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••••••••• •••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2012 · 40 filings
SEC status approved since Jan 3, 2005
RAUM
$4.6B
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
25
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$4.6B as of Mar 30, 2026
Mar 30, 2012$12B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 30, 20120 then
Employees (5.A)25 as of Mar 30, 2026
Mar 27, 2013169 then
Private funds6 as of Mar 28, 2024
Mar 30, 20128 then
RAUM +23% over the last fiscal year-41% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- 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
- $514MderivedRAUM 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
- +23%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$4.6B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
14 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C• G••••• A•••••••• L•••••• | Hedge Fund | $6.8B | 13 | Mar 31, 2017 |
| C• M•••• L•••••• | Hedge Fund | $6.6B | 146 | Mar 29, 2018 |
| C••••• I••••••••• L•••••• | Hedge Fund | $5.2B | 218 | Mar 30, 2012 |
| C• D•••••• L•••••• | Hedge Fund | $4.9B | 57 | Mar 31, 2017 |
| C• C•••••• L•••••• | Hedge Fund | $1.7B | 4 | Mar 31, 2017 |
| C• I••••••• L•••••• | Hedge Fund | $465M | 2 | May 23, 2023 |
| C••••• S••••• I••••••••• L••no longer reported | Hedge Fund | $80.5M | 83 | Mar 30, 2012 |
| C••• ••••• R••••• L••no longer reported | Private Equity Fund | $61.9M | 28 | Mar 30, 2012 |
| C• H••••• L••••••no longer reported | Other Private Fund | $17.7M | 375 | Mar 31, 2017 |
| C•••• L••no longer reported | Private Equity Fund | $7.5M | 18 | Mar 30, 2012 |
| C•••• L••no longer reported | Private Equity Fund | $2.2M | 16 | Mar 30, 2012 |
| C••• ••••••••• L••no longer reported | Private Equity Fund | $714,359 | 5 | Mar 30, 2012 |
| C••••• L••no longer reported | Private Equity Fund | $438,853 | 8 | Mar 30, 2012 |
| C••••• H•••••••no longer reported | Private Equity Fund | $0 | 0 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- L••• A•••••• E••• · Chairman, Chief Executive Officer And L•••••• Partnercontrolsince 01/2009 · owns 50% to 75%
- N•••••••• C•••••••• L••••••• · Chief Financial Officercontrolsince 03/2021 · owns less than 5%
- O•••• B•••••••• S•••••• · Chief Compliance Officercontrolsince 05/2023 · owns less than 5%
- U••••••••• A••••••••• M•••••• · General Counselcontrolsince 02/2022 · owns less than 5%
- W•••• M••••••• D••••• · Chief Operating Officer, Chief Risk Officer And L•••••• Partnercontrolsince 07/2014 · owns 5% to 10%
- A••••• K••••••• A•••••••• · Managercontrolsince 09/2022 · owns F of C••••••••• H••••••• •••• L••
- F•••••• K••••• L•••• · Managercontrolsince 07/2023 · owns F of C••• H••••••• S••••• L••
- G•••••• J••••• N••• · Managercontrolsince 07/2022 · owns F of C••• H••••••• S••••• L••
- H•••••• T•••• · Managercontrolsince 01/2023 · owns F of C••• H••••••• S••••• L••
- K•••••• B••••• S•••••• · Sole Shareholdercontrolsince 02/1983 · owns 75% or more of C••••• C•••••••••
- L••• A•••••• E••• · Sole Shareholdercontrolsince 11/2011 · owns 75% or more of C••••••••• H••••••• L••••••
- L••• A•••••• E••• · Managercontrolsince 04/2012 · owns F of C••••••••• H••••••• •••• L••
- L•••••• D•••••• E• · Managercontrolsince 07/2020 · owns F of C••••••••• H••••••• •••• L••
- M•••••••• A••••••• F•••••• · Managercontrolsince 06/2023 · owns F of C••• H••••••• S••••• L••
- R•••••• L••••• L•••• · Managercontrolsince 12/2022 · owns F of C••• H••••••• S••••• L••
Entity owners
- C••••••••• H••••••• •••• L•• · General Partnerdirect · owns less than 5%
- C••••••••• H••••••• L•••••• · Sole Memberindirect · owns 75% or more of C••••••••• H••••••• •••• L••
- P••••••••• P••••••• I•• · Sole Shareholderindirect · owns 75% or more of P•• D• 1• L•
- P••••••••• P••••••• P•• · Sole Shareholderindirect · owns 75% or more of P••••••••• P••••••• I••
