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•••••••• A••••••••• I••••••••• L••
Latest filing Jun 17, 2026
First filing on the tape Apr 2, 2012 · 44 filings
SEC status approved since Mar 11, 2002
RAUM
$127M
reported, Item 5.F
Discretionary
100%
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
15
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$127M as of Jun 17, 2026
Apr 2, 2012$18B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 17, 2026
Mar 28, 20130 then
Employees (5.A)15 as of Jun 17, 2026
Mar 28, 201349 then
Private funds7 as of Jun 17, 2026
Apr 2, 201257 then
RAUM -36% over the last fiscal year-28% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 17, 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
- $9.8MderivedRAUM 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
- -36%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
- $127M, 13 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
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$123M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 13reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $127M for 13 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.97 institutional_share=0.0 related_bd=true related_bank=true bd_reps=3.0derived
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
39 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•••••••• C•••••• P••••••• •• I•• L•••no longer reported | Private Equity Fund | $1.5B | 2 | Mar 28, 2013 |
| M•••••••• C•••••• P••••••• I•• L•••no longer reported | Private Equity Fund | $277M | 16 | Apr 2, 2012 |
| C•••••••• V•••••• C•••••• I••••••••• G••••• P••••••••• ••••••••• I•• L•••no longer reported | Private Equity Fund | $202M | 8 | Mar 12, 2018 |
| M•••••••• C•••••• P••••••• I• C••••••••• L•••no longer reported | Hedge Fund | $201M | 18 | Apr 2, 2012 |
| M•••••••• C•••••• P••••••• T• I•• L•••no longer reported | Private Equity Fund | $197M | 15 | Apr 2, 2012 |
| C••••• I• C••••••••• L•••no longer reported | Private Equity Fund | $180M | 72 | Apr 2, 2012 |
| M•••••••• C•••••• P••••••• C••••• I•• L•••no longer reported | Private Equity Fund | $179M | 13 | Apr 2, 2012 |
| A••• E••••••••• I•• O••••••• L••• | Private Equity Fund | $94.1M | 88 | Apr 2, 2012 |
| M•• I• ••• A••• L•••no longer reported | Private Equity Fund | $65.6M | 12 | Apr 2, 2012 |
| T•• C•••••• O••••••• M•••••• L•••no longer reported | Hedge Fund | $61.9M | 7 | Apr 2, 2012 |
| M•• I• ••••••• A••• L•••no longer reported | Private Equity Fund | $53.6M | 5 | Apr 2, 2012 |
| A••• E••••••••• I•• O•••••• L••• | Private Equity Fund | $49.5M | 220 | Apr 2, 2012 |
| T•• C•••••• L•no longer reported | Hedge Fund | $45.6M | 5 | Apr 2, 2012 |
| M•••••••• C•••••• P••••••• I• E•••••••• F•••• L•••no longer reported | Private Equity Fund | $42.2M | 54 | Apr 2, 2012 |
| I•••• I••••••••• O••••••••• L••• | Private Equity Fund | $33.6M | 11 | Mar 31, 2014 |
| C•• E•••• L••• M••••• F•••no longer reported | Hedge Fund | $32.1M | 1 | Apr 2, 2012 |
| C•••••••• V•••••• C•••••• I••••••••• ••••••••• L•••no longer reported | Private Equity Fund | $31.9M | 55 | Apr 2, 2012 |
| C••••• I• T•••• L•••no longer reported | Private Equity Fund | $31.5M | 2,894 | Apr 2, 2012 |
