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•••••• M••••••••• L•
Latest filing Mar 27, 2026
First filing on the tape Feb 14, 2012 · 20 filings
SEC status approved since Mar 30, 2012
RAUM
$1.1B
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
21
17 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
17
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$1.1B as of Mar 27, 2026
Mar 28, 2013$876M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 28, 20130 then
Employees (5.A)21 as of Mar 27, 2026
Mar 28, 201317 then
Private funds17 as of Mar 27, 2026
Mar 28, 20139 then
RAUM +8.1% over the last fiscal year+3.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $62.6MderivedRAUM 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
- +8.1%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
- 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.1B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 17reported
- 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=1.0 institutional_share=0.0 related_bd=false related_bank=false 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
Private funds
19 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••• P••••••• V• •••••• L• | Private Equity Fund | $242M | 33 | Mar 31, 2017 |
| C•••••• P••••••• V• •••••• L• | Private Equity Fund | $202M | 56 | Mar 30, 2022 |
| C•••••• P••••••• I•• L• | Private Equity Fund | $137M | 45 | Feb 14, 2012 |
| C•••••• E••••• P••••••• I••• L• | Private Equity Fund | $115M | 29 | Mar 28, 2014 |
| C•••••• P••••••• V•• L• | Private Equity Fund | $76.6M | 4 | Mar 30, 2022 |
| C•••••• P••••••• V• L• | Private Equity Fund | $68.9M | 8 | Mar 30, 2015 |
| C•••••• E••••• P••••••• I•• L• | Private Equity Fund | $43.1M | 7 | Mar 30, 2022 |
| C•••••• P••••••• I••• L• | Private Equity Fund | $33.1M | 51 | Feb 14, 2012 |
| C•••••• P••••••• V••• L• | Private Equity Fund | $25.1M | 4 | Mar 30, 2015 |
| C•••••• E••••• P••••••• E•••••••• I•• L• | Private Equity Fund | $22.3M | 50 | Mar 30, 2022 |
| C•••••• E••••• P••••••• I•• L• | Private Equity Fund | $21.2M | 29 | Feb 14, 2012 |
| C•••••• E••••• P••••••• E•••••••• I••• L• | Private Equity Fund | $7.2M | 46 | Mar 28, 2014 |
| C•••••• P••••••• E•••••••• V• L• | Private Equity Fund | $3.3M | 26 | Mar 30, 2015 |
| C•••••• P••••••• E•••••••• I•• L• | Private Equity Fund | $1.2M | 26 | Feb 14, 2012 |
| C•••••• E••••• P••••••• E•••••••• I•• L• | Private Equity Fund | $552,226 | 25 | Feb 14, 2012 |
| C•••••• P••••••• E•••••••• I••• L• | Private Equity Fund | $303,198 | 20 | Feb 14, 2012 |
| C•••••• M•••••••• P••••••• I•• L•no longer reported | Private Equity Fund | $0 | 2 | Feb 14, 2012 |
| C•••••• P•••••• E••••• P••••••• I• L•no longer reported | Private Equity Fund | $0 | 28 | Feb 14, 2012 |
| C•••••• M•••••••• P••••••• I•••• L•no longer reported | Private Equity Fund | $0 | 31 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••• G••••••• N•• · Managing Director, C•••••• C•••••• M••••••••• L•controlsince 02/1999 · owns less than 5%
- F••••••••• A••••• G••• · Managing Director, C•••••• C•••••• M••••••••• L•controlsince 09/2008 · owns less than 5%
- H••••••• G••••••• J•••• · Managing Director, C•••••• C•••••• M••••••••• L•controlsince 06/1997 · owns less than 5%
- J••••••• H••••••••• C••• · Managing Director, C•••••• C•••••• M••••••••• L•controlsince 09/2008 · owns less than 5%
- K•••• M••••••• A••• · Managing Director, C•••••• C•••••• M••••••••• L•controlsince 08/1997 · owns 10% to 25%
- M•••••• M••••••• J••••• · Managing Director, C•••••• C•••••• M••••••••• L•controlsince 04/1999 · owns less than 5%
- U•••••••• J••••• B•••• · President, C•••••• C•••••• M••••••••• L•controlsince 06/1997 · owns 75% or more
- W•••••• E•••• C••• · Chief Financial Officer And Chief Compliance Officer, C•••••• C•••••• M••••••••• L•controlsince 10/2020 · owns less than 5%
- U•••••••• J••••• B•••• · Managercontrolsince 06/1997 · owns 75% or more of C•••••• C•••••• M••••••••• L••
Entity owners