- P•• D• 1• L• · Memberindirect · owns 50% to 75% of C••• H••••••• S••••• L••
- C••••• C••••••••• · L•••••• Partnerdirect · owns 5% to 10%
- C••• H••••••• S••••• L•• · L•••••• Partnerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- C•• H••••••• L•pooled vehicle sponsorn
Advisers that list C••••• A••••••••• •••• L•• as a related person
- 161765 y
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom27 employees
- Singapore, Singapore5 employees
- Monaco, Monaco2 employees
- Dubai, United Arab Emirates1 employees
What changed
consecutive filings, newest first
- Accounts · 13 to 9May 30, 2025 to Mar 30, 2026
- Pooled vehicle clients · 13 to 9May 30, 2025 to Mar 30, 2026
- Employees · 27 to 25May 30, 2025 to Mar 30, 2026
- Discretionary RAUM · $3.7B to $4.6BMay 30, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $3.7B to $4.6BMay 30, 2025 to Mar 30, 2026
- RAUM · $3.7B to $4.6BMay 30, 2025 to Mar 30, 2026
- Financial planning clients · unset to Apr 25, 2025 to May 30, 2025
- Employees · 28 to 27Jan 15, 2025 to Apr 25, 2025
- Discretionary RAUM · $4.2B to $3.7BJan 15, 2025 to Apr 25, 2025
- Pooled vehicle RAUM · $4.2B to $3.7BJan 15, 2025 to Apr 25, 2025
- RAUM · $4.2B to $3.7BJan 15, 2025 to Apr 25, 2025
- Succession · true to falseJan 15, 2025 to Apr 25, 2025
- Accounts · 22 to 13Mar 28, 2024 to Jan 15, 2025
- Advisory employees · 62 to 12Mar 28, 2024 to Jan 15, 2025
- Business name · C••••• A••••••••• L• to C••••• A••••••••• •••• L••Mar 28, 2024 to Jan 15, 2025
- Pooled vehicle clients · 22 to 13Mar 28, 2024 to Jan 15, 2025
- Assets in custody · 25576448898.0 to unsetMar 28, 2024 to Jan 15, 2025
- Custody of client assets · true to falseMar 28, 2024 to Jan 15, 2025
- Employees · 162 to 28Mar 28, 2024 to Jan 15, 2025
- Legal name · C••••• A••••••••• L• to C••••• A••••••••• •••• L••Mar 28, 2024 to Jan 15, 2025
- Other offices · 4 to 0Mar 28, 2024 to Jan 15, 2025
- Organization form · Limited Partnership to Limited Liability CompanyMar 28, 2024 to Jan 15, 2025
- Private funds · 6 to unsetMar 28, 2024 to Jan 15, 2025
- Discretionary RAUM · $26B to $4.2BMar 28, 2024 to Jan 15, 2025
- Pooled vehicle RAUM · $26B to $4.2BMar 28, 2024 to Jan 15, 2025
- RAUM · $26B to $4.2BMar 28, 2024 to Jan 15, 2025
- Related adviser · false to trueMar 28, 2024 to Jan 15, 2025
- Succession · false to trueMar 28, 2024 to Jan 15, 2025
- Advisory employees · 51 to 62Jan 2, 2024 to Mar 28, 2024
- Pooled vehicle clients · 21 to 22Jan 2, 2024 to Mar 28, 2024
- Assets in custody · $22B to $26BJan 2, 2024 to Mar 28, 2024
- Employees · 148 to 162Jan 2, 2024 to Mar 28, 2024
- Discretionary RAUM · $22B to $26BJan 2, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $22B to $26BJan 2, 2024 to Mar 28, 2024
- RAUM · $22B to $26BJan 2, 2024 to Mar 28, 2024
- Other offices · 3 to 4Oct 24, 2023 to Jan 2, 2024
- Accounts · 21 to 22Mar 28, 2023 to May 23, 2023
- Private funds · 5 to 6Mar 28, 2023 to May 23, 2023
- Accounts · 22 to 21Aug 29, 2022 to Mar 28, 2023
- Advisory employees · 50 to 51Aug 29, 2022 to Mar 28, 2023
Signals
31 dated events
- C••••• A••••••••• •••• L•• reported succeeding to the business of C••••• A••••••••• L• (Form ADV Item 4)Jan 15, 2025 · Succession (Item 4) · fact
- C••••• A••••••••• •••• L•• reported RAUM $4.2B, down 84% from $25.6B (2024-03-28 to 2025-01-15)Jan 15, 2025 · RAUM change · derived
- Anne Helen Crowley (Manager) no longer on Schedule A of C••••• A••••••••• •••• L•• (listed 2024-01-02, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Felipe Andres Gonzalez (Manager) no longer on Schedule A of C••••• A••••••••• •••• L•• (listed 2024-01-02, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Andre Slabbert (Manager) no longer on Schedule A of C••••• A••••••••• •••• L•• (listed 2024-01-02, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Francis Anthony Mirabile (Manager) appeared on Schedule A of C••••• A••••••••• •••• L••Mar 28, 2024 · Control person joined · fact
