DFX Intelligence
RIA Intelligence
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SEC-registered adviser
C•••••• R••• C•••••• M••••••••• L•••
Latest filing Feb 4, 2026
First filing on the tape Feb 1, 2012 · 18 filings
SEC status approved since Feb 13, 2012
RAUM
$204M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
25%
$51.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$204M as of Feb 4, 2026
Mar 4, 2013$139M then
HNW client RAUM$51.6M as of Feb 4, 2026
Feb 1, 2018$49.6M then
State-registered IARs (5.B.3)0 as of Feb 4, 2026
Mar 4, 20134 then
Employees (5.A)4 as of Feb 4, 2026
Mar 4, 20135 then
Private funds1 as of Feb 4, 2026
Mar 4, 20131 then
RAUM +15% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- $68.0MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $152M, 1 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$152M75%
- High-net-worth individuals$51.6M25%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $152M for 1 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.25 fund_share=0.75 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••• R••• F••• L•• | Hedge Fund | $128M | 44 | Feb 1, 2012 |
Owners and control persons
Schedule A and B, latest filing
- F•••••••• J••• H••••• · Managing Member, Chief Compliance Officercontrolsince 04/2005 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Assets in custody · $137M to $152MJan 31, 2025 to Feb 4, 2026
- Discretionary RAUM · $178M to $204MJan 31, 2025 to Feb 4, 2026
- HNW RAUM · $40.6M to $51.6MJan 31, 2025 to Feb 4, 2026
- Pooled vehicle RAUM · $137M to $152MJan 31, 2025 to Feb 4, 2026
- RAUM · $178M to $204MJan 31, 2025 to Feb 4, 2026
- Assets in custody · $128M to $137MJul 11, 2024 to Jan 31, 2025
- Financial planning clients · unset to Jul 11, 2024 to Jan 31, 2025
- Discretionary RAUM · $162M to $178MJul 11, 2024 to Jan 31, 2025
- HNW RAUM · $33.3M to $40.6MJul 11, 2024 to Jan 31, 2025
- Pooled vehicle RAUM · $128M to $137MJul 11, 2024 to Jan 31, 2025
- RAUM · $162M to $178MJul 11, 2024 to Jan 31, 2025
- Other offices · 0 to 1Jun 13, 2024 to Jul 11, 2024
- Advisory employees · 5 to 4Mar 15, 2023 to Feb 5, 2024
- Assets in custody · $114M to $128MMar 15, 2023 to Feb 5, 2024
- Employees · 5 to 4Mar 15, 2023 to Feb 5, 2024
- Discretionary RAUM · $135M to $162MMar 15, 2023 to Feb 5, 2024
- HNW RAUM · $21.1M to $33.3MMar 15, 2023 to Feb 5, 2024
- Pooled vehicle RAUM · $114M to $128MMar 15, 2023 to Feb 5, 2024
- RAUM · $135M to $162MMar 15, 2023 to Feb 5, 2024
- Advisory employees · 6 to 5Mar 4, 2022 to Mar 15, 2023
- Assets in custody · $165M to $114MMar 4, 2022 to Mar 15, 2023
- Employees · 6 to 5Mar 4, 2022 to Mar 15, 2023
- Discretionary RAUM · $211M to $135MMar 4, 2022 to Mar 15, 2023
- HNW RAUM · $46.6M to $21.1MMar 4, 2022 to Mar 15, 2023
- Pooled vehicle RAUM · $165M to $114MMar 4, 2022 to Mar 15, 2023
- RAUM · $211M to $135MMar 4, 2022 to Mar 15, 2023
- Assets in custody · $149M to $165MFeb 19, 2021 to Mar 4, 2022
- Employees · 7 to 6Feb 19, 2021 to Mar 4, 2022
- Discretionary RAUM · $187M to $211MFeb 19, 2021 to Mar 4, 2022
- HNW RAUM · $38.2M to $46.6MFeb 19, 2021 to Mar 4, 2022
- Pooled vehicle RAUM · $149M to $165MFeb 19, 2021 to Mar 4, 2022
- RAUM · $187M to $211MFeb 19, 2021 to Mar 4, 2022
- HNW RAUM · $29.0M to $38.2MJun 23, 2020 to Feb 19, 2021
- Pooled vehicle RAUM · $131M to $149MJun 23, 2020 to Feb 19, 2021
- RAUM · $160M to $187MJun 23, 2020 to Feb 19, 2021
- Accounts · 2 to 3Jun 23, 2020 to Feb 19, 2021
- Assets in custody · $131M to $149MJun 23, 2020 to Feb 19, 2021
- Discretionary RAUM · $160M to $187MJun 23, 2020 to Feb 19, 2021
- Advisory employees · 5 to 6Feb 18, 2019 to Jan 31, 2020
- Assets in custody · $99.7M to $131MFeb 18, 2019 to Jan 31, 2020
Signals
1 dated events
- Clayton Joseph Shugart (Managing Member) no longer on Schedule A of C•••••• R••• C•••••• M••••••••• L••• (listed 2018-02-01, absent 2019-02-18)Feb 18, 2019 · Control person left · inference
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••••••R•••CAP.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 847-282-7010reportedpublic record, Form ADV, Feb 4, 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
- Wealth manager with institutional or fund businessderiveda 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