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•••••• M••••••••• L•••
Legal name C•••••• C•••••• M••••••••• L•
Latest filing May 14, 2026
First filing on the tape Mar 14, 2012 · 28 filings
SEC status approved since Jan 15, 2008
RAUM
$839M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$306,390 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$839M as of May 14, 2026
Mar 14, 2012$34.0M then
HNW client RAUM$306,390 as of May 14, 2026
Mar 30, 2018$287,306 then
State-registered IARs (5.B.3)0 as of May 14, 2026
Mar 28, 20130 then
Employees (5.A)12 as of May 14, 2026
Mar 28, 20134 then
Private funds1 as of May 14, 2026
Mar 14, 20123 then
RAUM +29% over the last fiscal year+22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 14, 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
- $105MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 55%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $165M, 1 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$452M54%
- Pooled investment vehicles$376M45%
- Insurance companies$10.2M1.2%
- High-net-worth individuals$306,3900.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $165M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.45 institutional_share=0.55 related_bd=false related_bank=false 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••• S••••••••• H••• Y•••• M••••• F•••• S•• | Hedge Fund | $111M | 29 | Mar 14, 2012 |
| C•••••• C•••••• O••••••• F•••• S••no longer reported | Hedge Fund | $7.3M | 8 | Mar 14, 2012 |
| C•••••• C•••••• O•••••• F•••• L••no longer reported | Hedge Fund | $438,000 | 5 | Mar 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- K••••• G••••• S•••• · President And Portfolio Managercontrolsince 05/2004 · owns less than 5%
- K••••••• T•••••• P•••• · Principal And Portfolio Managercontrolsince 05/2004 · owns less than 5%
- K••••• G••••• S•••• · Managercontrolsince 05/2004 · owns F of C•••••• C•••••• M••••••••• L••
- K••••• Y••• · Membercontrolsince 05/2022 · owns 50% to 75% of C•••••• C•••••• M••••••••• H••••••• L••
- K••••••• T•••••• P•••• · Managercontrolsince 09/2003 · owns F of C•••••• C•••••• M••••••••• L••
- G•••••• G••••••••• Y••••• · Chief Compliance Officersince 11/2014 · owns less than 5%
Entity owners
- C••••• C•••••• H•••••••• L•• · L•••••• Partnerdirect · owns 25% to 50%
- C•••••• C•••••• M••••••••• H••••••• L•• · L•••••• Partnerdirect · owns 25% to 50%
- C•••••• C•••••• M••••••••• L•• · General Partnerdirect · owns less than 5%
- C••••• C•••••• H•••••••• L•• · Memberindirect · owns 50% to 75% of C•••••• C•••••• M••••••••• L••
- C••••• G••••• M••••••• S•• · Shareholderindirect · owns 75% or more of H••••••••• G••••• P•••••••• L••
- C•• H••••••• · Memberindirect · owns 25% to 50% of C•••••• C•••••• M••••••••• L••
- C•• H••••••• L•••••• · Shareholderindirect · owns 75% or more of C•• C•••••• S•• S•••••••
- H••••••••• G••••• P•••••••• L•• · Shareholderindirect · owns 75% or more of C••••• C•••••• H•••••••• L••
- T•• T••••• P• K•••••• R•••••••• T••••• D•••• S•••••••• 1•• 2••• · Memberindirect · owns 50% to 75% of C•••••• C•••••• M••••••••• H••••••• L••
- C•• C•••••• S•• S••••••• · L•••••• Partnerindirect · owns 50% to 75% of C••••• G••••• M••••••• S••
Related persons
Schedule D 7.A
- A•••••• C•••••• M••••••••• L••investment advisernRAUM $308,129
- E•••••• C•••••• L••investment advisern
- U••••• A•••• M••••••••• L••investment advisernRAUM $298M
Advisers that list C•••••• C•••••• M••••••••• L••• as a related person
- 288249 n
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 9 to 8May 6, 2025 to Mar 30, 2026
- Assets in custody · $111M to $165MMay 6, 2025 to Mar 30, 2026
- Discretionary RAUM · $650M to $839MMay 6, 2025 to Mar 30, 2026
- HNW RAUM · $349,056 to $306,390May 6, 2025 to Mar 30, 2026
- Pension RAUM · $396M to $452MMay 6, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $244M to $376MMay 6, 2025 to Mar 30, 2026
- RAUM · $650M to $839MMay 6, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 31, 2025 to May 6, 2025
- Assets in custody · $111M to $111MAug 30, 2024 to Mar 31, 2025
- Discretionary RAUM · $526M to $650MAug 30, 2024 to Mar 31, 2025
- HNW RAUM · $503,442 to $349,056Aug 30, 2024 to Mar 31, 2025
- Pension RAUM · $298M to $396MAug 30, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $221M to $244MAug 30, 2024 to Mar 31, 2025
- RAUM · $526M to $650MAug 30, 2024 to Mar 31, 2025
- Advisory employees · 5 to 7May 4, 2023 to Mar 28, 2024
- Assets in custody · $104M to $111MMay 4, 2023 to Mar 28, 2024
- Employees · 10 to 12May 4, 2023 to Mar 28, 2024
- Discretionary RAUM · $465M to $526MMay 4, 2023 to Mar 28, 2024
- HNW RAUM · $197,552 to $503,442May 4, 2023 to Mar 28, 2024
- Pension RAUM · $255M to $298MMay 4, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $204M to $221MMay 4, 2023 to Mar 28, 2024
- RAUM · $465M to $526MMay 4, 2023 to Mar 28, 2024
- Assets in custody · $104M to $104MSep 22, 2022 to Mar 30, 2023
- Discretionary RAUM · $371M to $465MSep 22, 2022 to Mar 30, 2023
- HNW RAUM · $163,975 to $197,552Sep 22, 2022 to Mar 30, 2023
- Pension RAUM · $187M to $255MSep 22, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $177M to $204MSep 22, 2022 to Mar 30, 2023
- RAUM · $371M to $465MSep 22, 2022 to Mar 30, 2023
- Advisory employees · 6 to 5Mar 30, 2021 to Mar 30, 2022
- Advisory activities · 4 to 3Mar 30, 2021 to Mar 30, 2022
- Assets in custody · $88.0M to $104MMar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $340M to $371MMar 30, 2021 to Mar 30, 2022
- HNW RAUM · $161,744 to $163,975Mar 30, 2021 to Mar 30, 2022
- Pension RAUM · $169M to $187MMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $154M to $177MMar 30, 2021 to Mar 30, 2022
- RAUM · $340M to $371MMar 30, 2021 to Mar 30, 2022
- Assets in custody · $86.5M to $88.0MJun 29, 2020 to Mar 30, 2021
- Discretionary RAUM · $347M to $340MJun 29, 2020 to Mar 30, 2021
- HNW RAUM · $298,805 to $161,744Jun 29, 2020 to Mar 30, 2021
- Pension RAUM · $161M to $169MJun 29, 2020 to Mar 30, 2021
Signals
3 dated events
- C•••••• C•••••• M••••••••• L••• reported RAUM $838.6M, up 29% from $649.9M (2025-05-06 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- (Nmn) Kian Esteghamat (Shareholder) no longer on Schedule A of C•••••• C•••••• M••••••••• L••• (listed 2024-05-08, absent 2024-08-30)Aug 30, 2024 · Control person left · inference
- (Nmn) Kian Esteghamat (Shareholder) appeared on Schedule A of C•••••• C•••••• M••••••••• L•••Mar 28, 2024 · Control person joined · 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 19, 2026
- Principal office phone
- 305-371-4578reportedpublic record, Form ADV, May 14, 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