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•••••• Z• P••••••• M••••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Feb 13, 2012 · 16 filings
SEC status approved since Mar 30, 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
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$1.9B as of Mar 25, 2026
Mar 27, 2013$726M then
HNW client RAUM$0 as of Mar 25, 2026
Mar 6, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 27, 20130 then
Employees (5.A)5 as of Mar 25, 2026
Mar 27, 201312 then
Private funds5 as of Mar 25, 2026
Mar 27, 20135 then
RAUM +4.9% over the last fiscal year+44% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 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
- $389MderivedRAUM 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
- +4.9%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, fixed fees, 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
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)
- 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$1.9B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
16 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••• Z• P••••••• ••••• L• | Private Equity Fund | $635M | 80 | Mar 26, 2023 |
| C•••••• Z• P••••••• ••••••••• L••• | Private Equity Fund | $176M | 29 | Mar 26, 2021 |
| C•••••• Z• P••••••• ••••••••• L• | Private Equity Fund | $166M | 36 | Mar 26, 2020 |
| C•••••• Z• P••••••• ••••••••• L••• | Private Equity Fund | $107M | 24 | Mar 26, 2019 |
| C•••••• Z• P••••••• C•••••••• ••••• L•••no longer reported | Private Equity Fund | $74.4M | 23 | Mar 26, 2015 |
| C•••••• Z• P••••••• I•• U••••••••• L•••no longer reported | Private Equity Fund | $62.9M | 2 | Feb 13, 2012 |
| C•••••• Z• F•••••••• S••••••• F••• I•• L•••no longer reported | Private Equity Fund | $50.2M | 107 | Feb 13, 2012 |
| C•••••• Z• P••••••• C•••••• A••• L•••no longer reported | Private Equity Fund | $32.7M | 43 | Mar 28, 2016 |
| C•••••• Z• P••••••• I•• U••• L•••no longer reported | Private Equity Fund | $9.9M | 6 | Feb 13, 2012 |
| C•••••• Z• P••••••• I•• L•••no longer reported | Private Equity Fund | $2.3M | 18 | Mar 27, 2017 |
| C•••••• Z• P••••••• C•••••••• ••••••• L••• | Private Equity Fund | $1.6M | 18 | Mar 26, 2015 |
| C•••••• Z• P••••••• I• ••• L•••no longer reported | Private Equity Fund | $1.3M | 2 | Mar 27, 2017 |
| C•••••• Z• P••••••• I•• A••• L•••no longer reported | Private Equity Fund | $446,357 | 40 | Feb 13, 2012 |
| C•••••• Z• P••••••• I••• L••• | Private Equity Fund | $291,599 | 40 | Feb 13, 2012 |
| C•••••• Z• F•••••••• S••••••• P•••••• F••• I•• L•••no longer reported | Private Equity Fund | $274,427 | 34 | Feb 13, 2012 |
| C•••••• Z• P••••••• I•• C•••••••• ••••••••• L••• | Private Equity Fund | $128,023 | 20 | Mar 27, 2013 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• R•••••• V••••• · Chief Financial Officer And Chief Compliance Officercontrolsince 11/2006 · owns less than 5%
- C•••••• B••••••• E••• · Membercontrolsince 11/2006 · owns 50% to 75%
- K••••• J•••••••• D••••• · Partnercontrolsince 11/2006 · owns less than 5%
- S••••• R•••••• A••• · Membercontrolsince 11/2006 · owns 50% to 75%
Related persons
Schedule D 7.A
- C•••••• Z• P••••••• ••••••• G•• L•••pooled vehicle sponsorn
- C•••••• Z• P••••••• G•• L•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $1.9B to $1.9BMar 22, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $1.9B to $1.9BMar 22, 2025 to Mar 25, 2026
- RAUM · $1.9B to $1.9BMar 22, 2025 to Mar 25, 2026
