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 4, 2026
First filing on the tape Feb 15, 2012 · 30 filings
SEC status approved since Feb 20, 2004
RAUM
$122M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$109M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$60.8M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$122M as of Mar 4, 2026
Feb 15, 2012$68.0M then
HNW client RAUM$68.3M as of Mar 4, 2026
Mar 6, 2018$68.0M then
State-registered IARs (5.B.3)2 as of Mar 4, 2026
Feb 15, 20120 then
Employees (5.A)4 as of Mar 4, 2026
Feb 27, 20134 then
Private funds: no history
RAUM +19% over the last fiscal year+5.5% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 4, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $60.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 93derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $326,199derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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$68.3M56%
- Individuals$40.9M34%
- Charitable organizations$9.5M7.8%
- Corporations and businesses$2.9M2.4%
- Individual clients
- 146reported
- HNW clients
- 39reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 373reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••••• L••••• H••••• | Sheridan, Wy | Nov 4, 2013 | 15 y | 0 |
| M•••••• M••••••• E••••• | Sheridan, Wy | May 19, 2015 | 19 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- M•••••• M••••••• E••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 19, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E•••••• M••••••• M••••••• · Managing Membercontrolsince 01/2010 · owns 75% or more
- E•••••• D•••••• N••• · Chief Compliance Officersince 01/2024 · owns less than 5%
- H•••••• K••••••• L••••• · Advisorsince 02/2012 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Sheridan, Wy · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 366 to 373Nov 12, 2025 to Mar 4, 2026
- Charity clients · 9 to 6Nov 12, 2025 to Mar 4, 2026
- Corporate clients · 7 to 5Nov 12, 2025 to Mar 4, 2026
- HNW clients · 25 to 39Nov 12, 2025 to Mar 4, 2026
- Individual clients · 152 to 146Nov 12, 2025 to Mar 4, 2026
- Discretionary RAUM · $102M to $122MNov 12, 2025 to Mar 4, 2026
- HNW RAUM · $58.1M to $68.3MNov 12, 2025 to Mar 4, 2026
- Individual RAUM · $30.8M to $40.9MNov 12, 2025 to Mar 4, 2026
- RAUM · $102M to $122MNov 12, 2025 to Mar 4, 2026
- Financial planning clients · 0 to 0Apr 7, 2025 to Nov 12, 2025
- Accounts · 364 to 366Aug 14, 2024 to Feb 6, 2025
- Corporate clients · 5 to 7Aug 14, 2024 to Feb 6, 2025
- HNW clients · 26 to 25Aug 14, 2024 to Feb 6, 2025
- Individual clients · 151 to 152Aug 14, 2024 to Feb 6, 2025
- Discretionary RAUM · $108M to $102MAug 14, 2024 to Feb 6, 2025
- HNW RAUM · $60.6M to $58.1MAug 14, 2024 to Feb 6, 2025
- Individual RAUM · $32.4M to $30.8MAug 14, 2024 to Feb 6, 2025
- RAUM · $108M to $102MAug 14, 2024 to Feb 6, 2025
- Accounts · 291 to 364Feb 14, 2023 to Feb 2, 2024
- Charity clients · 5 to 9Feb 14, 2023 to Feb 2, 2024
- Corporate clients · 4 to 5Feb 14, 2023 to Feb 2, 2024
- HNW clients · 37 to 26Feb 14, 2023 to Feb 2, 2024
- Individual clients · 142 to 151Feb 14, 2023 to Feb 2, 2024
- Financial planning clients · 1-10 to 0Feb 14, 2023 to Feb 2, 2024
- Discretionary RAUM · $103M to $108MFeb 14, 2023 to Feb 2, 2024
- HNW RAUM · $66.9M to $60.6MFeb 14, 2023 to Feb 2, 2024
- Individual RAUM · $22.8M to $32.4MFeb 14, 2023 to Feb 2, 2024
- RAUM · $103M to $108MFeb 14, 2023 to Feb 2, 2024
- Accounts · 397 to 291Feb 11, 2022 to Feb 14, 2023
- Advisory employees · 3 to 2Feb 11, 2022 to Feb 14, 2023
- Corporate clients · 6 to 4Feb 11, 2022 to Feb 14, 2023
- HNW clients · 31 to 37Feb 11, 2022 to Feb 14, 2023
- Individual clients · 155 to 142Feb 11, 2022 to Feb 14, 2023
- Discretionary RAUM · $140M to $103MFeb 11, 2022 to Feb 14, 2023
- HNW RAUM · $83.4M to $66.9MFeb 11, 2022 to Feb 14, 2023
- Individual RAUM · $34.9M to $22.8MFeb 11, 2022 to Feb 14, 2023
- Pension RAUM · 1652118.0 to unsetFeb 11, 2022 to Feb 14, 2023
- RAUM · $140M to $103MFeb 11, 2022 to Feb 14, 2023
- Accounts · 383 to 397Feb 22, 2021 to Feb 11, 2022
- Corporate clients · 4 to 6Feb 22, 2021 to Feb 11, 2022
Signals
1 dated events
- Bernard William Ebzery (Managing Member) no longer on Schedule A of C•••••• C•••••• M••••••••• L•• (listed 2019-06-06, absent 2020-03-02)Mar 2, 2020 · 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
- Business phone
- 307-674-1772reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 213-200-5078reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 307-674-1770reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- C••••••CAPITALMANAGEMENT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 307-674-1770reportedpublic record, Form ADV, Mar 4, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $60.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026