- C•••••• C•••••• M••••••••• L•• · General Partner, C•••••• C•••••• M••••••••• L•direct · owns less than 5%
Related persons
Schedule D 7.A
- C•••••• G•• I••• L•pooled vehicle sponsorn
- C•••••• G•• I•• L•pooled vehicle sponsorn
- C•••••• P••••••• V• ••••• G•• L•pooled vehicle sponsorn
- C•• I•• L•pooled vehicle sponsorn
- C• I••• L•pooled vehicle sponsorn
- C• I•• L•pooled vehicle sponsorn
- G•• V• L•pooled vehicle sponsorn
- G•• V• •••••• L•pooled vehicle sponsorn
- G•• V•• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 16 to 17Apr 3, 2025 to Mar 27, 2026
- Advisory employees · 16 to 17Apr 3, 2025 to Mar 27, 2026
- Pooled vehicle clients · 16 to 17Apr 3, 2025 to Mar 27, 2026
- Employees · 20 to 21Apr 3, 2025 to Mar 27, 2026
- Private funds · 16 to 17Apr 3, 2025 to Mar 27, 2026
- Discretionary RAUM · $985M to $1.1BApr 3, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $985M to $1.1BApr 3, 2025 to Mar 27, 2026
- RAUM · $985M to $1.1BApr 3, 2025 to Mar 27, 2026
- Financial planning clients · unset to May 17, 2024 to Apr 3, 2025
- Discretionary RAUM · $999M to $985MMay 17, 2024 to Apr 3, 2025
- Pooled vehicle RAUM · $999M to $985MMay 17, 2024 to Apr 3, 2025
- RAUM · $999M to $985MMay 17, 2024 to Apr 3, 2025
- Discretionary RAUM · $999M to $999MMar 28, 2024 to May 17, 2024
- Pooled vehicle RAUM · $999M to $999MMar 28, 2024 to May 17, 2024
- RAUM · $999M to $999MMar 28, 2024 to May 17, 2024
- Financial planning clients · 0 to unsetMar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $965M to $999MMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $965M to $999MMar 30, 2023 to Mar 28, 2024
- RAUM · $965M to $999MMar 30, 2023 to Mar 28, 2024
- Advisory employees · 14 to 16Mar 30, 2022 to Mar 30, 2023
- Employees · 19 to 20Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $957M to $965MMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $957M to $965MMar 30, 2022 to Mar 30, 2023
- RAUM · $957M to $965MMar 30, 2022 to Mar 30, 2023
- Accounts · 12 to 16Mar 31, 2021 to Mar 30, 2022
- Pooled vehicle clients · 12 to 16Mar 31, 2021 to Mar 30, 2022
- Assets in custody · $547M to $0Mar 31, 2021 to Mar 30, 2022
- Private funds · 12 to 16Mar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $744M to $957MMar 31, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $744M to $957MMar 31, 2021 to Mar 30, 2022
- RAUM · $744M to $957MMar 31, 2021 to Mar 30, 2022
- Assets in custody · $466M to $547MMar 31, 2020 to Mar 31, 2021
- Discretionary RAUM · $696M to $744MMar 31, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $696M to $744MMar 31, 2020 to Mar 31, 2021
- RAUM · $696M to $744MMar 31, 2020 to Mar 31, 2021
- Advisory employees · 13 to 14Mar 29, 2019 to Mar 31, 2020
- Assets in custody · $405M to $466MMar 29, 2019 to Mar 31, 2020
- Employees · 18 to 19Mar 29, 2019 to Mar 31, 2020
- Discretionary RAUM · $647M to $696MMar 29, 2019 to Mar 31, 2020
- Pooled vehicle RAUM · $647M to $696MMar 29, 2019 to Mar 31, 2020
Signals
4 dated events
- C•••••• C•••••• M••••••••• L• reported RAUM $957.1M, up 29% from $744.3M (2021-03-31 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Gordon Robert Morrish (Evp & General Counsel, C•••••• C•••••• M••••••••• L•) no longer on Schedule A of C•••••• C•••••• M••••••••• L• (listed 2021-03-31, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Carl Eric Wauthy (Chief Financial Officer, C•••••• C•••••• M••••••••• L•) appeared on Schedule A of C•••••• C•••••• M••••••••• L•Mar 31, 2021 · Control person joined · fact
- Laurence Gregory Brackett (Chief Financial Officer, C•••••• C•••••• M••••••••• L•) no longer on Schedule A of C•••••• C•••••• M••••••••• L• (listed 2020-03-31, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- C•••••• C•••••• M••••••••• L• · Independent Sponsorsshared crd · capital_provider
- C•••••• C•••••• M••••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- C••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (310) 996-9585reportedpublic 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026