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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Former SEC-registered adviser
C• I•• C•••••• M••••••••• L••
Latest filing Mar 31, 2021
First filing on the tape May 29, 2013 · 14 filings
RAUM
$1.9B
reported, Item 5.F
Discretionary
0.5%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$9.0M gross assets
History
14 filings and snapshots on the tape
RAUM$1.9B as of Mar 31, 2021
Mar 31, 2014$402M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2021
Mar 31, 20141 then
Employees (5.A)4 as of Mar 31, 2021
Mar 31, 20142 then
Private funds2 as of Mar 31, 2021
Mar 31, 20143 then
RAUM +6.9% over the last fiscal year+28% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2021; every figure names its basis
- RAUM per advisor
- $1.9BderivedRAUM 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
- $319MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.5%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.9%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
- fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $9.0M, 2 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.9B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $9.0M for 2 clientsreported
- Compensation
- fixed, performancereported
- 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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••••• I••••••••• P••••••• I• L••• | Private Equity Fund | $7.1M | 7 | Mar 31, 2014 |
| L••• F•••• L•••no longer reported | Hedge Fund | $2.2M | 4 | Mar 29, 2012 |
| B••••••• I••••••••• P••••••• I•• L••• | Private Equity Fund | $1.9M | 4 | Mar 31, 2014 |
Owners and control persons
Schedule A and B, latest filing
- R••••••••• C•••••• J•••• · Managing Member And Owner, C III Capital Management LLCcontrolsince 08/2000 · owns 75% or more
- A•••••• M••••• T•••••• · Chief Compliance Officersince 05/2013 · owns less than 5%
- R••••••••• B•••••• T•••••• · Owner, C• I•• C•••••• M••••••••• L••since 08/2000 · owns 10% to 25%
Related persons
Schedule D 7.A
- L••• H•••••••• I• S•••••• P••••••••• G•• L•••pooled vehicle sponsorn
- L••• H•••••••• I••••••••• I• G•• L•••pooled vehicle sponsorn
- L••• H•••••••• I••••••••• I• G•• L•••pooled vehicle sponsorn
- L••• H•••••••• I••••••••• I•• G•• L•••pooled vehicle sponsorn
- Q•• M••••••••• C•• G•• L••investment adviserpooled vehicle sponsornRAUM $189M
Advisers that list C• I•• C•••••• M••••••••• L•• as a related person
- 160812 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $7.4M to $9.0MMar 31, 2020 to Mar 31, 2021
- Discretionary RAUM · $7.4M to $9.0MMar 31, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $1.8B to $1.9BMar 31, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $1.8B to $1.9BMar 31, 2020 to Mar 31, 2021
- RAUM · $1.8B to $1.9BMar 31, 2020 to Mar 31, 2021
- Assets in custody · $6.7M to $7.4MMar 29, 2019 to Mar 30, 2020
- Employees · 3 to 4Mar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $6.7M to $7.4MMar 29, 2019 to Mar 30, 2020
- Non-discretionary RAUM · $1.1B to $1.8BMar 29, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $1.1B to $1.8BMar 29, 2019 to Mar 30, 2020
- RAUM · $1.1B to $1.8BMar 29, 2019 to Mar 30, 2020
- Accounts · 5 to 6Mar 29, 2018 to Mar 29, 2019
- Pooled vehicle clients · 5 to 6Mar 29, 2018 to Mar 29, 2019
- Assets in custody · $12.8M to $6.7MMar 29, 2018 to Mar 29, 2019
- Discretionary RAUM · $12.8M to $6.7MMar 29, 2018 to Mar 29, 2019
- Non-discretionary RAUM · $909M to $1.1BMar 29, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $922M to $1.1BMar 29, 2018 to Mar 29, 2019
- RAUM · $922M to $1.1BMar 29, 2018 to Mar 29, 2019
- Accounts · 4 to 5Mar 31, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 5.0Mar 31, 2017 to Mar 29, 2018
- Assets in custody · $14.9M to $12.8MMar 31, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Mar 31, 2017 to Mar 29, 2018
- Discretionary RAUM · $14.9M to $12.8MMar 31, 2017 to Mar 29, 2018
- Non-discretionary RAUM · $796M to $909MMar 31, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 922142631.0Mar 31, 2017 to Mar 29, 2018
- RAUM · $811M to $922MMar 31, 2017 to Mar 29, 2018
- Accounts · 5 to 4Mar 31, 2016 to Mar 31, 2017
- Assets in custody · $13.0M to $14.9MMar 31, 2016 to Mar 31, 2017
- Employees · 4 to 3Mar 31, 2016 to Mar 31, 2017
- Private funds · 3 to 2Mar 31, 2016 to Mar 31, 2017
- Discretionary RAUM · $804M to $14.9MMar 31, 2016 to Mar 31, 2017
- Non-discretionary RAUM · $0 to $796MMar 31, 2016 to Mar 31, 2017
- RAUM · $804M to $811MMar 31, 2016 to Mar 31, 2017
- Accounts · 6 to 5Mar 31, 2015 to Mar 31, 2016
- Assets in custody · $12.5M to $13.0MMar 31, 2015 to Mar 31, 2016
- Employees · 3 to 4Mar 31, 2015 to Mar 31, 2016
- Discretionary RAUM · $899M to $804MMar 31, 2015 to Mar 31, 2016
- RAUM · $899M to $804MMar 31, 2015 to Mar 31, 2016
- Accounts · 4 to 6Sep 19, 2014 to Mar 31, 2015
- Assets in custody · $11.6M to $12.5MSep 19, 2014 to Mar 31, 2015
Signals
2 dated events
- C• I•• C•••••• M••••••••• L•• reported RAUM $1.8B, up 66% from $1.1B (2019-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- C• I•• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 29, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C• I•• C•••••• M••••••••• L•• · Private Equityshared crd · organization
- C• I•• C•••••• M••••••••• L•• · Venture Capitalshared crd · organization
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