole Member, 100% Owner
        indirect · owns 75% or more of Principal Global Investors
      Related persons
      Schedule D 7.A
      Advisers that list Columbus Circle Investors as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 57 to 39
        Mar 29, 2019 to Mar 20, 2020
      • Advisory employees · 16 to 15
        Mar 29, 2019 to Mar 20, 2020
      • Charity clients · 10 to 5
        Mar 29, 2019 to Mar 20, 2020
      • Corporate clients · 10 to 7
        Mar 29, 2019 to Mar 20, 2020
      • Pension plan clients · 19 to 12
        Mar 29, 2019 to Mar 20, 2020
      • Pooled vehicle clients · 2 to 1
        Mar 29, 2019 to Mar 20, 2020
      • Employees · 35 to 33
        Mar 29, 2019 to Mar 20, 2020
      • Discretionary RAUM · $3.6B to $2.3B
        Mar 29, 2019 to Mar 20, 2020
      • HNW RAUM · $9.2M to $6.9M
        Mar 29, 2019 to Mar 20, 2020
      • Pension RAUM · $769M to $513M
        Mar 29, 2019 to Mar 20, 2020
      • Pooled vehicle RAUM · $34.2M to $24.3M
        Mar 29, 2019 to Mar 20, 2020
      • RAUM · $3.6B to $2.3B
        Mar 29, 2019 to Mar 20, 2020
      • Accounts · 67 to 57
        Mar 29, 2018 to Mar 29, 2019
      • Advisory employees · 17 to 16
        Mar 29, 2018 to Mar 29, 2019
      • Corporate clients · 9 to 10
        Mar 29, 2018 to Mar 29, 2019
      • HNW clients · 6.0 to unset
        Mar 29, 2018 to Mar 29, 2019
      • Pension plan clients · 22 to 19
        Mar 29, 2018 to Mar 29, 2019
      • Employees · 39 to 35
        Mar 29, 2018 to Mar 29, 2019
      • Discretionary RAUM · $5.4B to $3.6B
        Mar 29, 2018 to Mar 29, 2019
      • HNW RAUM · $52.0M to $9.2M
        Mar 29, 2018 to Mar 29, 2019
      • Pension RAUM · $1.4B to $769M
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $60.7M to $34.2M
        Mar 29, 2018 to Mar 29, 2019
      • RAUM · $5.4B to $3.6B
        Mar 29, 2018 to Mar 29, 2019
      • Accounts · 122 to 67
        Mar 31, 2017 to Mar 29, 2018
      • Advisory employees · 25 to 17
        Mar 31, 2017 to Mar 29, 2018
      • Charity clients · unset to 10.0
        Mar 31, 2017 to Mar 29, 2018
      • Corporate clients · unset to 9.0
        Mar 31, 2017 to Mar 29, 2018
      • HNW clients · unset to 6.0
        Mar 31, 2017 to Mar 29, 2018
      • Individual clients · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 22.0
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 31, 2017 to Mar 29, 2018
      • Custody of client assets · true to false
        Mar 31, 2017 to Mar 29, 2018
      • Employees · 54 to 39
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Private funds · 6 to unset
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $8.2B to $5.4B
        Mar 31, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 51956234.0
        Mar 31, 2017 to Mar 29, 2018
      • Individual RAUM · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Pension RAUM · unset to 1439890385.0
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 60714252.0
        Mar 31, 2017 to Mar 29, 2018
      Signals
      5 dated events
      • Columbus Circle Investors reported RAUM $2.3B, down 35% from $3.6B (2019-03-29 to 2020-03-20)
        Mar 20, 2020 · RAUM change · derived
      • Anthony Rizza (Senior Managing Director) no longer on Schedule A of Columbus Circle Investors (listed 2019-03-29, absent 2020-03-20)
        Mar 20, 2020 · Control person left · inference
      • Frank Cuttita (Senior Managing Director, Chief Administrative Officer) no longer on Schedule A of Columbus Circle Investors (listed 2019-03-29, absent 2020-03-20)
        Mar 20, 2020 · Control person left · inference
      • Columbus Circle Investors reported RAUM $3.6B, down 34% from $5.4B (2018-03-29 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • Columbus Circle Investors reported RAUM $5.4B, down 34% from $8.2B (2017-03-31 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      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