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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C••• P••• C•••••• L••
Latest filing Mar 26, 2026
First filing on the tape Mar 21, 2012 · 21 filings
SEC status approved since Jul 25, 2005
RAUM
$490M
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
20%
$97.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$490M as of Mar 26, 2026
Mar 21, 2012$265M then
HNW client RAUM$97.1M as of Mar 26, 2026
Mar 28, 2018$104M then
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 21, 20120 then
Employees (5.A)8 as of Mar 26, 2026
Mar 15, 20136 then
Private funds3 as of Mar 26, 2026
Mar 15, 20131 then
RAUM +7.4% over the last fiscal year+8.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 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
- $48.6MderivedHNW RAUM over HNW clients
- Average account
- $70.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 80%derivedof RAUM
- Institutional
- 11%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
- +7.4%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $341M, 2 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)
- 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
- Pooled investment vehicles$341M70%
- High-net-worth individuals$97.1M20%
- Charitable organizations$52.4M11%
- Individual clients
- n/areported
- HNW clients
- 2reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 7reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $341M for 2 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.2 fund_share=0.7 institutional_share=0.11 related_bd=true related_bank=false 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•••• T•••• | Private Equity Fund | $192M | 1 | Mar 31, 2022 |
| M••••••• S•• T•••• 1• | Hedge Fund | $68.6M | 2 | Mar 15, 2013 |
| M••••••• A•••no longer reported | Hedge Fund | $10.0M | 3 | Mar 18, 2015 |
| M••••••• S•• T•••• 2• | Private Equity Fund | $0 | 1 | Mar 24, 2017 |
Owners and control persons
Schedule A and B, latest filing
- K•••••• E••••••• · President And Membercontrolsince 12/2004 · owns 25% to 50%
- K•••••• Y•••• M••• · Founding Principal And Membercontrolsince 12/2004 · owns 25% to 50%
- K•••••• Y•••• M••• · Trusteecontrolsince 12/2004 · owns 75% or more of T•• I••••••••• T•••• F•• D••••••••• O• E••••••• K•••••
- N••••••• P•••••• · Chief Compliance Officersince 06/2006 · owns less than 5%
Entity owners
- T•• I••••••••• T•••• F•• D••••••••• O• E••••••• K••••• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- C••• P••• S••••••••• L••broker-dealern
- Y••• K••••• • R••• E••••• B•••••investment companyn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $303M to $341MAug 18, 2025 to Mar 26, 2026
- Discretionary RAUM · $360M to $393MAug 18, 2025 to Mar 26, 2026
- HNW RAUM · $98.0M to $97.1MAug 18, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $96.6M to $97.0MAug 18, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $303M to $341MAug 18, 2025 to Mar 26, 2026
- RAUM · $457M to $490MAug 18, 2025 to Mar 26, 2026
- Financial planning clients · 0 to 0Mar 27, 2025 to Aug 18, 2025
- Advisory employees · 4 to 5Mar 28, 2024 to Mar 27, 2025
- Assets in custody · $260M to $303MMar 28, 2024 to Mar 27, 2025
- Employees · 7 to 8Mar 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $317M to $360MMar 28, 2024 to Mar 27, 2025
- HNW RAUM · $93.4M to $98.0MMar 28, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $92.0M to $96.6MMar 28, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $260M to $303MMar 28, 2024 to Mar 27, 2025
- RAUM · $409M to $457MMar 28, 2024 to Mar 27, 2025
- Assets in custody · $241M to $260MMar 20, 2023 to Mar 28, 2024
- Discretionary RAUM · $294M to $317MMar 20, 2023 to Mar 28, 2024
- HNW RAUM · $93.4M to $93.4MMar 20, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $92.0M to $92.0MMar 20, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $241M to $260MMar 20, 2023 to Mar 28, 2024
- RAUM · $386M to $409MMar 20, 2023 to Mar 28, 2024
- Accounts · 11 to 7Mar 31, 2022 to Mar 20, 2023
- Corporate clients · 1.0 to unsetMar 31, 2022 to Mar 20, 2023
- Assets in custody · $286M to $241MMar 31, 2022 to Mar 20, 2023
- Discretionary RAUM · $358M to $294MMar 31, 2022 to Mar 20, 2023
- HNW RAUM · $87.8M to $93.4MMar 31, 2022 to Mar 20, 2023
- Non-discretionary RAUM · $86.5M to $92.0MMar 31, 2022 to Mar 20, 2023
- Pooled vehicle RAUM · $286M to $241MMar 31, 2022 to Mar 20, 2023
- RAUM · $445M to $386MMar 31, 2022 to Mar 20, 2023
- Discretionary RAUM · $258M to $358MMay 20, 2021 to Mar 31, 2022
- HNW RAUM · $153M to $87.8MMay 20, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $82.8M to $86.5MMay 20, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $130M to $286MMay 20, 2021 to Mar 31, 2022
- RAUM · $341M to $445MMay 20, 2021 to Mar 31, 2022
- Advisory employees · 3 to 4May 20, 2021 to Mar 31, 2022
- BD registered reps · 2 to 3May 20, 2021 to Mar 31, 2022
- Charity clients · unset to 1.0May 20, 2021 to Mar 31, 2022
- Corporate clients · unset to 1.0May 20, 2021 to Mar 31, 2022
- HNW clients · unset to 2.0May 20, 2021 to Mar 31, 2022
- Pooled vehicle clients · 3 to 2May 20, 2021 to Mar 31, 2022
Signals
1 dated events
- C••• P••• C•••••• L•• reported RAUM $444.8M, up 30% from $341.2M (2021-05-20 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- C••• P••• C•••••• L•• · Family Officesshared crd · office
- C••• P••• C•••••• L•• · Independent Sponsorsshared crd · capital_provider
- C••• P••• C•••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- C•••P•••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-861-2930reportedpublic record, Form ADV, Mar 26, 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
- Other 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