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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Former SEC-registered adviser
C•••••••• A•••• M••••••••• L••
Latest filing Jul 26, 2012
First filing on the tape Feb 13, 2012 · 4 filings
RAUM
$1.9B
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$1.9B gross assets
History
4 filings and snapshots on the tape
RAUM$1.9B as of Jul 26, 2012
Feb 13, 2012$2.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds1 as of Jul 26, 2012
Feb 13, 20121 then
Practice profile
derived from the filing of Jul 26, 2012; 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
- $1.9BderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1.9B, 1 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)
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.9B for 1 clientsreported
- Compensation
- n/areported
- Class basis
- absent from the latest SEC rosterderived
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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••••• C••••••• L••• | Private Equity Fund | $1.9B | 400 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G•••••••• P•••• G• · Investment Committee Membercontrolsince 07/2012 · owns less than 5%
- H•••••••• L•••••••• R• · Investment Committee Membercontrolsince 07/2012 · owns less than 5%
- L•••••••• K••• M•••• · Chief Compliance Officercontrolsince 07/2012 · owns less than 5%
- M•••••••• K••••••• A• · Investment Committee Membercontrolsince 07/2012 · owns less than 5%
- M••••• R••• K• · Managing Directorcontrolsince 07/2007 · owns less than 5%
- S••••••••• T•••• C••••••••• · Financial Directorcontrolsince 11/2009 · owns less than 5%
- S••••• T••••••• A•••• · Chief Financial Officercontrolsince 07/2012 · owns less than 5%
- S••••••••• P•• · Investment Committee Membercontrolsince 07/2012 · owns less than 5%
Entity owners
- C•••••••• I••••••••• P••••••••• L••• · Sole Memberdirect · owns 75% or more
- C•••••••• C••••••• L••• · L•••••• Partnerindirect · owns F of C•••••••• Investment P•••••••••,L.P.
- C•••••••• C••••••••• T•••• I• · Shareholderindirect · owns 75% or more of C•••••••• I••••••••• G•• L••••••
- C•••••••• C••••••••• T•••• I• · Shareholderindirect · owns 75% or more of C•••••••• G•• L••••••
- C•••••••• G•• L•••••• · General Partnerindirect · owns F of C•••••••• C••••••• L•••
- C•••••••• I••••••••• G•• L•••••• · General Partnerindirect · owns F of C•••••••• Investment P•••••••••, LP
- N••••••• T•••• F•••••••• C•••••• ••••••••• L•••••• · Trusteeindirect · owns F of C•••••••• C••••••••• T•••• I•
- S•••••••• • C•• •••••••• · Registered Depository Unit Holderindirect · owns 25% to 50% of C•••••••• C••••••• L•••
Related persons
Schedule D 7.A
- C•••••••• D••••••• G•• L••pooled vehicle sponsorn
- C•••••••• G•• L••••••pooled vehicle sponsorn
- C•••••••• I••••••••• G•• L••••••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Charlotte, NC
What changed
consecutive filings, newest first
- Assets in custody · $2.1B to $1.9BMay 17, 2012 to Jul 26, 2012
- Discretionary RAUM · $2.1B to $1.9BMay 17, 2012 to Jul 26, 2012
- RAUM · $2.1B to $1.9BMay 17, 2012 to Jul 26, 2012
- Related adviser · true to falseMay 17, 2012 to Jul 26, 2012
- Related bank · true to falseMay 17, 2012 to Jul 26, 2012
- Related broker-dealer · true to falseMay 17, 2012 to Jul 26, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- C•••••••• A•••• M••••••••• L•• · Private Equityshared crd · organization
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
- Former SEC-registered adviserderiveda 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