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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Former SEC-registered adviser

C•••••• C•••••• L••

Former SEC-registered adviserSalt Lake City, UtahCRD 133760SEC 801-112108IAPD
Legal name C•••••• C••••••• L••
Latest filing Dec 24, 2019
First filing on the tape Nov 2, 2017 · 19 filings
RAUM
$11.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$9.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$11.1M as of Apr 1, 2019
Mar 29, 2018$3.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2019
Mar 29, 20189 then
Employees (5.A)20 as of Apr 1, 2019
Mar 29, 201821 then
Private funds: no history
RAUM +238% over the last fiscal yearIARs 9 to 7offices 1 to 0
Practice profile
derived from the filing of Dec 24, 2019; every figure names its basis
RAUM per advisor
$1.6MderivedRAUM 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
$70,218derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.4derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+238%derivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
Wrap fee program
$11.1MreportedItem 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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$9.8M88%
  • Pension and profit-sharing plans$1.3M12%
Individual clients
156reported
HNW clients
n/areported
Pension plan clients
2reported
Charitable clients
n/areported
Accounts
158reported
Financial planning clients
0reported
Wrap fee programs
$10.7M sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M•••••• W•••••• G••••• · Ceocontrol
      since 03/2017 · owns less than 5%
    • P••••••••• S•••• R••••• · Chief Compliance Officer, Finop, Cfo, Coocontrol
      since 06/2007 · owns less than 5%
    • V••••••••• J••• M•••••• · Presidentcontrol
      since 03/2017 · owns less than 5%
    • V••••••••• J••• M•••••• · Presidentcontrol
      since 10/2006 · owns 25% to 50% of C•••••• Asset Management
    Entity owners
    • C•••••• A•••• M••••••••• L•• · Managing Member And Sole Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    • I•••••••• M••••••••• L••
      bankn
    • O•••••••• L••
      broker-dealern
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Salt Lake City, Ut · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • State-registered IARs · 0 to 7
      Dec 12, 2019 to Dec 24, 2019
    • Other offices · 1 to 0
      Nov 6, 2019 to Dec 12, 2019
    • Succession · true to false
      Nov 6, 2019 to Dec 12, 2019
    • Advisory employees · 8 to 7
      Jun 20, 2019 to Nov 6, 2019
    • BD registered reps · 20 to 12
      Jun 20, 2019 to Nov 6, 2019
    • Employees · 20 to 17
      Jun 20, 2019 to Nov 6, 2019
    • Related adviser · true to false
      Jun 20, 2019 to Nov 6, 2019
    • Related bank · false to true
      Jun 20, 2019 to Nov 6, 2019
    • Succession · false to true
      Jun 20, 2019 to Nov 6, 2019
    • Accounts · 55 to 158
      Dec 26, 2018 to Apr 1, 2019
    • Advisory employees · 11 to 8
      Dec 26, 2018 to Apr 1, 2019
    • BD registered reps · 21 to 20
      Dec 26, 2018 to Apr 1, 2019
    • Individual clients · 54 to 156
      Dec 26, 2018 to Apr 1, 2019
    • Pension plan clients · 1 to 2
      Dec 26, 2018 to Apr 1, 2019
    • Employees · 21 to 20
      Dec 26, 2018 to Apr 1, 2019
    • State-registered IARs · 9 to 0
      Dec 26, 2018 to Apr 1, 2019
    • Discretionary RAUM · $3.3M to $11.1M
      Dec 26, 2018 to Apr 1, 2019
    • Individual RAUM · $2.9M to $9.8M
      Dec 26, 2018 to Apr 1, 2019
    • Pension RAUM · $402,753 to $1.3M
      Dec 26, 2018 to Apr 1, 2019
    • RAUM · $3.3M to $11.1M
      Dec 26, 2018 to Apr 1, 2019
    • Wrap assets (sponsor) · $2.9M to $10.7M
      Dec 26, 2018 to Apr 1, 2019
    • Accounts · 78 to 55
      Mar 19, 2018 to Mar 29, 2018
    • Advisory employees · 9 to 11
      Mar 19, 2018 to Mar 29, 2018
    • BD registered reps · 17 to 21
      Mar 19, 2018 to Mar 29, 2018
    • Individual clients · 78 to 54
      Mar 19, 2018 to Mar 29, 2018
    • Pension plan clients · unset to 1.0
      Mar 19, 2018 to Mar 29, 2018
    • Insurance-licensed employees · 1 to 0
      Mar 19, 2018 to Mar 29, 2018
    • Discretionary RAUM · $3.6M to $3.3M
      Mar 19, 2018 to Mar 29, 2018
    • Individual RAUM · $3.6M to $2.9M
      Mar 19, 2018 to Mar 29, 2018
    • Pension RAUM · unset to 402753.0
      Mar 19, 2018 to Mar 29, 2018
    • RAUM · $3.6M to $3.3M
      Mar 19, 2018 to Mar 29, 2018
    • Wrap assets (manager) · $20,000 to $0
      Mar 19, 2018 to Mar 29, 2018
    • Wrap assets (sponsor) · $3.6M to $2.9M
      Mar 19, 2018 to Mar 29, 2018
    Signals
    6 dated events
    • J••• M•••••• V••••••••• left C•••••• C•••••• L•• for E••••• A•••• I••••••••• (registered 2025-04-17)
      Dec 31, 2024 · Advisor changed firm · fact
    • M•••••• P••••• W••••• left C•••••• C•••••• L•• for E••••• A•••• I••••••••• (registered 2025-04-16)
      Dec 31, 2024 · Advisor changed firm · fact
    • S•••••• Q•••• D••••• left C•••••• C•••••• L•• for E••••• A•••• I••••••••• (registered 2025-04-16)
      Dec 31, 2024 · Advisor changed firm · fact
    • C•••••• C•••••• L••'s advisors moved to E••••• A•••• I••••••••• (Salt Lake City, UT): 3 of 3 registered, on the same day
      Dec 31, 2024 · Firm absorbed (people side) · derived
    • C•••••• C•••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Nov 6, 2019 · Succession (Item 4) · fact
    • C•••••• C•••••• L•• filed its initial SEC registration (Form ADV)
      Nov 2, 2017 · First SEC registration · fact
    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
    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
    Former SEC-registered adviserderiveda 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