DFX Intelligence
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SEC-registered adviser
C•••••• C•••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 25 filings
SEC status approved since Dec 14, 2001
RAUM
$222M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$222M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$222M as of Mar 31, 2026
Mar 30, 2012$2.4B then
HNW client RAUM$138M as of Mar 31, 2026
Mar 29, 2018$78.4M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)4 as of Mar 31, 2026
Apr 1, 201320 then
Private funds1 as of Mar 29, 2016
Mar 30, 20123 then
RAUM +67% over the last fiscal year+32% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $11.5MderivedHNW RAUM over HNW clients
- Average account
- $2.6MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +67%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +248%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- 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
- High-net-worth individuals$138M62%
- Individuals$83.8M38%
- Individual clients
- 75reported
- HNW clients
- 12reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 87reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•• G••••• V••••• F•••• L•••no longer reported | Hedge Fund | $41.1M | 37 | Mar 30, 2012 |
| M••• C•••••• P••••••• O••••••• F••• L•••no longer reported | Hedge Fund | $4.0M | 4 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• W••••••• R••••• · Managing Directorcontrolsince 02/2017 · owns 10% to 25%
- B•••• P••••• R• · Managing Directorcontrolsince 02/2017 · owns 10% to 25%
- Q•••••••• T••••••• E• · Managing Directorcontrolsince 02/2017 · owns 10% to 25%
- R•••• T•••• J••••• · Ccocontrolsince 07/2018 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 98.0% to 62.0% between the annual amendments of 2025-04-01 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,679)
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $132,809,972 to $222,159,862 (+67.0%) between the annual amendments of 2025-04-01 and 2026-03-31; the peer median change was +15.0% (4548 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,548) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 24 to 87Apr 1, 2025 to Mar 31, 2026
- HNW clients · 21 to 12Apr 1, 2025 to Mar 31, 2026
- Individual clients · 4 to 75Apr 1, 2025 to Mar 31, 2026
- Discretionary RAUM · $133M to $222MApr 1, 2025 to Mar 31, 2026
- HNW RAUM · $131M to $138MApr 1, 2025 to Mar 31, 2026
- Individual RAUM · $2.1M to $83.8MApr 1, 2025 to Mar 31, 2026
- RAUM · $133M to $222MApr 1, 2025 to Mar 31, 2026
- Accounts · 21 to 24Mar 29, 2024 to Apr 1, 2025
- HNW clients · 0 to 21Mar 29, 2024 to Apr 1, 2025
- Individual clients · 21 to 4Mar 29, 2024 to Apr 1, 2025
- Financial planning clients · 0 to 0Mar 29, 2024 to Apr 1, 2025
- Discretionary RAUM · $102M to $133MMar 29, 2024 to Apr 1, 2025
- HNW RAUM · unset to 130735376.0Mar 29, 2024 to Apr 1, 2025
- Individual RAUM · $102M to $2.1MMar 29, 2024 to Apr 1, 2025
- RAUM · $102M to $133MMar 29, 2024 to Apr 1, 2025
- Accounts · 17 to 21Mar 31, 2023 to Mar 29, 2024
- HNW clients · 12 to 0Mar 31, 2023 to Mar 29, 2024
- Individual clients · 5 to 21Mar 31, 2023 to Mar 29, 2024
- Employees · 5 to 4Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $96.1M to $102MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · 91746255.0 to unsetMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $4.3M to $102MMar 31, 2023 to Mar 29, 2024
- RAUM · $96.1M to $102MMar 31, 2023 to Mar 29, 2024
- Accounts · 13 to 17May 2, 2022 to Mar 31, 2023
- Charity clients · unset to 0.0May 2, 2022 to Mar 31, 2023
- HNW clients · 10 to 12May 2, 2022 to Mar 31, 2023
- Individual clients · unset to 5.0May 2, 2022 to Mar 31, 2023
- Discretionary RAUM · $90.1M to $96.1MMay 2, 2022 to Mar 31, 2023
- HNW RAUM · $39.0M to $91.7MMay 2, 2022 to Mar 31, 2023
- Individual RAUM · unset to 4343584.0May 2, 2022 to Mar 31, 2023
- RAUM · $90.1M to $96.1MMay 2, 2022 to Mar 31, 2023
- Accounts · 9 to 13Apr 1, 2021 to Mar 31, 2022
- HNW clients · 8 to 10Apr 1, 2021 to Mar 31, 2022
- Discretionary RAUM · $58.4M to $90.1MApr 1, 2021 to Mar 31, 2022
- HNW RAUM · $39.3M to $39.0MApr 1, 2021 to Mar 31, 2022
- RAUM · $58.4M to $90.1MApr 1, 2021 to Mar 31, 2022
- Accounts · 20 to 9Jul 1, 2020 to Apr 1, 2021
- HNW clients · 11 to 8Jul 1, 2020 to Apr 1, 2021
- Individual clients · 8.0 to unsetJul 1, 2020 to Apr 1, 2021
- Discretionary RAUM · $96.2M to $58.4MJul 1, 2020 to Apr 1, 2021
Signals
1 dated events
- ••• LockedJan 16, 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.
How to reach
public business contact points only, each with its source
- Business email
- c•••••••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 617-897-5800reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/C••••••-CAPITALreportedpublic record, Form ADV, Mar 31, 2026
- Website
- C••••••CAPITAL.COMreportedpublic record, Form ADV, Mar 31, 2026
- Principal office phone
- 617-897-5800reportedpublic record, Form ADV, Mar 31, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026