- Loren Karen Foster (Manager) appeared on Schedule A of C••••• A••••••••• •••• L••Mar 28, 2024 · Control person joined · fact
- Charles A••••• R•••••••• (Chief Compliance Officer) no longer on Schedule A of C••••• A••••••••• •••• L•• (listed 2023-03-28, absent 2023-05-23)May 23, 2023 · Control person left · inference
- Stephan Benjamin Ohly (Chief Compliance Officer) appeared on Schedule A of C••••• A••••••••• •••• L••May 23, 2023 · Control person joined · fact
- Tavin Holman (Manager) appeared on Schedule A of C••••• A••••••••• •••• L••Mar 28, 2023 · Control person joined · fact
- Andre Slabbert (Manager) appeared on Schedule A of C••••• A••••••••• •••• L••Mar 28, 2023 · Control person joined · fact
- Neal Jason Gerlis (Manager) appeared on Schedule A of C••••• A••••••••• •••• L••Mar 28, 2023 · Control person joined · fact
- Lynne Laura Redman (Manager) appeared on Schedule A of C••••• A••••••••• •••• L••Mar 28, 2023 · Control person joined · fact
- Anne Beth Oswald (Manager) no longer on Schedule A of C••••• A••••••••• •••• L•• (listed 2022-08-29, absent 2023-03-28)Mar 28, 2023 · Control person left · inference
- Clifford Deguerre (Manager) no longer on Schedule A of C••••• A••••••••• •••• L•• (listed 2022-08-29, absent 2023-03-28)Mar 28, 2023 · Control person left · inference
- Ainsworth Kathryn Allen (Manager) appeared on Schedule A of C••••• A••••••••• •••• L••Mar 28, 2023 · Control person joined · fact
- Rhian Lloyd (General Counsel) no longer on Schedule A of C••••• A••••••••• •••• L•• (listed 2022-01-05, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- Stephan Benjamin Ohly (Chief Compliance Officer) no longer on Schedule A of C••••• A••••••••• •••• L•• (listed 2022-01-05, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- Alex Underwood (General Counsel) appeared on Schedule A of C••••• A••••••••• •••• L••Mar 29, 2022 · Control person joined · fact
- A••••• R•••••••• (Global Chief Compliance Officer) appeared on Schedule A of C••••• A••••••••• •••• L••Mar 29, 2022 · Control person joined · fact
- Natasha Newbold (Chief Compliance Officer) no longer on Schedule A of C••••• A••••••••• •••• L•• (listed 2021-10-22, absent 2022-01-05)Jan 5, 2022 · Control person left · inference
- Stephan Benjamin Ohly (Chief Compliance Officer) appeared on Schedule A of C••••• A••••••••• •••• L••Jan 5, 2022 · Control person joined · fact
- Felipe Andres Gonzalez (Manager) appeared on Schedule A of C••••• A••••••••• •••• L••Jan 5, 2022 · Control person joined · fact
- Anne Helen Crowley (Manager) appeared on Schedule A of C••••• A••••••••• •••• L••Oct 22, 2021 · Control person joined · fact
- Clifford Deguerre (Manager) appeared on Schedule A of C••••• A••••••••• •••• L••Oct 22, 2021 · Control person joined · fact
- Chanelle Nicholls (Chief Financial Officer) appeared on Schedule A of C••••• A••••••••• •••• L••Apr 2, 2021 · Control person joined · fact
- Natasha Newbold (Chief Compliance Officer) appeared on Schedule A of C••••• A••••••••• •••• L••Jun 19, 2020 · Control person joined · fact
- C••••• A••••••••• •••• L•• reported RAUM $22.6B, up 27% from $17.7B (2019-08-14 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Bennett Scott Bernstein (Senior Vice President, General Counsel And Secretary) no longer on Schedule A of C••••• A••••••••• •••• L•• (listed 2019-07-19, absent 2019-08-14)Aug 14, 2019 · Control person left · inference
- Ken Towers (General Counsel) appeared on Schedule A of C••••• A••••••••• •••• L••Aug 14, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- C••••• A••••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/caxton-associatesreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-593-7700reportedpublic record, Form ADV, Mar 30, 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