- Financial planning clients · unset to Mar 21, 2024 to Mar 22, 2025
- Discretionary RAUM · $1.1B to $1.9BMar 21, 2024 to Mar 22, 2025
- Pooled vehicle RAUM · $1.1B to $1.9BMar 21, 2024 to Mar 22, 2025
- RAUM · $1.1B to $1.9BMar 21, 2024 to Mar 22, 2025
- Accounts · 7 to 5Mar 26, 2023 to Mar 21, 2024
- Charity clients · unset to 0.0Mar 26, 2023 to Mar 21, 2024
- Corporate clients · unset to 0.0Mar 26, 2023 to Mar 21, 2024
- HNW clients · unset to 0.0Mar 26, 2023 to Mar 21, 2024
- Individual clients · unset to 0.0Mar 26, 2023 to Mar 21, 2024
- Pension plan clients · unset to 0.0Mar 26, 2023 to Mar 21, 2024
- Pooled vehicle clients · 7 to 5Mar 26, 2023 to Mar 21, 2024
- Private funds · 7 to 5Mar 26, 2023 to Mar 21, 2024
- Discretionary RAUM · $654M to $1.1BMar 26, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $654M to $1.1BMar 26, 2023 to Mar 21, 2024
- RAUM · $654M to $1.1BMar 26, 2023 to Mar 21, 2024
- Accounts · 6 to 7Mar 29, 2022 to Mar 26, 2023
- Pooled vehicle clients · 6 to 7Mar 29, 2022 to Mar 26, 2023
- Private funds · 6 to 7Mar 29, 2022 to Mar 26, 2023
- Discretionary RAUM · $337M to $654MMar 29, 2022 to Mar 26, 2023
- Pooled vehicle RAUM · $337M to $654MMar 29, 2022 to Mar 26, 2023
- RAUM · $337M to $654MMar 29, 2022 to Mar 26, 2023
- Discretionary RAUM · $259M to $337MSep 2, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $259M to $337MSep 2, 2021 to Mar 29, 2022
- RAUM · $259M to $337MSep 2, 2021 to Mar 29, 2022
- HQ city · NEW YORK to NAPLESMar 26, 2021 to Sep 2, 2021
- HQ state · NY to FLMar 26, 2021 to Sep 2, 2021
- Accounts · 8 to 6Mar 26, 2020 to Mar 26, 2021
- Advisory employees · 5 to 3Mar 26, 2020 to Mar 26, 2021
- Pooled vehicle clients · 8 to 6Mar 26, 2020 to Mar 26, 2021
- Employees · 7 to 5Mar 26, 2020 to Mar 26, 2021
- Private funds · 8 to 6Mar 26, 2020 to Mar 26, 2021
- Discretionary RAUM · $147M to $259MMar 26, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $147M to $259MMar 26, 2020 to Mar 26, 2021
- RAUM · $147M to $259MMar 26, 2020 to Mar 26, 2021
- Discretionary RAUM · $444M to $147MMar 26, 2019 to Mar 26, 2020
- Pooled vehicle RAUM · $444M to $147MMar 26, 2019 to Mar 26, 2020
- RAUM · $444M to $147MMar 26, 2019 to Mar 26, 2020
Signals
6 dated events
- C•••••• Z• P••••••• M••••••••• L•• reported RAUM $1.9B, up 71% from $1.1B (2024-03-21 to 2025-03-22)Mar 22, 2025 · RAUM change · derived
- C•••••• Z• P••••••• M••••••••• L•• reported RAUM $1.1B, up 66% from $653.9M (2023-03-26 to 2024-03-21)Mar 21, 2024 · RAUM change · derived
- C•••••• Z• P••••••• M••••••••• L•• reported RAUM $653.9M, up 94% from $337.2M (2022-03-29 to 2023-03-26)Mar 26, 2023 · RAUM change · derived
- C•••••• Z• P••••••• M••••••••• L•• reported RAUM $259.3M, up 77% from $146.7M (2020-03-26 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- C•••••• Z• P••••••• M••••••••• L•• reported RAUM $146.7M, down 67% from $443.9M (2019-03-26 to 2020-03-26)Mar 26, 2020 · RAUM change · derived
- Bharath Subramanian (Partner) no longer on Schedule A of C•••••• Z• P••••••• M••••••••• L•• (listed 2018-03-06, absent 2019-03-26)Mar 26, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- C•••••• Z• P••••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- C•••••• Z• P••••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- w••.c•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-965-2456reportedpublic record, Form ADV, Mar 25, 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