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.
SEC-registered adviser
Capricorn Investment Group LLC
Latest filing Apr 30, 2026
First filing on the tape Mar 29, 2012 · 32 filings
SEC status approved since Sep 18, 2008
RAUM
$19B
reported, Item 5.F
Discretionary
73%
of RAUM
Private clients
28%
$5.3B individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$19B
derived; firm RAUM over IAPD count
Employees
46
16 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
22
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$19B as of Apr 30, 2026
Mar 29, 2012$4.0B then
HNW client RAUM$5.3B as of Apr 30, 2026
Mar 29, 2018$2.6B then
State-registered IARs (5.B.3)1 as of Apr 30, 2026
Apr 1, 20130 then
Employees (5.A)46 as of Apr 30, 2026
Apr 1, 201335 then
Private funds22 as of Apr 30, 2026
Mar 29, 201211 then
RAUM +51% over the last fiscal year+29% a year over threeIARs 0 to 1offices 1 to 2
Practice profile
derived from the filing of Apr 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $19BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 5derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1BderivedHNW RAUM over HNW clients
- Average account
- $554MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 73%derivedof RAUM
- Institutional
- 8.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 46.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +51%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $13B, 35 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)
- 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$12B63%
- High-net-worth individuals$5.3B28%
- Charitable organizations$1.6B8.7%
- Individual clients
- 0reported
- HNW clients
- 5reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 34reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $13B for 35 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.28 fund_share=0.63 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Nicolas Michael Flores | Boise, Id | Feb 18, 2026 | 13 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- Nicolas Michael Flores from The Caprock Group, LLCFeb 18, 2026 · RIA to RIA
Private funds
36 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Cig Direct Strategies Sx, LP | Venture Capital Fund | $2.8B | 6 | Mar 31, 2023 |
| Cig Direct Strategies III, LLC - Series 1 | Venture Capital Fund | $1.6B | 11 | Mar 31, 2021 |
| Cig Direct Strategies II, LLC - Series 1 | Venture Capital Fund | $1.5B | 2 | Mar 31, 2021 |
| Technology Impact Fund, LP | Venture Capital Fund | $1.4B | 47 | Mar 29, 2018 |
| Technology Impact Growth Fund II, LP | Private Equity Fund | $750M | 66 | Mar 31, 2022 |
| Cig Direct Strategies III, LLC - Series 3 | Venture Capital Fund | $692M | 7 | Mar 31, 2022 |
| Technology Impact Fund II, LP | Venture Capital Fund | $622M | 79 | Mar 31, 2022 |
| Capricorn-Libra Investment Group, LP | Venture Capital Fund | $604M | 8 | Apr 1, 2013 |
| Cig Direct Strategies III, LLC - Series 2 | Venture Capital Fund | $546M | 7 | Mar 31, 2021 |
| Technology Impact Growth Fund, LP | Private Equity Fund | $297M | 10 | Mar 28, 2019 |
| Sustainable Investors Fund, LP | Other Private Fund | $276M | 25 | Mar 28, 2019 |
| Cig Low Carbon Basket, LLC | Venture Capital Fund | $252M | 3 | Apr 17, 2023 |
| Tigf Direct Strategies, LLC - Series 4 | Private Equity Fund | $160M | 3 | Mar 31, 2022 |
| Cig Direct Strategies III LLC - Series 4 | Venture Capital Fund | $151M | 3 | Mar 31, 2023 |
| Capricorn S.A. Sicav-Sif - Global Marketable Strategies Sub-Fundno longer reported | Hedge Fund | $83.8M | 2 | Mar 29, 2012 |
| Tigf Direct Strategies II, LLC - Series I | Private Equity Fund | $78.6M | 7 | Mar 31, 2022 |
| Tigf Direct Strategies II, LLC - Series 5 | $62.7M | 30 | Apr 30, 2026 | |
| Tigf Direct Strategies, LLC - Series 3no longer reported | Private Equity Fund | $57.4M | 11 | Mar 31, 2021 |
| Tigf Direct Strategies, LLC - Series 1 | Private Equity Fund | $57.4M | 5 | Mar 31, 2021 |
| Tigf Direct Strategies II, LLC - Series 6 | $44.4M | 16 | Apr 30, 2026 | |
| Capricorn S.A. Sicav-Sif - Global Non-Marketable Strategies Sub-Fundno longer reported | Private Equity Fund | $43.7M | 1 | Mar 29, 2012 |
