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 18, 2026
First filing on the tape Mar 19, 2012 · 26 filings
SEC status approved since May 6, 2009
RAUM
$422M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$404M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$141M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$422M as of Mar 18, 2026
Mar 19, 2012$69.9M then
HNW client RAUM$383M as of Mar 18, 2026
Feb 27, 2018$151M then
State-registered IARs (5.B.3)3 as of Mar 18, 2026
Mar 19, 20120 then
Employees (5.A)4 as of Mar 18, 2026
Apr 2, 20132 then
Private funds: no history
RAUM +15% over the last fiscal year+21% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $141MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.2MderivedHNW RAUM over HNW clients
- Average account
- $932,259derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $63.6M, 54 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$383M91%
- Individuals$20.9M5.0%
- Pension and profit-sharing plans$18.5M4.4%
- Individual clients
- 83reported
- HNW clients
- 62reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 453reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $63.6M for 54 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• B•••••• | Saratoga Springs, Ny | Aug 10, 2009 | 23 y | 0 |
| M•••••• J•••• S•••••• | Saratoga Springs, Ny | Jun 25, 2012 | 21 y | 2 |
| M•••••• L•• | Saratoga Springs, Ny | Apr 12, 2017 | 12 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
- M•••••• J•••• S•••••• from P•• A••••••• S•••••••• L••Jun 25, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• E••• · Managing Member, Chief Investment Officer & Chief Compliance Officercontrolsince 06/2009 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Saratoga Springs, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 392 to 453Mar 4, 2025 to Mar 18, 2026
- HNW clients · 53 to 62Mar 4, 2025 to Mar 18, 2026
- Individual clients · 82 to 83Mar 4, 2025 to Mar 18, 2026
- Assets in custody · $60.8M to $63.6MMar 4, 2025 to Mar 18, 2026
- Discretionary RAUM · $366M to $422MMar 4, 2025 to Mar 18, 2026
- HNW RAUM · $329M to $383MMar 4, 2025 to Mar 18, 2026
- Individual RAUM · $19.1M to $20.9MMar 4, 2025 to Mar 18, 2026
- Pension RAUM · $18.2M to $18.5MMar 4, 2025 to Mar 18, 2026
- RAUM · $366M to $422MMar 4, 2025 to Mar 18, 2026
- Accounts · 362 to 392Apr 23, 2024 to Mar 4, 2025
- HNW clients · 50 to 53Apr 23, 2024 to Mar 4, 2025
- Individual clients · 63 to 82Apr 23, 2024 to Mar 4, 2025
- Pension plan clients · 3.0 to unsetApr 23, 2024 to Mar 4, 2025
- Assets in custody · $61.2M to $60.8MApr 23, 2024 to Mar 4, 2025
- Employees · 3 to 4Apr 23, 2024 to Mar 4, 2025
- Financial planning clients · unset to Apr 23, 2024 to Mar 4, 2025
- Discretionary RAUM · $296M to $366MApr 23, 2024 to Mar 4, 2025
- HNW RAUM · $268M to $329MApr 23, 2024 to Mar 4, 2025
- Individual RAUM · $12.2M to $19.1MApr 23, 2024 to Mar 4, 2025
- Pension RAUM · $16.1M to $18.2MApr 23, 2024 to Mar 4, 2025
- RAUM · $296M to $366MApr 23, 2024 to Mar 4, 2025
- Accounts · 336 to 362Feb 14, 2023 to Mar 15, 2024
- HNW clients · 53 to 50Feb 14, 2023 to Mar 15, 2024
- Individual clients · 52 to 63Feb 14, 2023 to Mar 15, 2024
- Assets in custody · $59.6M to $61.2MFeb 14, 2023 to Mar 15, 2024
- Discretionary RAUM · $241M to $296MFeb 14, 2023 to Mar 15, 2024
- HNW RAUM · $219M to $268MFeb 14, 2023 to Mar 15, 2024
- Individual RAUM · $7.4M to $12.2MFeb 14, 2023 to Mar 15, 2024
- Pension RAUM · $14.8M to $16.1MFeb 14, 2023 to Mar 15, 2024
- RAUM · $241M to $296MFeb 14, 2023 to Mar 15, 2024
- Accounts · 106 to 336Mar 23, 2022 to Feb 14, 2023
- HNW clients · 51 to 53Mar 23, 2022 to Feb 14, 2023
- Assets in custody · $59.6M to $59.6MMar 23, 2022 to Feb 14, 2023
- Other offices · 1 to 0Mar 23, 2022 to Feb 14, 2023
- Discretionary RAUM · $290M to $241MMar 23, 2022 to Feb 14, 2023
- HNW RAUM · $262M to $219MMar 23, 2022 to Feb 14, 2023
- Individual RAUM · $9.1M to $7.4MMar 23, 2022 to Feb 14, 2023
- Pension RAUM · $18.6M to $14.8MMar 23, 2022 to Feb 14, 2023
- RAUM · $290M to $241MMar 23, 2022 to Feb 14, 2023
- Accounts · 301 to 106Apr 19, 2021 to Mar 23, 2022
Signals
No event on the tape.
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
- Business email
- i•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- c•••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- m•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 518-339-4335reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 518-366-8307reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 518-618-9808reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- C•••••••P•••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (518) 339-4335reportedpublic record, Form ADV, Mar 18, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $141Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026