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•••• I••••••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 50 filings
SEC status approved since Jun 29, 2011
RAUM
$2.5B
reported, Item 5.F
Discretionary
80%
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
80
30 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
8
reported on Schedule D
History
50 filings and snapshots on the tape
RAUM$2.5B as of Mar 31, 2026
Mar 30, 2012$5.1B 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)80 as of Mar 31, 2026
Apr 1, 2013110 then
Private funds8 as of Mar 31, 2026
Mar 30, 201224 then
RAUM -19% over the last fiscal year-16% a year over threeIARs 0 to 0offices 4 to 5
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
- $274MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 80%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- -19%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
- 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)
- 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$2.4B99%
- Insurance companies$20.2M0.8%
- 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
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.99 institutional_share=0.01 related_bd=true related_bank=true bd_reps=4.0derived
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
33 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••• R••••••• F••• I•• L••• | Real Estate Fund | $2.1B | 105 | Dec 21, 2017 |
| C•••• R••••••• F••• I• L••• | Real Estate Fund | $682M | 105 | Jun 27, 2013 |
| C••••••••• 2•••••••• L••••••no longer reported | Securitized Asset Fund | $675M | 19 | Mar 30, 2012 |
| A•••• 2••••••• R••••••••• I••• | Securitized Asset Fund | $399M | 30 | Mar 30, 2012 |
| C•• I• L••no longer reported | Real Estate Fund | $180M | 2 | Mar 30, 2012 |
| C•••• R••••••• F••• I• C••••••••• L••• | Real Estate Fund | $144M | 4 | Mar 31, 2015 |
| C••••••••• 2••••• R••••••••• I••• | Securitized Asset Fund | $104M | 2 | Mar 30, 2012 |
| J•• U• D••• C••••••••• V••••••• L•••no longer reported | Real Estate Fund | $84.8M | 4 | May 31, 2012 |
| C•••• R••••••• F••• I• L•••no longer reported | Real Estate Fund | $77.6M | 55 | Mar 30, 2012 |
| C•••• H••• Y•••• R••• E••••• D••• F••• I• L••• | Hedge Fund | $50.2M | 11 | Nov 10, 2015 |
| C•• I••• L••no longer reported | Real Estate Fund | $32.2M | 2 | Mar 31, 2015 |
| L••• H••• Y•••• C••• F••• I•• L••no longer reported | Real Estate Fund | $18.2M | 16 | Mar 30, 2012 |
| C•••• H••• Y•••• R••• E••••• D••• F••• I•• L•••no longer reported | Hedge Fund | $16.8M | 40 | Mar 31, 2014 |
| L••• R••• E••••• S•••••• S••••••••• M••••••• F••• L••no longer reported | Real Estate Fund | $7.6M | 5 | Mar 30, 2012 |
| A•••• 2••••• R••••••••• I•••no longer reported | Securitized Asset Fund | $6.9M | 9 | Mar 30, 2012 |
| C•••• R••••••• F••• I• C••••••••• I• •••• L••• | Real Estate Fund | $6.3M | 2 | Sep 9, 2016 |
| A•••• 2••••• R••••••••• I••• | Securitized Asset Fund | $5.8M | 13 | Mar 30, 2012 |
| A••• C•• F•••••• I•no longer reported | Securitized Asset Fund | $5.3M | 6 | Mar 30, 2012 |
| I••••••• O••••••••• P•••••••• L•••no longer reported | Real Estate Fund | $2.8M | 6 | Mar 30, 2012 |
| A•••• 2••••• R••••••••• I•••no longer reported | Securitized Asset Fund | $2.6M | 14 | Mar 30, 2012 |
| I••••••• O••••••••• P••••••• I•• L•••no longer reported | Real Estate Fund | $2.5M | 23 | Mar 30, 2012 |
| C•••• H••• Y•••• R••• E••••• D••• F••• I• L•••no longer reported | Real Estate Fund | $2.4M | 20 | Mar 30, 2012 |
| N••••• C•• C•• 2•••••• L•••••• | Securitized Asset Fund | $2.0M | 12 | Mar 30, 2012 |
| C•••• 2•••••• L••••••no longer reported | Securitized Asset Fund | $895,535 | 13 | Mar 30, 2012 |
| I••••• F••• I•• L•••no longer reported | Real Estate Fund | $734,787 | 34 | Mar 30, 2012 |
| L••• H••• Y•••• C••• F••• I• L••no longer reported | Real Estate Fund | $621,752 | 20 | Mar 30, 2012 |
| L••• D••••••••• R••• C••• F••• I• L••no longer reported | Real Estate Fund | $534,913 | 4 | Mar 30, 2012 |
| I••••• F••• I• L••no longer reported | Real Estate Fund | $446,416 | 32 | Mar 30, 2012 |
