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••••••••• L••

Asset manager (funds and pooled vehicles)Greenwich, ConnecticutCRD 115167SEC 801-64700website IAPD

Latest filing Aug 25, 2026

First filing on the tape Mar 30, 2012 · 40 filings

SEC status approved since Aug 26, 2005

RAUM

$8.0B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

8 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

40 filings and snapshots on the tape

RAUM$8.0B as of Aug 25, 2026

Mar 30, 2012$98.9M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Aug 25, 2026

Mar 30, 20120 then

Employees (5.A)19 as of Aug 25, 2026

Mar 1, 20134 then

Private funds1 as of Aug 25, 2026

Mar 30, 20121 then

RAUM +60% over the last fiscal year+83% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Aug 25, 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: $2.7BderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, 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: +60%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 5.G
Custody: $8.0B, 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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
marketing includes testimonials (5.L.1.c)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$8.0B100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 3reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $8.0B for 3 clientsreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=1.0derived

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

Every departure Every arrival

Private funds

3 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
C•••••• P••••••• M••••• F•••• L•	Hedge Fund	$1.2B	526	Feb 6, 2018
C•••••• P••••••• F•••• L•no longer reported	Hedge Fund	$75.1M	57	Mar 30, 2012
C•••••• P••••••• O•••••••• L•no longer reported	Hedge Fund	$14.2M	8	Feb 6, 2018

Owners and control persons

Schedule A and B, latest filing

B••••••• G••••• M••• · Chief Compliance Officercontrol
since 01/2022 · owns less than 5%
C•••••••• C••••••• E••••• · Managing Member And Chief Investment Officercontrol
since 09/2017 · owns 25% to 50%
F•••••• W••••••• D•••• · Managing Membercontrol
since 10/2002 · owns 5% to 10%
R••••• M••••••• S••••• · Managing Member And Chief Executive Officercontrol
since 05/2000 · owns less than 5%
S••••• T•••••• G•••• · Chief Financial Officercontrol
since 11/2021 · owns less than 5%
F•••••• W••••••• D•••• · T••••••control
since 06/2015 · owns F of N•••• F••••• F••••• A•••••• A•• R••••••• T••••
R••••• M••••••• S••••• · T••••••control
since 06/1993 · owns F of M•••••• B•••• R•••• I••••••••• T••••
R••••• M••••••• S••••• · T••••••control
since 06/1993 · owns F of M•••••• T•••• R•••• I••••••••• T••••
R••••• M••••••• S••••• · T••••••control
since 06/1993 · owns F of M•••••• S••••• R•••• I••••••••• T••••
R••••• M••••••• S••••• · T••••••control
since 07/2001 · owns F of R•••• F••••• T••••
B••••••••• C••••••• D•••• · Managing Director, Convertible Trading
since 04/2021 · owns 10% to 25%
F•••••• D••••• M•• · Managing Director Research
since 05/2020 · owns less than 5%
T••••••• L•••• W•••••• · Vice President, Research And Trading
since 04/2021 · owns less than 5%
C•••••••• A•••••• J• · T••••••
since 12/2021 · owns F of A•••••• J• C•••••••• T•••••• O• T•• C••••••• F••••• T••••
R••••• M••••••• S••••• · T••••••
since 08/2012 · owns F of M•• M• R•••• 2••• I••••••••• T••••

Entity owners

A•••••• J• C•••••••• T•••••• O• T•• C••••••• F••••• T•••• · Trust
direct · owns 5% to 10%
M•••••• B•••• R•••• I••••••••• T•••• · Trust
direct · owns less than 5%
M•••••• T•••• R•••• I••••••••• T•••• · Trust
direct · owns less than 5%
M•• M• R•••• 2••• I••••••••• T•••• · Trust
direct · owns less than 5%
M•••••• S••••• R•••• I••••••••• T•••• · Trust
direct · owns less than 5%
N•••• F••••• F••••• A•••••• A•• R••••••• T•••• · Trust
direct · owns 10% to 25%
R•••• F••••• T•••• · Trust
direct · owns 5% to 10%

Related persons

Schedule D 7.A

C•• G•• L••
investment adviserpooled vehicle sponsory
P•••••••• T••••
investment adviserbankpooled vehicle sponsorn

