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••••••
Legal name C••• C•••••• A•••••••• L•
Latest filing Mar 30, 2026
First filing on the tape Mar 29, 2012 · 35 filings
SEC status approved since Jun 20, 2006
RAUM
$2.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$2.2B
derived; firm RAUM over IAPD count
Employees
13
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$2.2B as of Mar 30, 2026
Mar 29, 2012$7.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 28, 20130 then
Employees (5.A)13 as of Mar 30, 2026
Mar 28, 201350 then
Private funds4 as of Mar 30, 2026
Mar 29, 201210 then
RAUM +4.7% over the last fiscal year-6.5% 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $2.2BderivedRAUM 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
- $557MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 13.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.7%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 pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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
- 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)
- 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$2.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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=true bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• P••• J••••• | The Woodlands, Tx | Apr 22, 2015 | 13 y | 0 |
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
none on the tape
Private funds
28 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••• C•••••• I•••••••• I•• C•• L••• | Private Equity Fund | $1.5B | 66 | Mar 30, 2022 |
| C••• C•••••• I•••••••• I•• •••••• L•••no longer reported | Private Equity Fund | $765M | 504 | Mar 31, 2014 |
| M••••• C••••••••• L•••no longer reported | Private Equity Fund | $562M | 8 | Mar 29, 2018 |
| C••• C•••••• I•••••••• I••• L••• | Private Equity Fund | $389M | 508 | Mar 31, 2014 |
| C••• C•••••• I•••••••• I•• L•••no longer reported | Private Equity Fund | $204M | 329 | Mar 29, 2012 |
| C••• C•••••• I•••••••• ••••••••• I•• C•• L••• | Private Equity Fund | $139M | 18 | Mar 30, 2023 |
| C••• C•••••••• I•• A• L••• | Private Equity Fund | $85.9M | 24 | Mar 25, 2015 |
| C••• C•••••• I•••••••• I•• •••• E••••••••• L•••no longer reported | Private Equity Fund | $47.1M | 54 | Mar 31, 2014 |
| C••• C•••••• I•••••••• ••••••• I•• L•••no longer reported | Private Equity Fund | $26.8M | 22 | Mar 29, 2012 |
| C••• C•••••• I•••••••• I•• ••••••••• L••• | Private Equity Fund | $24.7M | 54 | Mar 31, 2014 |
| C••• C•••••• I•••••••• I•• •••••• L•••no longer reported | Private Equity Fund | $17.3M | 325 | Mar 29, 2018 |
| C••• C•••••• I•••••••• I•• •••••• L••• | Private Equity Fund | $16.9M | 179 | Mar 25, 2015 |
| Q••••• C••••••••• L••• | Private Equity Fund | $15.5M | 2 | Mar 25, 2015 |
| C••• C•••••• I•••••••• I•• •••••• L••• | Private Equity Fund | $14.7M | 320 | Mar 25, 2015 |
| C••• I• E••••••• F••••• F•••• L•••no longer reported | Private Equity Fund | $6.5M | 38 | Mar 29, 2012 |
| C••• C•••••• I•••••••• I•• •••••• L•••no longer reported | Private Equity Fund | $3.0M | 180 | Mar 29, 2018 |
| C••• C•••••• I•••••••• I•• ••••••• L••• | Private Equity Fund | $1.1M | 5 | Mar 25, 2015 |
| C••• C•••••• I•••••••• I•• •••••• L•••no longer reported | Private Equity Fund | $931,841 | 323 | Mar 25, 2015 |
| C••• C•••••• I•••••••• I•• •••••• L••• | Private Equity Fund | $832,370 | 9 | Mar 25, 2015 |
| C••• C•••••• I•••••••• I•• •••••• L•••no longer reported | Private Equity Fund | $316,903 | 20 | Mar 25, 2015 |
| C••• C•••••• I•••••••• I•• •••••• L•••no longer reported | Private Equity Fund | $283,113 | 165 | Mar 25, 2015 |