| A•••• 2••••••• R••••••••• I•••no longer reported | Securitized Asset Fund | $341,482 | 5 | Mar 30, 2012 |
| J•• C•• C•• 2•••••• L••••••no longer reported | Securitized Asset Fund | $268,407 | 46 | Mar 30, 2012 |
| A•••• 2••••••• R••••••••• I••• | Securitized Asset Fund | $173,377 | 3 | Mar 30, 2012 |
| J•• C•• C•• 2•••••• L••••••no longer reported | Securitized Asset Fund | $26,803 | 26 | Mar 30, 2012 |
| C•••• H••• Y•••• R••• E••••• D••• F••• I• L•••no longer reported | Real Estate Fund | $0 | 0 | Oct 4, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• L•••••••• S••••• · Senior Managing Director, Co-General Counsel And Chief Compliance Officercontrolsince 01/2011 · owns less than 5%
- C••••• J••••••• P•••••• · Presidentcontrolsince 01/2019 · owns less than 5%
- F•••••• A•••••• L••••••• · Chief Executive Officercontrolsince 04/2011 · owns less than 5%
- H••••••• P•••• A••••• · Executive Managing Directorcontrolsince 12/2010 · owns less than 5%
- L•••••• R•••••• C•••• · Executive Managing Directorcontrolsince 12/2010 · owns less than 5%
- W•••••• S••••••• B••••••••• · Managing Director And Chief Accounting Officercontrolsince 01/2022 · owns less than 5%
- C••••• J••••••• P•••••• · Member Of Board Of M••••••Scontrolsince 02/2010 · owns F of C•••• C•••••• P••••••• L••
- F•••••• A•••••• L••••••• · Membercontrolsince 07/2003 · owns 75% or more of I••••• C•••••• G•••• L••
- F•••••• A•••••• L••••••• · Member Of Board Of M••••••Scontrolsince 02/2010 · owns F of C•••• C•••••• P••••••• L••
- J••••••••• M••••••• G•••••• · Member Of Board Of M••••••Scontrolsince 05/2012 · owns F of C•••• C•••••• P••••••• L••
- R••••••• S•••••• J••••• · Member Of Board Of M••••••Scontrolsince 02/2010 · owns F of C•••• C•••••• P••••••• L••
- F•••••• K••••••••• D••• · Senior Managing Directorsince 09/2012 · owns less than 5%
- L••••• M•••• Z•• · Senior Managing Director, Co-General Counsel And Secretarysince 11/2013 · owns less than 5%
- P•••••• J••••••• T••••• · Senior Managing Directorsince 06/2023 · owns less than 5%
- S••••••••• J••• B••• · Senior Managing Directorsince 02/2022 · owns less than 5%
- T••• E•••••• C• · Managing Directorsince 09/2012 · owns less than 5%
- W••••• D••••• W••••• · Managing Directorsince 02/2022 · owns less than 5%
Entity owners
- C•••• C•••••• P••••••• L•• · Member, C•••• I••••••••• M••••••••• L••direct · owns 75% or more
- A••••• A••••••• L•• · Memberindirect · owns 75% or more of I••••• C•••• M•••••• L••
- I••••• C•••• D••••••••• I• L•• · Managing Memberindirect · owns F of I••••• C•••• H••••••• I• L••
- I••••• C•••• D••••••••• L•• · Managing Memberindirect · owns F of I••••• C•••• H••••••• L••
- I••••• C•••• H••••••• I• L•• · Memberindirect · owns 25% to 50% of C•••• C•••••• P••••••• L••
- I••••• C•••• H••••••• L•• · Memberindirect · owns 25% to 50% of C•••• C•••••• P••••••• L••
- I••••• C•••• M•••••• L•• · M••••••indirect · owns F of C•••• C•••••• P••••••• L••
- I••••• C•••••• G•••• L•• · Memberindirect · owns 75% or more of A••••• A••••••• L••
- I••••• C•••••• G•••• L•• · Memberindirect · owns 75% or more of I••••• C•••• D••••••••• I• L••
- I••••• C•••••• G•••• L•• · Memberindirect · owns 75% or more of I••••• C•••• D••••••••• L••
Related persons
Schedule D 7.A
- A••••• S••••••••• L••broker-dealern
- C•••• C•••••• P••••••• L••pooled vehicle sponsory
- C•••• H• D••••••••• I• L••investment adviserbankpooled vehicle sponsorn
- C•••• R••••• S••••••• L••investment companyn
- C•••• R• D••••••••• I• L••investment adviserpooled vehicle sponsorn
- C•••• R• D••••••••• I•• L••investment adviserpooled vehicle sponsorn
- C•••• S• M••••••••• L••investment advisery
- I•• C••••• M• D••••••••• L••investment adviserpooled vehicle sponsorn
- I•• R••••• L••investment companyn
- I••••• C•••••• G•••• L••pooled vehicle sponsory
- I••••• I••••••••• M••••••••• L••investment advisernRAUM $1.7B
- I••••• N•••• D••••••••• L••investment adviserpooled vehicle sponsorn
- I••••• R• D••••••••• I• L••investment adviserpooled vehicle sponsorn
- I••••• T••• D••••••••• L••investment adviserpooled vehicle sponsorn
- M• E•• D••••••••• L••investment adviserpooled vehicle sponsorn