Advisers that list C•••••• C•••••• M••••••••• L•• as a related person

166762 n

Offices

Schedule D 1.F, the 25 largest

Greenwich, CT3 employees
, 1 employees

What changed

consecutive filings, newest first

HQ city · LA JOLLA to GREENWICH
Jul 10, 2026 to Aug 25, 2026
HQ state · CA to CT
Jul 10, 2026 to Aug 25, 2026
Advisory employees · 6 to 8
Aug 21, 2025 to Mar 30, 2026
BD registered reps · 0 to 1
Aug 21, 2025 to Mar 30, 2026
Assets in custody · $5.0B to $8.0B
Aug 21, 2025 to Mar 30, 2026
Employees · 15 to 19
Aug 21, 2025 to Mar 30, 2026
Discretionary RAUM · $5.0B to $8.0B
Aug 21, 2025 to Mar 30, 2026
Pooled vehicle RAUM · $5.0B to $8.0B
Aug 21, 2025 to Mar 30, 2026
RAUM · $5.0B to $8.0B
Aug 21, 2025 to Mar 30, 2026
Financial planning clients · 0 to 0
Mar 26, 2025 to Aug 21, 2025
Advisory activities · 2 to 1
Dec 11, 2024 to Mar 26, 2025
Assets in custody · $2.6B to $5.0B
Dec 11, 2024 to Mar 26, 2025
Employees · 12 to 15
Dec 11, 2024 to Mar 26, 2025
Discretionary RAUM · $2.6B to $5.0B
Dec 11, 2024 to Mar 26, 2025
Pooled vehicle RAUM · $2.6B to $5.0B
Dec 11, 2024 to Mar 26, 2025
RAUM · $2.6B to $5.0B
Dec 11, 2024 to Mar 26, 2025
Assets in custody · $1.8B to $2.6B
Aug 25, 2023 to Mar 28, 2024
Discretionary RAUM · $1.8B to $2.6B
Aug 25, 2023 to Mar 28, 2024
Pooled vehicle RAUM · $1.8B to $2.6B
Aug 25, 2023 to Mar 28, 2024
RAUM · $1.8B to $2.6B
Aug 25, 2023 to Mar 28, 2024
Assets in custody · $1.3B to $1.8B
Mar 31, 2023 to Jun 30, 2023
Discretionary RAUM · $1.3B to $1.8B
Mar 31, 2023 to Jun 30, 2023
Pooled vehicle RAUM · $1.3B to $1.8B
Mar 31, 2023 to Jun 30, 2023
RAUM · $1.3B to $1.8B
Mar 31, 2023 to Jun 30, 2023
Assets in custody · $866M to $1.3B
Oct 21, 2022 to Mar 31, 2023
Discretionary RAUM · $866M to $1.3B
Oct 21, 2022 to Mar 31, 2023
Pooled vehicle RAUM · $866M to $1.3B
Oct 21, 2022 to Mar 31, 2023
RAUM · $866M to $1.3B
Oct 21, 2022 to Mar 31, 2023
Assets in custody · $742M to $866M
Jan 3, 2022 to Mar 25, 2022
Employees · 10 to 12
Jan 3, 2022 to Mar 25, 2022
Discretionary RAUM · $882M to $866M
Jan 3, 2022 to Mar 25, 2022
Pooled vehicle RAUM · $882M to $866M
Jan 3, 2022 to Mar 25, 2022
RAUM · $882M to $866M
Jan 3, 2022 to Mar 25, 2022
Discretionary RAUM · $767M to $882M
Nov 17, 2021 to Jan 3, 2022
Pooled vehicle RAUM · $767M to $882M
Nov 17, 2021 to Jan 3, 2022
RAUM · $767M to $882M
Nov 17, 2021 to Jan 3, 2022
Accounts · 9 to 3
Jun 30, 2021 to Nov 17, 2021
Discretionary RAUM · $777M to $767M
Jun 30, 2021 to Nov 17, 2021
Pooled vehicle RAUM · $742M to $767M
Jun 30, 2021 to Nov 17, 2021
RAUM · $777M to $767M
Jun 30, 2021 to Nov 17, 2021

Signals

8 dated events

C•••••• C•••••• M••••••••• L•• reported RAUM $8.0B, up 60% from $5.0B (2025-08-21 to 2026-03-30)
Mar 30, 2026 · RAUM change · derived
C•••••• C•••••• M••••••••• L•• reported RAUM $5.0B, up 95% from $2.6B (2024-12-11 to 2025-03-26)
Mar 26, 2025 · RAUM change · derived
C•••••• C•••••• M••••••••• L•• reported RAUM $2.6B, up 45% from $1.8B (2023-08-25 to 2024-03-28)
Mar 28, 2024 · RAUM change · derived
C•••••• C•••••• M••••••••• L•• reported RAUM $1.8B, up 36% from $1.3B (2023-03-31 to 2023-06-30)
Jun 30, 2023 · RAUM change · derived
C•••••• C•••••• M••••••••• L•• reported RAUM $1.3B, up 52% from $866.2M (2022-10-21 to 2023-03-31)
Mar 31, 2023 · RAUM change · derived
G•••• T••••• S•••• (Chief Financial Officer) appeared on Schedule A of C•••••• C•••••• M••••••••• L••
Oct 21, 2022 · Control person joined · fact
M••• G•••• B•••••• (Chief Compliance Officer) appeared on Schedule A of C•••••• C•••••• M••••••••• L••
Jan 3, 2022 · Control person joined · fact
C•••••• C•••••• M••••••••• L•• reported RAUM $649.5M, up 99% from $326.9M (2021-01-28 to 2021-03-31)
Mar 31, 2021 · 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.

How to reach

public business contact points only, each with its source

Firm profile: linkedin.com/company/context-capital-management-llcreportedpublic record, Form ADV, Sep 18, 2026
Website: C••••••FUNDS.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 203-962-2727reportedpublic record, Form ADV, Aug 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: Asset manager (funds and pooled vehicles)deriveda 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