| Cig Direct Strategies II, LLC - Series 2no longer reported | Private Equity Fund | $31.1M | 2 | Mar 31, 2021 |
| Tigf Direct Strategies II, LLC - Series 3 | Private Equity Fund | $30.7M | 41 | Mar 28, 2024 |
| Tigf Direct Strategies II, LLC - Series 7 | $20.4M | 24 | Apr 30, 2026 | |
| Cig Direct Strategies II, LLC - Series 3no longer reported | Private Equity Fund | $20.0M | 2 | Mar 31, 2022 |
| Tigf Direct Strategies II, LLC - Series 4 | $19.5M | 3 | Apr 30, 2026 | |
| Tigf Direct Strategies II, LLC - Series 2 | Private Equity Fund | $11.5M | 9 | Mar 31, 2023 |
| Capricorn Aip - Asian Strategies, L.P.no longer reported | Hedge Fund | $4.2M | 2 | Mar 29, 2012 |
| Capricorn Aip - Private Investment Fund I, L.P.no longer reported | Private Equity Fund | $2.8M | 8 | Mar 29, 2012 |
| Tigf Direct Strategies, LLC - Series 2no longer reported | Private Equity Fund | $2.3M | 13 | Mar 31, 2021 |
| Tigf Direct Strategies, LLC - Series 5no longer reported | Private Equity Fund | $695,063 | 10 | Mar 31, 2022 |
| Capricorn Aip - Hedge Fund Strategies, L.P.no longer reported | Hedge Fund | $215,247 | 1 | Mar 29, 2012 |
| Capricorn Aip - Europe & Developed Equities, L.P.no longer reported | Hedge Fund | $76,991 | 1 | Mar 29, 2012 |
| Capricorn Aip - Energy & Commodities, L.P.no longer reported | Hedge Fund | $0 | 0 | Mar 29, 2012 |
| Capricorn Aip - Credit Strategies, L.P.no longer reported | Hedge Fund | $0 | 2 | Mar 29, 2012 |
| Capricorn Aip - Domestic Equities, L.P.no longer reported | Hedge Fund | $0 | 0 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Idalia Alexandra Acosta · Chief Compliance Officercontrolsince 03/2025 · owns less than 5%
- Patrick Mark Berryman · Membercontrolsince 03/2025 · owns less than 5%
- Rodrigues Michaela Edwards · Membercontrolsince 03/2019 · owns 5% to 10%
- Bernard William Orum · Membercontrolsince 01/2012 · owns 10% to 25%
- (Nmn) Dipender Saluja · Membercontrolsince 01/2013 · owns less than 5%
- John Eric Techel · Member / Chief Financial Officercontrolsince 01/2013 · owns 5% to 10%
- Ion Yadigaroglu · Member/Managing Principalcontrolsince 04/2007 · owns 10% to 25%
- Stuart Jeffrey Skoll · Settlor And Trusteecontrolsince 08/1999 · owns 75% or more of Jeffrey S. Skoll Revocable Trust
Entity owners
- Pine LLC · Member Principaldirect · owns 25% to 50%
- Jeffrey S. Skoll Revocable Trust · Sole Memberindirect · owns 75% or more of Pine LLC
Related persons
Schedule D 7.A
- Capricorn Advisers, LLCinvestment adviserpooled vehicle sponsory
- Capricorn Management, LLCinvestment advisern
- Capricorn-Libra Partners, LLCinvestment adviserpooled vehicle sponsorn
- Sif Partners, LLCinvestment adviserpooled vehicle sponsory
- Sustainable Investors Fund Gp S.A R.L.investment adviserpooled vehicle sponsory
- Tif Partners II LLCinvestment adviserpooled vehicle sponsorn
- Tif Partners, LLCinvestment adviserpooled vehicle sponsorn
- Tigf Partners II, LLCinvestment adviserpooled vehicle sponsory
- Tigf Partners, LLCinvestment adviserpooled vehicle sponsory
Advisers that list Capricorn Investment Group LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY8 employees
ADV anomalies
6 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Apr 30, 2026ACOSTA, ALEXANDRA, IDALIA (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2013-04-01 and 2026-04-30peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Apr 30, 2026BERRYMAN, MARK, PATRICK (MEMBER) appeared on Schedule A between the filings of 2013-04-01 and 2026-04-30peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Apr 30, 2026Edwards, Michaela, Rodrigues (MEMBER) appeared on Schedule A between the filings of 2013-04-01 and 2026-04-30peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Apr 30, 2026YADIGAROGLU, ION (MEMBER/MANAGING PRINCIPAL) left Schedule A between the filings of 2013-04-01 and 2026-04-30peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Apr 30, 2026SKOLL, JEFFREY, STUART (SETTLOR AND TRUSTEE) left Schedule A between the filings of 2013-04-01 and 2026-04-30peers: independent wealth managers, $5B to $20B (289)
