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••••••• E••••• C••••••
Legal name C••••••• E••••• M••••••••• L•
Latest filing Mar 27, 2026
First filing on the tape Feb 10, 2012 · 25 filings
SEC status approved since Mar 6, 2012
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$1.4B
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$1.4B as of Mar 27, 2026
Mar 26, 2013$1.1B then
HNW client RAUM$0 as of Mar 27, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)1 as of Mar 27, 2026
Mar 26, 20130 then
Employees (5.A)6 as of Mar 27, 2026
Mar 26, 20138 then
Private funds5 as of Mar 27, 2026
Mar 26, 20136 then
RAUM -5.1% over the last fiscal year-6.4% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $1.4BderivedRAUM 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
- $282MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -5.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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
- $949M, 5 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.4B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 5reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $949M for 5 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=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 |
|---|---|---|---|---|
| J••• R••••• C••••••• | Houston, Tx | Dec 1, 2015 | 23 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
none on the tape
Private funds
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••• E••••• C•••••• I••• L• | Private Equity Fund | $552M | 83 | Mar 30, 2016 |
| C••••••• E••••• C•••••• I•• L• | Private Equity Fund | $495M | 38 | Mar 23, 2020 |
| C••••••• E••••• C•••••• V• L• | Private Equity Fund | $487M | 40 | Mar 28, 2024 |
| C••••••• E••••• C•••••• I•• L• | Liquidity Fund | $216M | 97 | Feb 8, 2013 |
| C••••••• E••••• C•••••• I• T•• L• | Private Equity Fund | $26.1M | 15 | Feb 8, 2013 |
| C••••••• E••••• C••••••• L•no longer reported | Private Equity Fund | $7.0M | 44 | Feb 10, 2012 |
| C••••••• E••••• C•••••• F••••••• L•no longer reported | Private Equity Fund | $4.3M | 5 | Feb 10, 2012 |
| C••••••• E••••• C•••••• E••••• S••••••• L•no longer reported | Private Equity Fund | $3.2M | 8 | Feb 10, 2012 |
| C••••••• E••••• C•••••• E•••••• L•no longer reported | Private Equity Fund | $909,511 | 6 | Feb 10, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• S•••••• J••••• · Chief Compliance Officercontrolsince 04/2016 · owns less than 5%
- C•••••••• J•••• R••••• · Chief Executive Officer Of Registrantcontrolsince 03/2009 · owns 25% to 50%
- C•••••••• J•••• R••••• · Sole Membercontrolsince 03/2009 · owns 75% or more of C••••••• E••••• M••••••••• G•• L••
- C•••••••• J•••• R••••• · Sole Membercontrolsince 03/2009 · owns 75% or more of J•• G•• L••
- C•••••••• J•••• R••••• · Limited Partnercontrolsince 03/2009 · owns 25% to 50% of C••••••• I••••••••• L•
- C•••••••• K•••••••• A• · Limited Partnercontrolsince 03/2009 · owns 25% to 50% of C••••••• I••••••••• L•
- C•••••••• K•••••••• A• · Sole Membercontrolsince 03/2009 · owns 75% or more of K•• G•• L••
- H•••• C••••• A•••• · Sr. Managing Membercontrolsince 08/2007 · owns 25% to 50% of R•••• L••
- S••••• D•••••• H••••••• · Sr. Managing Membercontrolsince 08/1998 · owns 25% to 50% of R•••• L••
Entity owners
- C••••••• E••••• M••••••••• G•• L•• · General Partnerdirect · owns less than 5%
- C••••••• I••••••••• L• · Partner Of Registrantdirect · owns 25% to 50%
- J•• G•• L•• · General Partnerindirect · owns F of C••••••• I••••••••• L•
- K•• G•• L•• · General Partnerindirect · owns F of C••••••• I••••••••• L•
- R•••• L•• · Managing Memberindirect · owns F of R•••••••• C•••••• G••••• L••••.
- R••• G•• L•• · General Partnerindirect · owns F of R•••••••• Capital Investment Partners, L.P.
- R•• G•• L•• · General Partnerindirect · owns F of R•••••••• Capital Partners, L.P.
- R•••••••• C•••••• G••••• L•••• · General Partnerindirect · owns F of R•••••••• C•••••• I••••••••• P••••••• •••••••• L•••
- R•••••••• C•••••• G••••• L•••• · General Partnerindirect · owns F of R•••••••• C•••••• P••••••• •••••••• L•••
- R•••••••• C•••••• I••••••••• P••••••• •••••••• L••• · Limited Partnerindirect · owns 75% or more of R•••••••• Capital Investment Partners, L.P.
- R•••••••• C•••••• I••••••••• P••••••• •••••••• L••• · Memberindirect · owns 75% or more of R••• G•• L••
- R•••••••• C•••••• P••••••• •••••••• L••• · Limited Partnerindirect · owns 75% or more of R•••••••• Capital Partners, L.P.