| M•••••••• N•• H••••••• L••no longer reported | Private Equity Fund | $19.6M | 2 | Apr 2, 2012 |
| C•••••••• C•••••• P••••••• I• E••••••• M••••• F•••• L•••no longer reported | Private Equity Fund | $18.5M | 5 | Mar 27, 2019 |
| C••••••••• ••••••••• C••••• L•••no longer reported | Private Equity Fund | $15.2M | 7 | Apr 2, 2012 |
| P•••••••• S••••••••• T•• L•••no longer reported | Hedge Fund | $13.6M | 3 | Apr 2, 2012 |
| M•• I• ••••••••• L•••no longer reported | Private Equity Fund | $10.0M | 13 | Apr 2, 2012 |
| M•• T• I• ••••••••• L•••no longer reported | Private Equity Fund | $9.7M | 15 | Apr 2, 2012 |
| H••••••• G••••• L••no longer reported | Private Equity Fund | $9.7M | 716 | Apr 2, 2012 |
| R••• E••••• P••••••• F•• I• ••••••••• L••• | R••• E••••• Fund | $8.2M | 22 | Apr 2, 2012 |
| R••• E••••• P••••••• F•• I•• L••• | R••• E••••• Fund | $7.9M | 141 | Apr 2, 2012 |
| E••• S•••••• P•••••• V••••••no longer reported | Other Private Fund | $7.7M | 15 | Apr 2, 2012 |
| O•• L••• C••••• M••••• F•••• L•••no longer reported | Hedge Fund | $6.6M | 60 | Apr 2, 2012 |
| R••• E••••• P••••••• F•• L•• | R••• E••••• Fund | $5.3M | 193 | Apr 2, 2012 |
| O•• L••• U••• M••••• F•••• L•••no longer reported | Hedge Fund | $2.5M | 45 | Apr 2, 2012 |
| T•• C•••••• M•••••••• P•••••••••no longer reported | Hedge Fund | $2.5M | 3 | Apr 2, 2012 |
| R••• E••••• P••••••• F•• I••••••••• L•• | R••• E••••• Fund | $1.7M | 7 | Apr 2, 2012 |
| O•• L••• H•• M••••• F•••• L•••no longer reported | Hedge Fund | $1.7M | 2 | Apr 2, 2012 |
| C••••••••• ••••••••• L•• | Private Equity Fund | $124,170 | 6 | Apr 2, 2012 |
| C••••••••• L•• X••• •••••• M••••••no longer reported | Private Equity Fund | $0 | 5 | Apr 2, 2012 |
| C••••••••• L•• X• ••••••no longer reported | Private Equity Fund | $0 | 5 | Apr 2, 2012 |
| C•• C••••••••• •••••• G••••••• L••no longer reported | Private Equity Fund | $0 | 3 | Apr 2, 2012 |
| C•• C••••••••• •••••• G••••••• C••••• L•••no longer reported | Private Equity Fund | $0 | 4 | Apr 2, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• C•••• · G•••••• Counselcontrolsince 02/2010 · owns less than 5%
- S••••••••• S••••• P•••• · Chief Compliance Officercontrolsince 10/2011 · owns less than 5%
Entity owners
- C•••••••• I••••••••• I••• · Ownerdirect · owns 75% or more
- C•••••••• I••• · Parentindirect · owns 75% or more of C•••••••• I••••••••• I••• · public reporting company
Related persons
Schedule D 7.A
- C•••••••• N•••custodiann
- C•••••••• G••••• M•••••• I•••broker-dealerinvestment advisertrust companyCPO or CTAcustodiannRAUM $56B
- C•••••••• G••••• M•••••• O••n
- G••• I••••••••• I••••••••• L••pooled vehicle sponsory
Advisers that list C•••••••• A••••••••• I••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY3 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $200,228,686 to $127,429,182 (-36.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +4.0% (1148 comparable advisers, 7.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 6.8% percentile
What changed
consecutive filings, newest first
- Accounts · 14 to 13Jun 25, 2025 to Mar 31, 2026
- adv e•••••••s · 6 to 5Jun 25, 2025 to Mar 31, 2026
- bd rep e•••••••s · 4 to 3Jun 25, 2025 to Mar 31, 2026
