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••••••• I•• L••

Former SEC-registered adviserNew York, New YorkCRD 156726SEC 801-72349IAPD
Latest filing Mar 31, 2014
First filing on the tape Mar 30, 2012 · 4 filings
RAUM
$143M
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
6
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$143M gross assets
History
4 filings and snapshots on the tape
RAUM$143M as of Mar 31, 2014
Mar 30, 2012$75.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2014
Mar 30, 20120 then
Employees (5.A)6 as of Mar 31, 2014
Mar 27, 20135 then
Private funds3 as of Mar 31, 2014
Mar 27, 20131 then
RAUM +91% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2014; 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
$47.7MderivedRAUM 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
+91%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
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
3reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•••••• L•Hedge Fund$36.5M2Mar 27, 2013
      C•••••••• P••••••• I•• L•Hedge Fund$20.3M2Mar 31, 2014
      C•••••••• P••••••• I••• L•Hedge Fund$19.5M3Mar 31, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••• K•••••• D• · Director Of Business Development & Chief Operating Officercontrol
        since 01/2014 · owns less than 5%
      • K•••••••• T•• · Chief Financial Officer & Chief Compliance Officercontrol
        since 03/2014 · owns less than 5%
      • R••••••••• E•••• S••••• · Managing Member And Chief Executive Officercontrol
        since 08/2000 · owns 75% or more
      Related persons
      Schedule D 7.A
      • C•••••••• I••••••••• I•• L••
        pooled vehicle sponsorn
      • C•••••••• I••••••••• I••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · 0.0 to unset
        Apr 3, 2013 to Mar 31, 2014
      • Employees · 5 to 6
        Apr 3, 2013 to Mar 31, 2014
      • Private funds · 1 to 3
        Apr 3, 2013 to Mar 31, 2014
      • Discretionary RAUM · $75.0M to $143M
        Apr 3, 2013 to Mar 31, 2014
      • RAUM · $75.0M to $143M
        Apr 3, 2013 to Mar 31, 2014
      • Related adviser · false to true
        Apr 3, 2013 to Mar 31, 2014
      • Accounts · 56 to 3
        Mar 30, 2012 to Mar 27, 2013
      • Advisory employees · unset to 4.0
        Mar 30, 2012 to Mar 27, 2013
      • Employees · unset to 5.0
        Mar 30, 2012 to Mar 27, 2013
      • Private funds · unset to 1
        Mar 30, 2012 to Mar 27, 2013
      Signals
      No event on the tape.
      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
      C••••••••PARTNERS.COMreportedpublic record, Form ADV, Sep 19, 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
      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