- R•••••••• C•••••• P••••••• •••••••• L••• · Memberindirect · owns 75% or more of R•• G•• L••
- R•••••••• C•••••• I••••••••• P•••••••• L• · Partner Of Registrantdirect · owns 5% to 10%
- R•••••••• C•••••• P•••••••• L• · Partner Of Registrantdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- C•• F••• I• G•• L••pooled vehicle sponsorn
- C•• F••• I•• G•• L••pooled vehicle sponsorn
- C•• F••• I• G•• L••pooled vehicle sponsorn
- C•• F••• V• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Mar 27, 2026employees (Item 5.A) moved from 10.0 to 6.0 (-40.0%) between the annual amendments of 2025-04-03 and 2026-03-27; the peer median change was 0.0% (1109 comparable advisers, 2.0th percentile of changes)peers: asset managers, $1B to $5B (1,109) · 1.5% percentile
What changed
consecutive filings, newest first
- Advisory employees · 7 to 4Apr 3, 2025 to Mar 27, 2026
- Assets in custody · $801M to $949MApr 3, 2025 to Mar 27, 2026
- Employees · 10 to 6Apr 3, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.5B to $1.4BApr 3, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $1.5B to $1.4BApr 3, 2025 to Mar 27, 2026
- RAUM · $1.5B to $1.4BApr 3, 2025 to Mar 27, 2026
- Assets in custody · $1.1B to $801MOct 18, 2024 to Apr 3, 2025
- Financial planning clients · 1-10 to 1-10Oct 18, 2024 to Apr 3, 2025
- Discretionary RAUM · $1.8B to $1.5BOct 18, 2024 to Apr 3, 2025
- Pooled vehicle RAUM · $1.8B to $1.5BOct 18, 2024 to Apr 3, 2025
- RAUM · $1.8B to $1.5BOct 18, 2024 to Apr 3, 2025
- Accounts · 4 to 5Apr 3, 2023 to Mar 28, 2024
- Advisory employees · 8 to 7Apr 3, 2023 to Mar 28, 2024
- Pooled vehicle clients · 4 to 5Apr 3, 2023 to Mar 28, 2024
- Assets in custody · $1.4B to $1.1BApr 3, 2023 to Mar 28, 2024
- Private funds · 4 to 5Apr 3, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.7B to $1.8BApr 3, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.7B to $1.8BApr 3, 2023 to Mar 28, 2024
- RAUM · $1.7B to $1.8BApr 3, 2023 to Mar 28, 2024
- Advisory employees · 7 to 8Mar 30, 2022 to Mar 20, 2023
- Assets in custody · $1.2B to $1.4BMar 30, 2022 to Mar 20, 2023
- Discretionary RAUM · $1.5B to $1.7BMar 30, 2022 to Mar 20, 2023
- Pooled vehicle RAUM · $1.5B to $1.7BMar 30, 2022 to Mar 20, 2023
- RAUM · $1.5B to $1.7BMar 30, 2022 to Mar 20, 2023
- Advisory employees · 9 to 7Apr 1, 2021 to Mar 30, 2022
- Assets in custody · $956M to $1.2BApr 1, 2021 to Mar 30, 2022
- Employees · 12 to 10Apr 1, 2021 to Mar 30, 2022
- Discretionary RAUM · $1.3B to $1.5BApr 1, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $1.3B to $1.5BApr 1, 2021 to Mar 30, 2022
- RAUM · $1.3B to $1.5BApr 1, 2021 to Mar 30, 2022
- Assets in custody · $962M to $956MApr 1, 2020 to Mar 29, 2021
- Financial planning clients · unset to 1-10Apr 1, 2020 to Mar 29, 2021
- Discretionary RAUM · $1.6B to $1.3BApr 1, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $1.6B to $1.3BApr 1, 2020 to Mar 29, 2021
- RAUM · $1.6B to $1.3BApr 1, 2020 to Mar 29, 2021
- Accounts · 3 to 4Mar 29, 2019 to Mar 23, 2020
- Advisory employees · 10 to 9Mar 29, 2019 to Mar 23, 2020
- Pooled vehicle clients · 3 to 4Mar 29, 2019 to Mar 23, 2020
- Assets in custody · $1.1B to $962MMar 29, 2019 to Mar 23, 2020
- Employees · 13 to 12Mar 29, 2019 to Mar 23, 2020
Signals
1 dated events
- Lee Robert Finch (Chief Financial Officer & Chief Operating Officer) no longer on Schedule A of C••••••• E••••• C•••••• (listed 2020-04-01, absent 2021-03-29)Mar 29, 2021 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- C••••••• E••••• C•••••• · Independent Sponsorsshared crd · capital_provider
- C••••••• E••••• C•••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- H•••://WWW.C•••••••E•••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 713-554-6770reportedpublic record, Form ADV, Mar 27, 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
- $1.4Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026