- RAUM up 50 %Change between filings · filing Apr 30, 2026RAUM (Item 5.F) moved from $12,466,367,985 to $18,852,861,507 (+51.0%) between the annual amendments of 2025-04-29 and 2026-04-30; the peer median change was +18.0% (271 comparable advisers, 90.0th percentile of changes)peers: independent wealth managers, $5B to $20B (271) · 90% percentile
What changed
consecutive filings, newest first
- Assets in custody · $13B to $13BMar 31, 2026 to Apr 30, 2026
- Private funds · 20 to 22Mar 31, 2026 to Apr 30, 2026
- Accounts · 32 to 34Feb 18, 2026 to Mar 31, 2026
- Advisory employees · 12 to 16Feb 18, 2026 to Mar 31, 2026
- Advisory activities · 3 to 4Feb 18, 2026 to Mar 31, 2026
- Pooled vehicle clients · 25 to 27Feb 18, 2026 to Mar 31, 2026
- Assets in custody · $7.7B to $13BFeb 18, 2026 to Mar 31, 2026
- Employees · 41 to 46Feb 18, 2026 to Mar 31, 2026
- HQ city · PALO ALTO to NEW YORKFeb 18, 2026 to Mar 31, 2026
- HQ state · CA to NYFeb 18, 2026 to Mar 31, 2026
- State-registered IARs · 0 to 1Feb 18, 2026 to Mar 31, 2026
- Discretionary RAUM · $8.4B to $14BFeb 18, 2026 to Mar 31, 2026
- HNW RAUM · $4.2B to $5.3BFeb 18, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $4.0B to $5.1BFeb 18, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $6.9B to $12BFeb 18, 2026 to Mar 31, 2026
- RAUM · $12B to $19BFeb 18, 2026 to Mar 31, 2026
- Other offices · 1 to 2Apr 29, 2025 to Feb 18, 2026
- Accounts · 33 to 32Mar 28, 2024 to Apr 29, 2025
- HNW clients · 6 to 5Mar 28, 2024 to Apr 29, 2025
- Assets in custody · $5.0B to $7.7BMar 28, 2024 to Apr 29, 2025
- Employees · 32 to 41Mar 28, 2024 to Apr 29, 2025
- Financial planning clients · unset to Mar 28, 2024 to Apr 29, 2025
- Discretionary RAUM · $5.9B to $8.4BMar 28, 2024 to Apr 29, 2025
- HNW RAUM · $3.6B to $4.2BMar 28, 2024 to Apr 29, 2025
- Non-discretionary RAUM · $3.5B to $4.0BMar 28, 2024 to Apr 29, 2025
- Pooled vehicle RAUM · $4.5B to $6.9BMar 28, 2024 to Apr 29, 2025
- RAUM · $9.4B to $12BMar 28, 2024 to Apr 29, 2025
- Accounts · 31 to 33Apr 17, 2023 to Mar 28, 2024
- HNW clients · 5 to 6Apr 17, 2023 to Mar 28, 2024
- Pooled vehicle clients · 24 to 25Apr 17, 2023 to Mar 28, 2024
- Assets in custody · $4.4B to $5.0BApr 17, 2023 to Mar 28, 2024
- Private funds · 19 to 20Apr 17, 2023 to Mar 28, 2024
- Discretionary RAUM · $5.5B to $5.9BApr 17, 2023 to Mar 28, 2024
- HNW RAUM · $3.4B to $3.6BApr 17, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $3.2B to $3.5BApr 17, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $4.0B to $4.5BApr 17, 2023 to Mar 28, 2024
- RAUM · $8.7B to $9.4BApr 17, 2023 to Mar 28, 2024
- Accounts · 30 to 31Mar 31, 2023 to Apr 17, 2023
- Pooled vehicle clients · 23 to 24Mar 31, 2023 to Apr 17, 2023
- Private funds · 18 to 19Mar 31, 2023 to Apr 17, 2023
Signals
5 dated events
- Capricorn Investment Group Llc reported RAUM $18.9B, up 51% from $12.5B (2026-02-18 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Capricorn Investment Group Llc reported RAUM $12.5B, up 33% from $9.4B (2024-03-28 to 2025-04-29)Apr 29, 2025 · RAUM change · derived
- Marie Dawnae Dodds (Chief Compliance Officer) no longer on Schedule A of Capricorn Investment Group Llc (listed 2021-08-24, absent 2021-10-06)Oct 6, 2021 · Control person left · inference
- Capricorn Investment Group Llc reported RAUM $8.5B, up 63% from $5.2B (2020-06-25 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Jay Barry Uphoff (Member) no longer on Schedule A of Capricorn Investment Group Llc (listed 2018-12-19, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- Capricorn Investment Group LLC · Independent Sponsorsshared crd · capital_provider
- Capricorn Investment Group LLC · Private Equityshared crd · organization
- Capricorn Investment Group LLC · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/capricorn-investment-groupreportedpublic record, Form ADV, Sep 17, 2026
- Website
- CAPRICORNLLC.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 646-289-3030reportedpublic record, Form ADV, Apr 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $19Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026