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••
Latest filing Mar 28, 2026
First filing on the tape Mar 13, 2012 · 39 filings
SEC status approved since Sep 26, 2003
RAUM
$4.2B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
0.0%
$152,843 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
20
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$4.2B as of Mar 28, 2026
Mar 13, 2012$911M then
HNW client RAUM$152,843 as of Mar 28, 2026
Mar 27, 2019$207,970 then
State-registered IARs (5.B.3)0 as of Mar 28, 2026
Mar 13, 20120 then
Employees (5.A)20 as of Mar 28, 2026
Mar 1, 201311 then
Private funds1 as of Mar 18, 2025
Mar 27, 20191 then
RAUM +8.8% over the last fiscal year+9.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 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
- $50,948derivedHNW RAUM over HNW clients
- Average account
- $54.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 81%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.8%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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$3.1B72%
- Other investment advisers$398M9.4%
- Corporations and businesses$256M6.0%
- Charitable organizations$194M4.6%
- Pension and profit-sharing plans$184M4.3%
- Investment companies$127M3.0%
- Pooled investment vehicles$15.9M0.4%
- Insurance companies$11.5M0.3%
- High-net-worth individuals$152,8430.0%
- Individual clients
- n/areported
- HNW clients
- 3reported
- Pension plan clients
- 2reported
- Charitable clients
- 13reported
- Accounts
- 78reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $28.8M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.13 institutional_share=0.81 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• A• • S••• C•• I•••••••• V•••• F••• • A• S••••• O• C••••••• I••••••• S••••• F•••• L•• | Other Private Fund | $20.3M | 1 | Mar 27, 2019 |
Owners and control persons
Schedule A and B, latest filing
- H•••••••• R•••••• B•••••• · Founder-Partner, Co-Chief Executive Officer, Chief Business Development & Strategy Officer, & LLC-Membercontrolsince 08/2003 · owns 25% to 50%
- M•••••• W••••••• E••• · Founder-Partner, Co-Chief Executive Officer, Chief Investment Officer, Portfolio Manager, & LLC-Membercontrolsince 01/2004 · owns 25% to 50%
- F••••••• C••••• · Chief Compliance Officersince 09/2021 · owns less than 5%
Related persons
Schedule D 7.A
- C••••••• G••••• A•••••••• L••investment adviseryRAUM $1.1B
Advisers that list C••••••• C•••••• M••••••••• L•• as a related person
- 290893 y
Offices
Schedule D 1.F, the 25 largest
- Atlanta, GA1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 28, 2026advises private funds (Item 7.B): yes on the filing of 2025-03-18, no on the filing of 2026-03-28peers: institutional managers, $1B to $5B (121)
- compensation changedChange between filings · filing Mar 28, 2026performance-based compensation (Item 5.E.6): no on the filing of 2025-03-18, yes on the filing of 2026-03-28peers: institutional managers, $1B to $5B (121)
What changed
consecutive filings, newest first
- Accounts · 88 to 78Mar 18, 2025 to Mar 28, 2026
- Charity clients · 11 to 13Mar 18, 2025 to Mar 28, 2026
- Corporate clients · unset to 6.0Mar 18, 2025 to Mar 28, 2026
- HNW clients · 6 to 3Mar 18, 2025 to Mar 28, 2026
- Pension plan clients · 8 to 2Mar 18, 2025 to Mar 28, 2026
- Pooled vehicle clients · 2 to 1Mar 18, 2025 to Mar 28, 2026
- Private funds · 1 to unsetMar 18, 2025 to Mar 28, 2026
- Discretionary RAUM · $3.9B to $4.2BMar 18, 2025 to Mar 28, 2026
- HNW RAUM · $634,513 to $152,843Mar 18, 2025 to Mar 28, 2026
- Non-discretionary RAUM · $20.2M to $28.8MMar 18, 2025 to Mar 28, 2026
- Pension RAUM · $449M to $184MMar 18, 2025 to Mar 28, 2026
- Pooled vehicle RAUM · $30.5M to $15.9MMar 18, 2025 to Mar 28, 2026
- RAUM · $3.9B to $4.2BMar 18, 2025 to Mar 28, 2026
- Wrap assets (manager) · $20.2M to $28.8MMar 18, 2025 to Mar 28, 2026
- Accounts · 86 to 88Jan 2, 2025 to Mar 18, 2025
- Charity clients · 14 to 11Jan 2, 2025 to Mar 18, 2025
- Corporate clients · 2.0 to unsetJan 2, 2025 to Mar 18, 2025
- HNW clients · 5 to 6Jan 2, 2025 to Mar 18, 2025
- Pension plan clients · 7 to 8Jan 2, 2025 to Mar 18, 2025
- Assets in custody · 20306078.0 to unsetJan 2, 2025 to Mar 18, 2025
- Custody of client assets · true to falseJan 2, 2025 to Mar 18, 2025
- Employees · 19 to 20Jan 2, 2025 to Mar 18, 2025
- Financial planning clients · unset to Jan 2, 2025 to Mar 18, 2025
- Discretionary RAUM · $3.5B to $3.9BJan 2, 2025 to Mar 18, 2025
- HNW RAUM · $586,707 to $634,513Jan 2, 2025 to Mar 18, 2025
- Non-discretionary RAUM · $18.1M to $20.2MJan 2, 2025 to Mar 18, 2025
- Pension RAUM · $302M to $449MJan 2, 2025 to Mar 18, 2025
- Pooled vehicle RAUM · $24.0M to $30.5MJan 2, 2025 to Mar 18, 2025
- RAUM · $3.5B to $3.9BJan 2, 2025 to Mar 18, 2025
- Wrap assets (manager) · $16.2M to $20.2MJan 2, 2025 to Mar 18, 2025
- Assets in custody · $17.3M to $20.3MSep 28, 2023 to Mar 19, 2024
- Employees · 18 to 19Sep 28, 2023 to Mar 19, 2024
- Discretionary RAUM · $3.2B to $3.5BSep 28, 2023 to Mar 19, 2024
- HNW RAUM · $2.9M to $586,707Sep 28, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $10.6M to $18.1MSep 28, 2023 to Mar 19, 2024
- Pension RAUM · $252M to $302MSep 28, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · $20.3M to $24.0MSep 28, 2023 to Mar 19, 2024
- RAUM · $3.2B to $3.5BSep 28, 2023 to Mar 19, 2024
- Wrap assets (manager) · $11.6M to $16.2MSep 28, 2023 to Mar 19, 2024
- Accounts · 76 to 86Sep 28, 2023 to Mar 19, 2024
Signals
5 dated events
- P Daniel Harley (Chief Compliance Officer) no longer on Schedule A of C••••••• C•••••• M••••••••• L•• (listed 2021-06-29, absent 2021-09-15)Sep 15, 2021 · Control person left · inference
- C••••••• C•••••• M••••••••• L•• reported RAUM $2.9B, up 88% from $1.6B (2020-07-14 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- C••••••• C•••••• M••••••••• L•• reported RAUM $1.6B, down 34% from $2.3B (2020-01-06 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Gregory Sidney Wigfall (Chief Legal & Governance Officer & Corporate-Compliance Counsel) no longer on Schedule A of C••••••• C•••••• M••••••••• L•• (listed 2020-01-06, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Taylor Eric Mckissack (Founder, Portfolio Manager) no longer on Schedule A of C••••••• C•••••• M••••••••• L•• (listed 2018-03-09, absent 2019-03-27)Mar 27, 2019 · Control person left · inference
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
- Website
- C•••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-223-0211reportedpublic record, Form ADV, Mar 28, 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
- Institutional 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