| C••• C•••••• I•••••••• I• •••••• L•••no longer reported | Private Equity Fund | $59,245 | 328 | Mar 29, 2012 |
| C••• C•••••• I•••••••• I• •••••• L•••no longer reported | Private Equity Fund | $23,420 | 13 | Mar 29, 2012 |
| C••• C•••••• I•••••••• I• •••••• L•••no longer reported | Private Equity Fund | $18,052 | 184 | Mar 29, 2012 |
| C••• C•••••• I•••••••• I• •••••• L•••no longer reported | Private Equity Fund | $12,700 | 134 | Mar 29, 2012 |
| C••• C•••••• I•••••••• I• •••••• L•••no longer reported | Private Equity Fund | $4,376 | 199 | Mar 29, 2012 |
| C••• C•••••• I•••••••• I• •••••• L•••no longer reported | Private Equity Fund | $373 | 131 | Mar 29, 2012 |
| C••• G•••••• C••••••••• L•••no longer reported | Private Equity Fund | $0 | 0 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• E••••• N•• · Chief Compliance Officercontrolsince 09/2020 · owns less than 5%
- B••••••••• G••••••• D••• · Executive Chairmancontrolsince 10/2016 · owns less than 5%
- F•••• G••••••• M•••••• · Chief Financial Officercontrolsince 01/2020 · owns less than 5%
- M•••••••• M•••• N•• · Managing Partnercontrolsince 03/2022 · owns less than 5%
- S••••••••• J•••••• M•••••• · Managing Partnercontrolsince 03/2022 · owns less than 5%
- B••••••••• G••••••• D••• · LPcontrolsince 03/2016 · owns F of C••• C••••••• L•
- M•••••••• M•••• N•• · LPcontrolsince 03/2022 · owns F of C••• C••••••• L•
- S••••••••• J•••••• M•••••• · LPcontrolsince 03/2016 · owns F of C••• C••••••• L•
- W••••• T••••••• J••• · LPcontrolsince 03/2016 · owns F of C••• C••••••• L•
- Z••••••• R••••••• F•••• · LPcontrolsince 03/2016 · owns F of C••• C••••••• L•
Entity owners
- C••• C•••••• A••••••• G• C•••• · General Partnerdirect · owns less than 5%
- C••• C••••••• L• · Limited Partnerdirect · owns 75% or more
- C••• C•••••• G•• L•• · General Partnerindirect · owns F of C••• C••••••• L•
- C••• C••••••• L• · Stockholderindirect · owns 75% or more of C••• C•••••• A••••••• G• C••••
Related persons
Schedule D 7.A
- C••• C•••••• A••••••••• I•• C•• L•••investment adviserbankpooled vehicle sponsorn
- C••• C•••••• A••••••••• I••• L•••investment adviserbankpooled vehicle sponsorn
- C••• C•••••• A••••••••• I•• L•••investment adviserbankpooled vehicle sponsorn
- C••• C•••••••• I•• A• G•• L••investment adviserbankpooled vehicle sponsorn
- C••• G•••••• L•investment adviserbanknRAUM $819M
- C••• G••••• C•••••••• G•• L••pooled vehicle sponsorn
- D•• C•••••••• G•• L••pooled vehicle sponsorn
Advisers that list C••• C•••••• as a related person
- 322926 n
Offices
Schedule D 1.F, the 25 largest
- The Woodlands, TX1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $2.1B to $2.2BMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $2.1B to $2.2BMar 28, 2025 to Mar 30, 2026
- RAUM · $2.1B to $2.2BMar 28, 2025 to Mar 30, 2026
- Employees · 14 to 13Mar 29, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $2.0B to $2.1BMar 29, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $2.0B to $2.1BMar 29, 2024 to Mar 28, 2025
- RAUM · $2.0B to $2.1BMar 29, 2024 to Mar 28, 2025
- Accounts · 10 to 4Mar 30, 2023 to Mar 29, 2024
- Pooled vehicle clients · 10 to 4Mar 30, 2023 to Mar 29, 2024
- Employees · 15 to 14Mar 30, 2023 to Mar 29, 2024
- Private funds · 10 to 4Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $2.7B to $2.0BMar 30, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $2.7B to $2.0BMar 30, 2023 to Mar 29, 2024
- RAUM · $2.7B to $2.0BMar 30, 2023 to Mar 29, 2024
- Accounts · 13 to 10Nov 18, 2022 to Mar 30, 2023
- Advisory employees · 12 to 9Nov 18, 2022 to Mar 30, 2023
