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••••••• L•

Asset manager (funds and pooled vehicles)New York, New YorkCRD 155751SEC 801-72238website IAPD

Latest filing Mar 31, 2026

First filing on the tape Nov 29, 2011 · 38 filings

SEC status approved since Apr 7, 2011

RAUM

$7.0B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

13 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

38 filings and snapshots on the tape

RAUM$7.0B as of Mar 31, 2026

Mar 30, 2012$2.4B then

HNW client RAUM$0 as of Mar 31, 2026

Mar 30, 2018$0 then

State-registered IARs (5.B.3)0 as of Mar 31, 2026

Feb 28, 20130 then

Employees (5.A)29 as of Mar 31, 2026

Feb 28, 201322 then

Private funds10 as of Mar 31, 2026

Mar 30, 20128 then

RAUM +15% over the last fiscal year+14% 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: $502MderivedRAUM 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: +15%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 vehicles, portfolio management for investment companiesreportedItem 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

has discretionary authority over which securities are bought or sold (8.C.1)
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)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$5.7B81%
Corporations and businesses$963M14%
Investment companies$378M5.4%
Other investment advisers$2,0000.0%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 14reported
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=0.86 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

Every departure Every arrival

Private funds

18 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
C•••••• S••••• C••••• M••••• F•••• L••	Hedge Fund	$1.2B	39	Mar 30, 2012
C•••••• F•••••• O••••••••• F•••• L•••	Hedge Fund	$693M	24	Mar 30, 2012
C•••••• C•••••• P•••••••• L•••no longer reported	Hedge Fund	$605M	97	Mar 30, 2012
C•••••• K••••••• F•••••• F•••• L•••	Hedge Fund	$571M	2	Aug 25, 2016
C•••••• I••••••••• M•••••• F••• I••• L•••	Hedge Fund	$319M	69	Mar 30, 2022
C•••••• H••••• L••	Hedge Fund	$307M	1	Mar 30, 2012
C•••••• S••••••• M••••• F•••• L•••	Hedge Fund	$237M	3	Mar 30, 2012
C•••••• C•••••• S•••••••• F•••• L•	Private Equity Fund	$177M	2	Nov 18, 2022
C•••••• S• H•••••••• L•••	Hedge Fund	$161M	3	Feb 28, 2013
S•••• C•••••• C••••• F••• L••••••no longer reported	Hedge Fund	$123M	1	Feb 28, 2013
C•••••• A•••• L••• C••••• F•••• L•••no longer reported	Hedge Fund	$66.8M	3	Mar 30, 2012
C•••••• S••••• F•••• L•••	Hedge Fund	$44.2M	1	Feb 7, 2019
C•••••• S•• 2•••••• L••no longer reported	Hedge Fund	$24.0M	77	Mar 30, 2012
C•••••• F•••••• C••••• F•••• L•••no longer reported	Hedge Fund	$23.9M	11	Mar 30, 2012
C•••••• F•••••• C••••• L• F•••• L•••no longer reported	Hedge Fund	$23.4M	25	Feb 28, 2013
C•••••• I••••••••• M•••••• F•••• L•••no longer reported	Hedge Fund	$17.7M	18	Mar 30, 2016
C•••••• T••••••• C••••• F••• L•no longer reported	Hedge Fund	$7.5M	2	Aug 1, 2015
C•••••• I••••••••• M•••••• F••• I•• L•••no longer reported	Hedge Fund	$0	0	Mar 30, 2020

Owners and control persons

Schedule A and B, latest filing

B•••• T•••••• M••••••• · Chief Operating Officer And Chief Risk Officercontrol
since 07/2015 · owns less than 5%
C••••• A•••• S••••• · Managing Partnercontrol
since 12/2010 · owns 50% to 75%
C••••••• D••••• N••••• · Managing Partnercontrol
since 12/2010 · owns 25% to 50%
C••••••••• D•••••••• R••••• · General Counsel And Chief Compliance Officercontrol
since 01/2022 · owns less than 5%
M•••• C••••••••• M•••••• · Chief Financial Officercontrol
since 08/2015 · owns less than 5%
P••••••• T•••••••• G••• · Presidentcontrol
since 07/2015 · owns less than 5%
C••••• A•••• S••••• · Manager Membercontrol
since 12/2010 · owns 50% to 75% of C•••••• C•••••• G• L••
C••••••• D••••• N••••• · Manager Membercontrol
since 12/2010 · owns 25% to 50% of C•••••• C•••••• G• L••

