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••••••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Feb 28, 2012 · 26 filings
SEC status approved since Jan 20, 2006
RAUM
$2.4B
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
30
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$2.4B as of Mar 27, 2026
Feb 28, 2012$1.8B then
HNW client RAUM$0 as of Mar 27, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Feb 28, 20130 then
Employees (5.A)30 as of Mar 27, 2026
Feb 28, 201333 then
Private funds2 as of Mar 27, 2026
Feb 28, 20122 then
RAUM -20% over the last fiscal year-20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $142MderivedRAUM 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
- -20%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
- Custody
- $81.0M, 6 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$1.8B75%
- Pooled investment vehicles$407M17%
- Other investment advisers$209M8.7%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 17reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $81.0M for 6 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••••• M••••••••• • F••••••• I•• M••••• F•••• L•••no longer reported | Hedge Fund | $145M | 6 | May 29, 2015 |
| C••••••••• M••••••••• • D••••••••• I• M••••• F•••• L•••no longer reported | Hedge Fund | $88.7M | 3 | Feb 28, 2012 |
| C••••••••• M••••••••• • F••••••• A••••••• R••••• M••••• F•••• L••• | Hedge Fund | $68.6M | 17 | Mar 29, 2018 |
| C••••••••• M••••••••• • F••••••• I• M••••• F•••• L•••no longer reported | Hedge Fund | $46.9M | 5 | Sep 28, 2017 |
| C••••••••• M••••••••• • F••••••• I• M••••• F•••• L••• | Hedge Fund | $43.0M | 9 | Feb 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D•••••••• A•••• C••••••••• · Co-Presidentcontrolsince 11/2003 · owns less than 5%
- K•••••• A•••••• R••••• · Chief Operating Officer And Chief Legal Officercontrolsince 04/2004 · owns less than 5%
- K•••••• M••••••• S••••• · Director Of Operationscontrolsince 01/2004 · owns less than 5%
- K••••• B•••••••• L• · Co-Presidentcontrolsince 11/2003 · owns less than 5%
- S•••••• M••••••• S•••••• · Managing Director & Chief Compliance Officercontrolsince 07/2007 · owns less than 5%
- S••••••••• T•••• A••• · Chief Financial Officercontrolsince 03/2004 · owns less than 5%
- D•••••••• A•••• C••••••••• · Membercontrolsince 09/2013 · owns 50% to 75% of C••••••••• L••
- K••••• B•••••••• L• · Membercontrolsince 09/2013 · owns 50% to 75% of C••••••••• L••
Entity owners
- C••••••••• C•••••• L•• · Managing Memberdirect · owns 75% or more
- C••••••••• L•• · Managing Memberindirect · owns 50% to 75% of C••••••••• C•••••• L••
- J•••••••• F•••••••• G••••• I••• · Memberindirect · owns 75% or more of L••••••• A•••• M••••••••• H••••••• L•• · public reporting company
- L••••••• A•••• M••••••••• H••••••• L•• · Memberindirect · owns 50% to 75% of C••••••••• C•••••• L••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- institutional asset share shiftChange between filings · filing Mar 27, 2026institutional share of RAUM moved from 25.0% to 9.0% between the annual amendments of 2025-03-28 and 2026-03-27peers: asset managers, $1B to $5B (1,506)
What changed
consecutive filings, newest first
- Accounts · 19 to 17Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $3.0B to $2.4BMar 28, 2025 to Mar 27, 2026
- Pension RAUM · $60.6M to $0Mar 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $370M to $407MMar 28, 2025 to Mar 27, 2026
- RAUM · $3.0B to $2.4BMar 28, 2025 to Mar 27, 2026
- Accounts · 17 to 19Mar 27, 2024 to Mar 28, 2025
- Advisory employees · 12 to 13Mar 27, 2024 to Mar 28, 2025
- BD registered reps · 2 to 3Mar 27, 2024 to Mar 28, 2025
- Assets in custody · $111M to $81.0MMar 27, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $3.6B to $3.0BMar 27, 2024 to Mar 28, 2025
- Pension RAUM · $84.3M to $60.6MMar 27, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $468M to $370MMar 27, 2024 to Mar 28, 2025
- RAUM · $3.6B to $3.0BMar 27, 2024 to Mar 28, 2025
- Advisory employees · 11 to 12Mar 31, 2023 to Mar 27, 2024
- Assets in custody · $123M to $111MMar 31, 2023 to Mar 27, 2024
- Employees · 29 to 30Mar 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $4.6B to $3.6BMar 31, 2023 to Mar 27, 2024
- Pension RAUM · $94.7M to $84.3MMar 31, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $609M to $468MMar 31, 2023 to Mar 27, 2024
- RAUM · $4.6B to $3.6BMar 31, 2023 to Mar 27, 2024
- Accounts · 18 to 17Mar 30, 2022 to Mar 31, 2023
- Advisory employees · 10 to 11Mar 30, 2022 to Mar 31, 2023
- Pooled vehicle clients · 12 to 10Mar 30, 2022 to Mar 31, 2023
- Assets in custody · $291M to $123MMar 30, 2022 to Mar 31, 2023
- Employees · 26 to 29Mar 30, 2022 to Mar 31, 2023
- Private funds · 3 to 2Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $3.6B to $4.6BMar 30, 2022 to Mar 31, 2023
- Pension RAUM · $187M to $94.7MMar 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $538M to $609MMar 30, 2022 to Mar 31, 2023
- RAUM · $3.6B to $4.6BMar 30, 2022 to Mar 31, 2023
- Accounts · 19 to 18Mar 30, 2021 to Mar 30, 2022
- Advisory employees · 9 to 10Mar 30, 2021 to Mar 30, 2022
- Pooled vehicle clients · 11 to 12Mar 30, 2021 to Mar 30, 2022
- Assets in custody · $346M to $291MMar 30, 2021 to Mar 30, 2022
- Employees · 25 to 26Mar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $2.2B to $3.6BMar 30, 2021 to Mar 30, 2022
- Pension RAUM · $203M to $187MMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $714M to $538MMar 30, 2021 to Mar 30, 2022
- RAUM · $2.2B to $3.6BMar 30, 2021 to Mar 30, 2022
Signals
3 dated events
- C••••••••• M••••••••• L•• reported RAUM $4.6B, up 29% from $3.6B (2022-03-30 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- C••••••••• M••••••••• L•• reported RAUM $3.6B, up 65% from $2.2B (2021-03-30 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- C••••••••• M••••••••• L•• reported RAUM $2.2B, down 35% from $3.5B (2018-03-29 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
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•••••••••LLC.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-708-6500reportedpublic record, Form ADV, Mar 27, 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