- Pooled vehicle clients · 13 to 10Nov 18, 2022 to Mar 30, 2023
- Employees · 20 to 15Nov 18, 2022 to Mar 30, 2023
- Private funds · 13 to 10Nov 18, 2022 to Mar 30, 2023
- Discretionary RAUM · $4.9B to $2.7BNov 18, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $4.9B to $2.7BNov 18, 2022 to Mar 30, 2023
- RAUM · $4.9B to $2.7BNov 18, 2022 to Mar 30, 2023
- Accounts · 18 to 13Sep 1, 2022 to Nov 18, 2022
- Pooled vehicle clients · 18 to 13Sep 1, 2022 to Nov 18, 2022
- Assets in custody · $4.2B to $0Sep 1, 2022 to Nov 18, 2022
- Private funds · 15 to 13Sep 1, 2022 to Nov 18, 2022
- Discretionary RAUM · $5.4B to $4.9BSep 1, 2022 to Nov 18, 2022
- Pooled vehicle RAUM · $5.4B to $4.9BSep 1, 2022 to Nov 18, 2022
- RAUM · $5.4B to $4.9BSep 1, 2022 to Nov 18, 2022
- Related adviser · false to trueSep 1, 2022 to Nov 18, 2022
- Accounts · 20 to 18Dec 17, 2021 to Mar 30, 2022
- Advisory employees · 14 to 12Dec 17, 2021 to Mar 30, 2022
- Pooled vehicle clients · 20 to 18Dec 17, 2021 to Mar 30, 2022
- Assets in custody · $5.8B to $4.2BDec 17, 2021 to Mar 30, 2022
- Employees · 22 to 20Dec 17, 2021 to Mar 30, 2022
- Private funds · 18 to 15Dec 17, 2021 to Mar 30, 2022
- Discretionary RAUM · $6.5B to $5.4BDec 17, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $6.5B to $5.4BDec 17, 2021 to Mar 30, 2022
- RAUM · $6.5B to $5.4BDec 17, 2021 to Mar 30, 2022
Signals
14 dated events
- C••• C•••••• reported RAUM $2.0B, down 25% from $2.7B (2023-03-30 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- C••• C•••••• reported RAUM $2.7B, down 45% from $4.9B (2022-11-18 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Mark Mcfadden (Managing Partner) appeared on Schedule A of C••• C••••••Mar 30, 2022 · Control person joined · fact
- Gerard Richard Jansen (General Counsel) no longer on Schedule A of C••• C•••••• (listed 2021-12-17, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- C••• C•••••• reported RAUM $6.5B, up 39% from $4.7B (2020-09-25 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- E•••• B•••• (Chief Compliance Officer) appeared on Schedule A of C••• C••••••Sep 25, 2020 · Control person joined · fact
- Marie Dina Colombo (Chief Financial Officer) no longer on Schedule A of C••• C•••••• (listed 2019-07-26, absent 2020-01-21)Jan 21, 2020 · Control person left · inference
- M Gregory Feig (Chief Financial Officer) appeared on Schedule A of C••• C••••••Jan 21, 2020 · Control person joined · fact
- Charles Christopher Behrens (Member) no longer on Schedule A of C••• C•••••• (listed 2019-03-28, absent 2019-07-26)Jul 26, 2019 · Control person left · inference
- Robert Jonathan Lynch (Member) no longer on Schedule A of C••• C•••••• (listed 2019-03-28, absent 2019-07-26)Jul 26, 2019 · Control person left · inference
- Gerard Kevin Obrien (Member) no longer on Schedule A of C••• C•••••• (listed 2019-03-28, absent 2019-07-26)Jul 26, 2019 · Control person left · inference
- Douglas Jon Cahill (Member) no longer on Schedule A of C••• C•••••• (listed 2019-03-28, absent 2019-07-26)Jul 26, 2019 · Control person left · inference
- Harry Thomas Walker (Member) no longer on Schedule A of C••• C•••••• (listed 2019-03-28, absent 2019-07-26)Jul 26, 2019 · Control person left · inference
- C••• C•••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 29, 2016 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- C••• C•••••• · Independent Sponsorsshared crd · capital_provider
- C••• C•••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-600-9600reportedpublic 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
- $2.2Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026