- Assets in custody · $194M to $127MJun 25, 2025 to Mar 31, 2026
- Discretionary RAUM · $200M to $127MJun 25, 2025 to Mar 31, 2026
- raum pooled v••••••s · $194M to $123MJun 25, 2025 to Mar 31, 2026
- RAUM · $200M to $127MJun 25, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 28, 2025 to Jun 25, 2025
- Accounts · 16 to 14Mar 27, 2024 to Mar 28, 2025
- adv e•••••••s · 7 to 6Mar 27, 2024 to Mar 28, 2025
- clients pooled v••••••s · 9 to 7Mar 27, 2024 to Mar 28, 2025
- Assets in custody · $249M to $194MMar 27, 2024 to Mar 28, 2025
- Other offices · 1 to 0Mar 27, 2024 to Mar 28, 2025
- Private funds · 8 to 7Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $312M to $200MMar 27, 2024 to Mar 28, 2025
- raum pooled v••••••s · $200M to $194MMar 27, 2024 to Mar 28, 2025
- RAUM · $312M to $200MMar 27, 2024 to Mar 28, 2025
- Assets in custody · $255M to $249MOct 11, 2023 to Mar 27, 2024
- Discretionary RAUM · $339M to $312MOct 11, 2023 to Mar 27, 2024
- raum pooled v••••••s · $205M to $200MOct 11, 2023 to Mar 27, 2024
- RAUM · $339M to $312MOct 11, 2023 to Mar 27, 2024
- Discretionary RAUM · $338M to $339MMar 13, 2023 to Jul 14, 2023
- raum pooled v••••••s · $204M to $205MMar 13, 2023 to Jul 14, 2023
- RAUM · $338M to $339MMar 13, 2023 to Jul 14, 2023
- Accounts · 21 to 16Nov 21, 2022 to Mar 13, 2023
- Assets in custody · $315M to $255MNov 21, 2022 to Mar 13, 2023
- Discretionary RAUM · $451M to $338MNov 21, 2022 to Mar 13, 2023
- raum pooled v••••••s · $228M to $204MNov 21, 2022 to Mar 13, 2023
- RAUM · $451M to $338MNov 21, 2022 to Mar 13, 2023
- adv e•••••••s · 6 to 7Jan 2, 2022 to Mar 29, 2022
- clients pooled v••••••s · 21 to 9Jan 2, 2022 to Mar 29, 2022
- Assets in custody · $318M to $315MJan 2, 2022 to Mar 29, 2022
- e•••••••s · 16 to 15Jan 2, 2022 to Mar 29, 2022
- Private funds · 11 to 8Jan 2, 2022 to Mar 29, 2022
- Discretionary RAUM · $432M to $451MJan 2, 2022 to Mar 29, 2022
- raum pooled v••••••s · $432M to $228MJan 2, 2022 to Mar 29, 2022
- RAUM · $432M to $451MJan 2, 2022 to Mar 29, 2022
- Assets in custody · $386M to $318MJul 8, 2020 to Mar 26, 2021
- e•••••••s · 17 to 16Jul 8, 2020 to Mar 26, 2021
- Discretionary RAUM · $513M to $432MJul 8, 2020 to Mar 26, 2021
Signals
4 dated events
- C•••••••• A••••••••• I••••••••• L•• reported RAUM $200.2M, down 36% from $312.0M (2024-03-27 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- C•••••••• A••••••••• I••••••••• L•• reported RAUM $337.9M, down 25% from $451.0M (2022-11-21 to 2023-03-13)Mar 13, 2023 · RAUM change · derived
- C•••••••• A••••••••• I••••••••• L•• reported RAUM $512.5M, down 40% from $848.1M (2019-10-21 to 2020-03-06)Mar 6, 2020 · RAUM change · derived
- C•••••••• A••••••••• I••••••••• L•• reported RAUM $848.1M, down 27% from $1.2B (2018-03-20 to 2019-03-27)Mar 27, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- C•••••••• A••••••••• I••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- C•••••••• A••••••••• I••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-816-4350reportedpublic record, Form ADV, Jun 17, 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
Across the graphs
C•••••••• A••••••••• I••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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