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•••••• P•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Feb 14, 2012 · 35 filings
SEC status approved since Mar 21, 2012
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
38
25 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
12
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$1.9B as of Mar 30, 2026
Apr 1, 2013$204M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Apr 1, 20130 then
Employees (5.A)38 as of Mar 30, 2026
Apr 1, 201314 then
Private funds12 as of Mar 30, 2026
Apr 1, 20132 then
RAUM -1.8% over the last fiscal year-1.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $78.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.0%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
- -1.8%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1.2B, 23 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.9B98%
- Insurance companies$37.6M2.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 24reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2B for 23 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.98 institutional_share=0.02 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
17 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••• I•••••••• I•• L• | Private Equity Fund | $445M | 150 | Mar 29, 2018 |
| C•••••• C•• O••••••••• M••••• F••• I•• L• | Private Equity Fund | $211M | 105 | Mar 31, 2022 |
| V•• C••••••••• L• | Private Equity Fund | $60.2M | 36 | Mar 31, 2023 |
| C•••••• C•• O••••••••• M••••• F•••• L• | Private Equity Fund | $56.9M | 83 | Mar 27, 2020 |
| C•••••• I•••••••• I•• L••• | Private Equity Fund | $37.3M | 115 | Mar 31, 2014 |
| C•• C••••••••• L• | Private Equity Fund | $36.0M | 41 | Mar 31, 2023 |
| C•••••• S••••••••• C••••• I•••••••• F•••• L• | Other Private Fund | $33.0M | 37 | Mar 22, 2022 |
| C•••••• I•••••••• I• S••• L•no longer reported | Private Equity Fund | $24.5M | 0 | Mar 31, 2014 |
| C•••••• I•••••••• I•• S••• L•no longer reported | Private Equity Fund | $21.0M | 21 | Mar 29, 2018 |
| M•••••• L•••• C•••••••• L••• | Private Equity Fund | $13.6M | 25 | Mar 30, 2017 |
| T•••••• I••••••••• L•••no longer reported | Private Equity Fund | $12.7M | 44 | Feb 14, 2012 |
| C•••••• C•• S••• L•no longer reported | Private Equity Fund | $10.9M | 12 | Mar 27, 2020 |
| C•••••• C•• S•• I•• L•no longer reported | Private Equity Fund | $8.8M | 15 | Mar 31, 2022 |
| R••••••••• C••••••••• L• | Private Equity Fund | $180,195 | 13 | Mar 29, 2018 |
| C•••••• I•••••••• I•• L••• | Private Equity Fund | $163,581 | 165 | Mar 31, 2023 |
| C•••••• I•••••••• I• ••••••••• L••• | Private Equity Fund | $65,840 | 46 | Mar 31, 2023 |
| C•••••• M••••••••• P•••••••• L• | Private Equity Fund | $0 | 0 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• B••••• T••••••••• · Chief Financial Officercontrolsince 06/2021 · owns less than 5%
- K••••• E•••• D• · Partnercontrolsince 04/2002 · owns less than 5%
- S••••• J••••••• A••• · Chief Compliance Officer / General Counselcontrolsince 10/2024 · owns less than 5%
- U•••• M•••• A••• · Managing Partnercontrolsince 11/1999 · owns less than 5%
- K••••• E•••• D• · Managing Membercontrolsince 12/2012 · owns 25% to 50% of C•••••• O•••••••• G•• L••
- K••••• E•••• D• · Limited Partnercontrolsince 01/2013 · owns 25% to 50% of C•••••• C•••••• P•••••••• L•
- U•••• M•••• A••• · Managing Membercontrolsince 12/2012 · owns 50% to 75% of C•••••• O•••••••• G•• L••
- U•••• M•••• A••• · Limited Partnercontrolsince 12/2012 · owns 50% to 75% of C•••••• C•••••• P•••••••• L•
Entity owners
- C•••••• C•••••• P•••••••• L• · Sole Memberdirect · owns 75% or more
- C•••••• O•••••••• G•• L•• · General Partnerindirect · owns F of C•••••• C•••••• P•••••••• L•
Related persons
Schedule D 7.A
- C•••••• C•••••• M••••••••• G•• L••pooled vehicle sponsorn
- C•••••• C•••••• P•••••••• L•pooled vehicle sponsory
- C•••••• C•• G•• L•bankpooled vehicle sponsorn
- C•••••• C•• I• G•• L•bankpooled vehicle sponsorn