- N•• A•••••• N•••••• I•••investment companyn
- R••• N•• C••••••••• G• L••investment adviserpooled vehicle sponsorn
Advisers that list C•••• I••••••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY22 employees
- Irving, TX6 employees
- Greenville, SC2 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusual affiliate densityStatic outlier · filing Mar 31, 2026distinct affiliate types checked on Item 7.A of 6.0 against a peer median of 2.0 (797 comparable advisers, 99.0th percentile, 5.4 robust deviations)peers: ASSET_M••••••, $1B to $5B (797) · 99% percentile
What changed
consecutive filings, newest first
- Employees · 85 to 80Nov 10, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.6B to $2.0BNov 10, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $504M to $504MNov 10, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $3.0B to $2.4BNov 10, 2025 to Mar 31, 2026
- RAUM · $3.1B to $2.5BNov 10, 2025 to Mar 31, 2026
- Other offices · 4 to 5May 30, 2025 to Nov 10, 2025
- Financial planning clients · unset to Mar 28, 2025 to May 30, 2025
- Accounts · 10 to 9Jul 29, 2024 to Mar 28, 2025
- BD registered reps · 3 to 4Jul 29, 2024 to Mar 28, 2025
- Pooled vehicle clients · 9 to 8Jul 29, 2024 to Mar 28, 2025
- Private funds · 9 to 8Jul 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $3.0B to $2.6BJul 29, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $511M to $504MJul 29, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $3.5B to $3.0BJul 29, 2024 to Mar 28, 2025
- RAUM · $3.5B to $3.1BJul 29, 2024 to Mar 28, 2025
- Employees · 90 to 85Jun 24, 2024 to Jul 29, 2024
- Pooled vehicle clients · 10 to 9Dec 20, 2023 to Mar 28, 2024
- Employees · 100 to 90Dec 20, 2023 to Mar 28, 2024
- Other offices · 5 to 4Dec 20, 2023 to Mar 28, 2024
- Discretionary RAUM · $3.3B to $3.0BDec 20, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $512M to $511MDec 20, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $3.8B to $3.5BDec 20, 2023 to Mar 28, 2024
- RAUM · $3.8B to $3.5BDec 20, 2023 to Mar 28, 2024
- Accounts · 11 to 10Aug 30, 2023 to Dec 20, 2023
- Private funds · 10 to 9Aug 30, 2023 to Dec 20, 2023
- Discretionary RAUM · $3.4B to $3.3BAug 30, 2023 to Dec 20, 2023
- Non-discretionary RAUM · $513M to $512MAug 30, 2023 to Dec 20, 2023
- Pooled vehicle RAUM · $3.9B to $3.8BAug 30, 2023 to Dec 20, 2023
- RAUM · $3.9B to $3.8BAug 30, 2023 to Dec 20, 2023
- Accounts · 12 to 11Mar 30, 2023 to Aug 30, 2023
- BD registered reps · 4 to 3Mar 30, 2023 to Aug 30, 2023
- Pooled vehicle clients · 11 to 10Mar 30, 2023 to Aug 30, 2023
- Private funds · 11 to 10Mar 30, 2023 to Aug 30, 2023
- Discretionary RAUM · $3.7B to $3.4BMar 30, 2023 to Aug 30, 2023
- Non-discretionary RAUM · $517M to $513MMar 30, 2023 to Aug 30, 2023
- Pooled vehicle RAUM · $4.2B to $3.9BMar 30, 2023 to Aug 30, 2023
- RAUM · $4.2B to $3.9BMar 30, 2023 to Aug 30, 2023
- Accounts · 14 to 12Oct 20, 2022 to Mar 30, 2023
- Pooled vehicle clients · 12 to 11Oct 20, 2022 to Mar 30, 2023
- Private funds · 12 to 11Oct 20, 2022 to Mar 30, 2023
Signals
4 dated events
- Edward George Carleton (Executive Managing Director) no longer on Schedule A of C•••• I••••••••• M••••••••• L•• (listed 2024-03-28, absent 2024-06-24)Jun 24, 2024 · Control person left · inference
- Andrew James Aston (Executive Managing Director And Chief Financial Officer) no longer on Schedule A of C•••• I••••••••• M••••••••• L•• (listed 2022-03-30, absent 2022-07-11)Jul 11, 2022 · Control person left · inference
- Stephen Waters (Vice President And Chief Accounting Officer) appeared on Schedule A of C•••• I••••••••• M••••••••• L••Jul 11, 2022 · Control person joined · fact
- Mcmurry Frank Garrison (Member Of Board Of Managers) no longer on Schedule A of C•••• I••••••••• M••••••••• L•• (listed 2018-04-25, absent 2019-01-07)Jan 7, 2019 · 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-705-5000reportedpublic 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
Across the graphs
C•••• I••••••••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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