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•••••• A•••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 31 filings
SEC status approved since Aug 24, 2010
RAUM
$5.9B
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
15
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$5.9B as of Mar 31, 2026
Mar 30, 2012$1.7B then
HNW client RAUM$0 as of Mar 31, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)15 as of Mar 31, 2026
Apr 1, 201310 then
Private funds2 as of Mar 31, 2026
Mar 30, 20121 then
RAUM -14% over the last fiscal year+20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $657MderivedRAUM 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
- -14%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
- $1.4B, 2 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$5.9B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.4B for 2 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
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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•••••••• B•••••••• F••• L•••••• | Hedge Fund | $2.3B | 3 | Feb 28, 2014 |
| M•••••••• M••••• F••• L••• | Hedge Fund | $1.6B | 228 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M••••• D••••• L••••••• · Principal & Portfolio Managercontrolsince 07/2010 · owns less than 5%
- R•••• A•••• S••••••• · Chief Financial Officer, Chief Compliance Officercontrolsince 07/2013 · owns less than 5%
- B••••••• P•••••• P•••••• · Shareholdercontrolsince 09/2010 · owns 75% or more of P•• H•••••• A•
- M••••• D••••• L••••••• · Managing Membercontrolsince 01/2012 · owns 75% or more of D•• I• L••
Entity owners
- C•••••• A•••• M••••••••• L• · Sole Memberdirect · owns 75% or more
- B•• I••••••••• 2• A• · Shareholderindirect · owns 75% or more of B&P Advisors Inc
- B•••••• • P••••••• A• · Shareholderindirect · owns 75% or more of B•• I••••••••• 2• A•
- P•• H•••••• A• · Shareholderindirect · owns 25% to 50% of B•••••• • P••••••• A•
- B•• A••••••• I••• · Memberindirect · owns 25% to 50% of C•• G• L••
- B•• A••••••• I••• · L•••••• Partnerindirect · owns 25% to 50% of C•••••• A•••• M••••••••• L•
- C•• G• L•• · General Partnerindirect · owns F of C•••••• A•••• M••••••••• L•
- D•• I• L•• · Managing Memberindirect · owns 50% to 75% of C•• G• L••
- D•• I• L•• · L•••••• Partnerindirect · owns 50% to 75% of C•••••• A•••• M••••••••• L•
Related persons
Schedule D 7.A
- B•••••• • P••••••• A•y
- C•••••• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 7 to 9Aug 5, 2025 to Mar 31, 2026
- Pooled vehicle clients · 7 to 9Aug 5, 2025 to Mar 31, 2026
- Assets in custody · $1.1B to $1.4BAug 5, 2025 to Mar 31, 2026
- Discretionary RAUM · $6.9B to $5.9BAug 5, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $6.9B to $5.9BAug 5, 2025 to Mar 31, 2026
- RAUM · $6.9B to $5.9BAug 5, 2025 to Mar 31, 2026
- Private funds · 1 to 2Mar 26, 2025 to Aug 5, 2025
- Advisory employees · 7 to 8Mar 28, 2024 to Mar 26, 2025
- Assets in custody · $2.0B to $1.1BMar 28, 2024 to Mar 26, 2025
- Employees · 13 to 15Mar 28, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 26, 2025
- Private funds · 2 to 1Mar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $4.8B to $6.9BMar 28, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $4.8B to $6.9BMar 28, 2024 to Mar 26, 2025
- RAUM · $4.8B to $6.9BMar 28, 2024 to Mar 26, 2025
- Accounts · 6 to 7Mar 29, 2023 to Mar 28, 2024
- Advisory employees · 5 to 7Mar 29, 2023 to Mar 28, 2024
- Pooled vehicle clients · 6 to 7Mar 29, 2023 to Mar 28, 2024
- Assets in custody · $1.7B to $2.0BMar 29, 2023 to Mar 28, 2024
- Employees · 11 to 13Mar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $3.4B to $4.8BMar 29, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $3.4B to $4.8BMar 29, 2023 to Mar 28, 2024
- RAUM · $3.4B to $4.8BMar 29, 2023 to Mar 28, 2024
- Advisory employees · 9 to 5Apr 26, 2022 to Mar 29, 2023
- Assets in custody · $2.0B to $1.7BApr 26, 2022 to Mar 29, 2023
- Employees · 15 to 11Apr 26, 2022 to Mar 29, 2023
- Discretionary RAUM · $6.6B to $3.4BApr 26, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $6.6B to $3.4BApr 26, 2022 to Mar 29, 2023
- RAUM · $6.6B to $3.4BApr 26, 2022 to Mar 29, 2023
- Assets in custody · $1.7B to $2.0BMar 29, 2021 to Mar 31, 2022
- Discretionary RAUM · $4.5B to $6.6BMar 29, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $4.5B to $6.6BMar 29, 2021 to Mar 31, 2022
- RAUM · $4.5B to $6.6BMar 29, 2021 to Mar 31, 2022
- Accounts · 5 to 6Mar 26, 2020 to Mar 29, 2021
- Pooled vehicle clients · 5 to 6Mar 26, 2020 to Mar 29, 2021
- Assets in custody · $2.0B to $1.7BMar 26, 2020 to Mar 29, 2021
- Employees · 14 to 15Mar 26, 2020 to Mar 29, 2021
- Discretionary RAUM · $2.7B to $4.5BMar 26, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $2.7B to $4.5BMar 26, 2020 to Mar 29, 2021
- RAUM · $2.7B to $4.5BMar 26, 2020 to Mar 29, 2021
Signals
6 dated events
- C•••••• A•••• M••••••••• L•• reported RAUM $6.9B, up 45% from $4.8B (2024-03-28 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- C•••••• A•••• M••••••••• L•• reported RAUM $4.8B, up 40% from $3.4B (2023-03-29 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- C•••••• A•••• M••••••••• L•• reported RAUM $3.4B, down 48% from $6.6B (2022-04-26 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- C•••••• A•••• M••••••••• L•• reported RAUM $6.6B, up 48% from $4.5B (2021-03-29 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- C•••••• A•••• M••••••••• L•• reported RAUM $4.5B, up 65% from $2.7B (2020-03-26 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- Nmn Julio Garcia (President, Chief Operating Officer) no longer on Schedule A of C•••••• A•••• M••••••••• L•• (listed 2019-10-10, absent 2020-01-07)Jan 7, 2020 · Control person left · inference
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
- Firm profile
- LINKEDIN.COM/COMPANY/C••••••-ASSET-MANAGEMENTreportedpublic record, Form ADV, Sep 19, 2026
- Website
- C••••••ASSET.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 646-553-2490reportedpublic record, Form ADV, Mar 31, 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