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 31, 2026
First filing on the tape Feb 14, 2012 · 26 filings
SEC status approved since Mar 30, 2012
RAUM
$957M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$957M as of Mar 31, 2026
Mar 28, 2013$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20130 then
Employees (5.A)3 as of Mar 31, 2026
Mar 28, 201310 then
Private funds6 as of Mar 31, 2026
Mar 28, 20136 then
RAUM +49% over the last fiscal year+28% a year over threeIARs 0 to 0
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
- $160MderivedRAUM 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
- +49%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 pooled vehiclesreportedItem 5.G
- Custody
- $76.6M, 2 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$957M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $76.6M for 2 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••• C•••••• P•••••••• L••• | Hedge Fund | $240M | 68 | Feb 14, 2012 |
| C•••••• S•••••• L••• | Hedge Fund | $164M | 39 | Feb 14, 2012 |
| C•••••• C•••••• P••••••• 1••• L••• | Hedge Fund | $35.2M | 27 | Feb 14, 2012 |
| C•••••• S••••• M••••• F•••• L••• | Hedge Fund | $25.9M | 3 | Feb 14, 2012 |
| C•••••• S••••• 1••• L••• | Hedge Fund | $22.7M | 21 | Feb 14, 2012 |
| C•••••• C•••••• I••••••••• L••• | Hedge Fund | $10.3M | 5 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M••••• S••••• · Limited Partner Of C•••••• C•••••• M••••••••• L•••controlsince 01/2014 · owns 50% to 75%
- P•••••••• J••• R•••••• · Limited Partner Of C•••••• C•••••• M••••••••• L•••controlsince 01/2014 · owns 50% to 75%
- Z••••• J••••••• A••••• · Chief Compliance Officer And Chief Operating Officercontrolsince 12/2019 · owns less than 5%
- M••••• S••••• · Managing Membercontrolsince 01/2014 · owns 50% to 75% of C•••••• C•••••• M••••••••• G•• L•••••
- P•••••••• J••• R•••••• · Managing Membercontrolsince 01/2014 · owns 50% to 75% of C•••••• C•••••• M••••••••• G•• L•••••
Entity owners
- C•••••• C•••••• M••••••••• G•• L••••• · General Partner Of C•••••• C•••••• M••••••••• L•••direct · owns less than 5%
Related persons
Schedule D 7.A
- C•••••• C•••••• A•••••••• L•••••pooled vehicle sponsorn
- C•••••• O••••••••• M••••••••• L•••pooled vehicle sponsorn
- C•••••• S••••• A•••••••• 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 · $36.3M to $76.6MDec 17, 2025 to Mar 31, 2026
- Discretionary RAUM · $643M to $957MDec 17, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $643M to $957MDec 17, 2025 to Mar 31, 2026
- RAUM · $643M to $957MDec 17, 2025 to Mar 31, 2026
- HQ city · SCARSDALE to NEW YORKMar 31, 2025 to Dec 17, 2025
- Financial planning clients · unset to Oct 8, 2024 to Mar 31, 2025
- Discretionary RAUM · $498M to $643MOct 8, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $498M to $643MOct 8, 2024 to Mar 31, 2025
- RAUM · $498M to $643MOct 8, 2024 to Mar 31, 2025
- HQ city · NEW YORK to SCARSDALEMar 27, 2024 to Oct 8, 2024
- Assets in custody · $34.3M to $36.3MMar 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $452M to $498MMar 31, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $452M to $498MMar 31, 2023 to Mar 27, 2024
- RAUM · $452M to $498MMar 31, 2023 to Mar 27, 2024
- Assets in custody · $34.1M to $34.3MMar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $547M to $452MMar 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $547M to $452MMar 30, 2022 to Mar 31, 2023
- RAUM · $547M to $452MMar 30, 2022 to Mar 31, 2023
- Assets in custody · $40.6M to $34.1MMar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $620M to $547MMar 31, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $620M to $547MMar 31, 2021 to Mar 30, 2022
- RAUM · $620M to $547MMar 31, 2021 to Mar 30, 2022
- Advisory employees · 4 to 2Mar 30, 2020 to Mar 31, 2021
- Assets in custody · $461M to $40.6MMar 30, 2020 to Mar 31, 2021
- Employees · 5 to 3Mar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $461M to $620MMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $461M to $620MMar 30, 2020 to Mar 31, 2021
- RAUM · $461M to $620MMar 30, 2020 to Mar 31, 2021
- Assets in custody · $548M to $461MJan 22, 2020 to Mar 30, 2020
- Employees · 7 to 5Jan 22, 2020 to Mar 30, 2020
- Discretionary RAUM · $548M to $461MJan 22, 2020 to Mar 30, 2020
- Pooled vehicle RAUM · $548M to $461MJan 22, 2020 to Mar 30, 2020
- RAUM · $548M to $461MJan 22, 2020 to Mar 30, 2020
- Advisory employees · 5 to 4Mar 29, 2018 to Mar 29, 2019
- Assets in custody · $890M to $548MMar 29, 2018 to Mar 29, 2019
- Employees · 8 to 7Mar 29, 2018 to Mar 29, 2019
- Discretionary RAUM · $890M to $548MMar 29, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $890M to $548MMar 29, 2018 to Mar 29, 2019
- RAUM · $890M to $548MMar 29, 2018 to Mar 29, 2019
- Accounts · 9 to 6Mar 29, 2017 to Mar 29, 2018
Signals
7 dated events
- C•••••• C•••••• M••••••••• L••• reported RAUM $957.0M, up 49% from $643.5M (2025-12-17 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- C•••••• C•••••• M••••••••• L••• reported RAUM $643.5M, up 29% from $498.1M (2024-10-08 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- C•••••• C•••••• M••••••••• L••• reported RAUM $620.1M, up 35% from $461.0M (2020-03-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Gustave Thomas Hess (Chief Compliance Officer And Chief Operating Officer) no longer on Schedule A of C•••••• C•••••• M••••••••• L••• (listed 2019-03-29, absent 2020-01-22)Jan 22, 2020 · Control person left · inference
- Archer Jeffrey Zelin (Chief Compliance Officer And Chief Operating Officer) appeared on Schedule A of C•••••• C•••••• M••••••••• L•••Jan 22, 2020 · Control person joined · fact
- C•••••• C•••••• M••••••••• L••• reported RAUM $548.4M, down 38% from $889.7M (2018-03-29 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- C•••••• C•••••• M••••••••• L••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Feb 12, 2014 · Succession (Item 4) · fact
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••••••CAP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-949-3000reportedpublic 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