Entity owners

C•••••• C•••••• G• L•• · General Partner
direct · owns less than 5%

Related persons

Schedule D 7.A

C•••••• C•• A•••••••• L••
bankpooled vehicle sponsorn
C•••••• C••••• A•••••••• L••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 13 to 14
Feb 26, 2026 to Mar 31, 2026
Advisory employees · 11 to 13
Feb 26, 2026 to Mar 31, 2026
Employees · 27 to 29
Feb 26, 2026 to Mar 31, 2026
Discretionary RAUM · $6.1B to $7.0B
Feb 26, 2026 to Mar 31, 2026
Pooled vehicle RAUM · $4.8B to $5.7B
Feb 26, 2026 to Mar 31, 2026
RAUM · $6.1B to $7.0B
Feb 26, 2026 to Mar 31, 2026
Private funds · 9 to 10
Mar 31, 2025 to Feb 26, 2026
Employees · 26 to 27
Mar 28, 2024 to Mar 31, 2025
Financial planning clients · unset to
Mar 28, 2024 to Mar 31, 2025
Discretionary RAUM · $5.1B to $6.1B
Mar 28, 2024 to Mar 31, 2025
Pooled vehicle RAUM · $3.8B to $4.8B
Mar 28, 2024 to Mar 31, 2025
RAUM · $5.1B to $6.1B
Mar 28, 2024 to Mar 31, 2025
Accounts · 14 to 13
Apr 25, 2023 to Mar 28, 2024
Advisory employees · 9 to 11
Apr 25, 2023 to Mar 28, 2024
Pooled vehicle clients · 11 to 10
Apr 25, 2023 to Mar 28, 2024
Employees · 25 to 26
Apr 25, 2023 to Mar 28, 2024
Discretionary RAUM · $4.8B to $5.1B
Apr 25, 2023 to Mar 28, 2024
Pooled vehicle RAUM · $3.8B to $3.8B
Apr 25, 2023 to Mar 28, 2024
RAUM · $4.8B to $5.1B
Apr 25, 2023 to Mar 28, 2024
Advisory employees · 8 to 9
Nov 18, 2022 to Mar 31, 2023
Employees · 24 to 25
Nov 18, 2022 to Mar 31, 2023
Private funds · 10 to 9
Nov 18, 2022 to Mar 31, 2023
Discretionary RAUM · $4.8B to $4.8B
Nov 18, 2022 to Mar 31, 2023
Pooled vehicle RAUM · $3.9B to $3.8B
Nov 18, 2022 to Mar 31, 2023
RAUM · $4.8B to $4.8B
Nov 18, 2022 to Mar 31, 2023
Private funds · 9 to 10
Jul 1, 2022 to Nov 18, 2022
Accounts · 12 to 14
Nov 12, 2021 to Mar 30, 2022
Pooled vehicle clients · 9 to 11
Nov 12, 2021 to Mar 30, 2022
Employees · 22 to 24
Nov 12, 2021 to Mar 30, 2022
Private funds · 8 to 9
Nov 12, 2021 to Mar 30, 2022
Discretionary RAUM · $4.1B to $4.8B
Nov 12, 2021 to Mar 30, 2022
Pooled vehicle RAUM · $3.2B to $3.9B
Nov 12, 2021 to Mar 30, 2022
RAUM · $4.1B to $4.8B
Nov 12, 2021 to Mar 30, 2022
Advisory employees · 9 to 8
Dec 26, 2020 to Mar 31, 2021
Corporate clients · unset to 1.0
Dec 26, 2020 to Mar 31, 2021
Employees · 23 to 22
Dec 26, 2020 to Mar 31, 2021
Private funds · 9 to 8
Dec 26, 2020 to Mar 31, 2021
Discretionary RAUM · $3.6B to $4.1B
Dec 26, 2020 to Mar 31, 2021
Pooled vehicle RAUM · $2.8B to $3.2B
Dec 26, 2020 to Mar 31, 2021
RAUM · $3.6B to $4.1B
Dec 26, 2020 to Mar 31, 2021

Signals

7 dated events

Abdon Bolivar (Chief Compliance Officer) no longer on Schedule A of C•••••• C••••••• L• (listed 2022-03-30, absent 2022-07-01)
Jul 1, 2022 · Control person left · inference
Yates Curtis Arledge (Equity Holder) no longer on Schedule A of C•••••• C••••••• L• (listed 2021-11-12, absent 2022-03-30)
Mar 30, 2022 · Control person left · inference
Ronald Dominick Cromartie (General Counsel) appeared on Schedule A of C•••••• C••••••• L•
Mar 30, 2022 · Control person joined · fact
Abdon Bolivar (Chief Compliance Officer) appeared on Schedule A of C•••••• C••••••• L•
Nov 12, 2021 · Control person joined · fact
Kittredge Adele Murray (General Counsel And Chief Compliance Officer) no longer on Schedule A of C•••••• C••••••• L• (listed 2021-04-27, absent 2021-11-12)
Nov 12, 2021 · Control person left · inference
Kathryn Murtagh (General Counsel) no longer on Schedule A of C•••••• C••••••• L• (listed 2020-04-28, absent 2020-12-26)
Dec 26, 2020 · Control person left · inference
Yates Curtis Arledge (Equity Holder) appeared on Schedule A of C•••••• C••••••• L•
Dec 26, 2020 · Control person joined · fact

Across DFX

shared identifiers only, never a name match

C•••••• C••••••• L• · Independent Sponsors
shared crd · capital_provider
C•••••• C••••••• L• · Private Equity
shared crd · organization

How to reach

public business contact points only, each with its source

Website: caspianlp.comreportedpublic record, Form ADV, Sep 19, 2026
Principal office phone: 212.826.6970reportedpublic 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