- C•••••• I•••••••• G• I•• L•bankpooled vehicle sponsorn
- C•••••• I•••••••• G• I••• L•bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Washington Depot, CT
What changed
consecutive filings, newest first
- Advisory employees · 19 to 25May 9, 2025 to Mar 30, 2026
- Assets in custody · $1.2B to $1.2BMay 9, 2025 to Mar 30, 2026
- Employees · 36 to 38May 9, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.9B to $1.9BMay 9, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.9B to $1.9BMay 9, 2025 to Mar 30, 2026
- RAUM · $1.9B to $1.9BMay 9, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 31, 2025 to May 9, 2025
- Accounts · 18 to 24Nov 22, 2024 to Mar 31, 2025
- Advisory employees · 23 to 19Nov 22, 2024 to Mar 31, 2025
- Pooled vehicle clients · 17 to 22Nov 22, 2024 to Mar 31, 2025
- Assets in custody · $896M to $1.2BNov 22, 2024 to Mar 31, 2025
- Employees · 34 to 36Nov 22, 2024 to Mar 31, 2025
- Private funds · 11 to 12Nov 22, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.7B to $1.9BNov 22, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.7B to $1.9BNov 22, 2024 to Mar 31, 2025
- RAUM · $1.7B to $1.9BNov 22, 2024 to Mar 31, 2025
- Related bank · true to falseNov 22, 2024 to Mar 31, 2025
- Private funds · 12 to 11Mar 29, 2024 to Apr 2, 2024
- Advisory employees · 17 to 23May 19, 2023 to Mar 29, 2024
- Assets in custody · $988M to $896MMay 19, 2023 to Mar 29, 2024
- Employees · 26 to 34May 19, 2023 to Mar 29, 2024
- Private funds · 11 to 12May 19, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.9B to $1.7BMay 19, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $1.9B to $1.7BMay 19, 2023 to Mar 29, 2024
- RAUM · $1.9B to $1.7BMay 19, 2023 to Mar 29, 2024
- Accounts · 19 to 18Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 18 to 17Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $0 to $988MMar 31, 2022 to Mar 31, 2023
- Employees · 24 to 26Mar 31, 2022 to Mar 31, 2023
- Other offices · 0 to 1Mar 31, 2022 to Mar 31, 2023
- Private funds · 12 to 11Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.1B to $1.9BMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.1B to $1.9BMar 31, 2022 to Mar 31, 2023
- RAUM · $1.1B to $1.9BMar 31, 2022 to Mar 31, 2023
- Accounts · 18 to 19Jun 22, 2021 to Mar 31, 2022
- Advisory employees · 15 to 17Jun 22, 2021 to Mar 31, 2022
- Pooled vehicle clients · 15 to 18Jun 22, 2021 to Mar 31, 2022
- Employees · 21 to 24Jun 22, 2021 to Mar 31, 2022
- Private funds · 10 to 12Jun 22, 2021 to Mar 31, 2022
- Discretionary RAUM · $842M to $1.1BJun 22, 2021 to Mar 31, 2022
Signals
6 dated events
- Adam Jeffrey Sipos (Chief Compliance Officer / General Counsel) appeared on Schedule A of C•••••• C•••••• P•••••••• L••Nov 22, 2024 · Control person joined · fact
- C•••••• C•••••• P•••••••• L•• reported RAUM $1.9B, up 84% from $1.1B (2022-03-31 to 2023-03-31)Mar 31, 2023 · ria raum c•••ge · derived
- C•••••• C•••••• P•••••••• L•• reported RAUM $1.1B, up 26% from $841.6M (2021-06-22 to 2022-03-31)Mar 31, 2022 · ria raum c•••ge · derived
- Tichatonga Brian Chibwe (Chief Compliance Officer/Chief Financial Officer) appeared on Schedule A of C•••••• C•••••• P•••••••• L••Jun 22, 2021 · Control person joined · fact
- Nmn Janice Chan (Chief Compliance Officer/Chief Financial Officer) no longer on Schedule A of C•••••• C•••••• P•••••••• L•• (listed 2021-05-07, absent 2021-06-22)Jun 22, 2021 · Control person left · inference
- C•••••• C•••••• P•••••••• L•• reported RAUM $744.5M, up 75% from $425.2M (2017-05-04 to 2018-03-29)Mar 29, 2018 · ria raum c•••ge · derived
Across DFX
shared identifiers only, never a name match
- C•••••• C•••••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- C•••••• C•••••• P•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- H•••://WWW.LINKEDIN.COM/COMPANY/C•••••••••-PARTNERSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-821-0111reportedpublic record, Form ADV, Mar 30, 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