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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C••••• E••••• P•••••••
Legal name C••••• M••••••••• S•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Feb 14, 2012 · 27 filings
SEC status approved since Mar 30, 2012
RAUM
$644M
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
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$644M as of Mar 27, 2026
Apr 1, 2013$687M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Apr 1, 20130 then
Employees (5.A)2 as of Mar 27, 2026
Apr 1, 201314 then
Private funds4 as of Mar 27, 2026
Apr 1, 20132 then
RAUM +102% over the last fiscal year+15% 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
- $161MderivedRAUM 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
- +102%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
- $644M, 4 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)
- 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$644M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $644M for 4 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••• E••••• P••••••• I•• L••• | Private Equity Fund | $414M | 70 | Feb 14, 2012 |
| C••••• E••••• P••••••• I• L••• | Private Equity Fund | $517,642 | 48 | Feb 14, 2012 |
| S•••••• S••• L••no longer reported | Private Equity Fund | $25,838 | 6 | Mar 30, 2018 |
| S•• U• I••••••• L••no longer reported | Private Equity Fund | $22,042 | 11 | Mar 30, 2017 |
Owners and control persons
Schedule A and B, latest filing
- B••••• D••••• R• · Managing Directorcontrolsince 11/2003 · owns less than 5%
- C••••••• J••••••• · Chief Compliance Officer And Principal, Financecontrolsince 02/2005 · owns less than 5%
- M••••••••• P•••• G••••• · Manager And Managing Directorcontrolsince 11/2003 · owns less than 5%
- B••••• D••••• R• · Membercontrolsince 03/2021 · owns F of C••••• E••••• P•••••••• L••
- M••••••••• P•••• G••••• · Managercontrolsince 11/2003 · owns 75% or more of C••••• E••••• P•••••••• L••
Entity owners
- C••••• E••••• P•••••••• L•• · Owner And Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- C••••• E••••• P••••••• I• • G•• L•••pooled vehicle sponsorn
- C••••• E••••• P••••••• I• • G•• L•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Houston, TX1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $318,873,603 to $643,514,377 (+102.0%) between the annual amendments of 2025-03-20 and 2026-03-27; the peer median change was +8.0% (673 comparable advisers, 94.0th percentile of changes)peers: asset managers, $500M to $1B (673) · 94% percentile
What changed
consecutive filings, newest first
- Accounts · 1 to 4Mar 20, 2025 to Mar 27, 2026
- Pooled vehicle clients · 1 to 4Mar 20, 2025 to Mar 27, 2026
- Assets in custody · $274M to $644MMar 20, 2025 to Mar 27, 2026
- Private funds · 1 to 4Mar 20, 2025 to Mar 27, 2026
- Discretionary RAUM · $319M to $644MMar 20, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $319M to $644MMar 20, 2025 to Mar 27, 2026
- RAUM · $319M to $644MMar 20, 2025 to Mar 27, 2026
- Accounts · 2 to 1May 1, 2024 to Mar 20, 2025
- Pooled vehicle clients · 2 to 1May 1, 2024 to Mar 20, 2025
- Assets in custody · $414M to $274MMay 1, 2024 to Mar 20, 2025
- Financial planning clients · unset to May 1, 2024 to Mar 20, 2025
- Private funds · 2 to 1May 1, 2024 to Mar 20, 2025
- Discretionary RAUM · $459M to $319MMay 1, 2024 to Mar 20, 2025
- Pooled vehicle RAUM · $459M to $319MMay 1, 2024 to Mar 20, 2025
- RAUM · $459M to $319MMay 1, 2024 to Mar 20, 2025
- Assets in custody · $379M to $414MJul 25, 2023 to Mar 26, 2024
- Discretionary RAUM · $425M to $459MJul 25, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $425M to $459MJul 25, 2023 to Mar 26, 2024
- RAUM · $425M to $459MJul 25, 2023 to Mar 26, 2024
- Assets in custody · $286M to $379MMar 30, 2022 to Mar 24, 2023
- Discretionary RAUM · $286M to $425MMar 30, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · $286M to $425MMar 30, 2022 to Mar 24, 2023
- RAUM · $286M to $425MMar 30, 2022 to Mar 24, 2023
- Accounts · 3 to 2Mar 31, 2021 to Mar 30, 2022
- Pooled vehicle clients · 3 to 2Mar 31, 2021 to Mar 30, 2022
- Assets in custody · $449M to $286MMar 31, 2021 to Mar 30, 2022
- Employees · 3 to 2Mar 31, 2021 to Mar 30, 2022
- Private funds · 3 to 2Mar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $449M to $286MMar 31, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $449M to $286MMar 31, 2021 to Mar 30, 2022
- RAUM · $449M to $286MMar 31, 2021 to Mar 30, 2022
- Advisory employees · 3 to 2Mar 30, 2020 to Mar 30, 2021
- Assets in custody · $501M to $449MMar 30, 2020 to Mar 30, 2021
- Employees · 4 to 3Mar 30, 2020 to Mar 30, 2021
- Discretionary RAUM · $504M to $449MMar 30, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $504M to $449MMar 30, 2020 to Mar 30, 2021
- RAUM · $504M to $449MMar 30, 2020 to Mar 30, 2021
- Accounts · 4 to 3Mar 29, 2019 to Mar 30, 2020
- Pooled vehicle clients · 4 to 3Mar 29, 2019 to Mar 30, 2020
- Assets in custody · unset to 500720010.0Mar 29, 2019 to Mar 30, 2020
Signals
7 dated events
- C••••• E••••• P••••••• reported RAUM $643.5M, up 102% from $318.9M (2025-03-20 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- C••••• E••••• P••••••• reported RAUM $318.9M, down 31% from $459.1M (2024-05-01 to 2025-03-20)Mar 20, 2025 · RAUM change · derived
- C••••• E••••• P••••••• reported RAUM $425.1M, up 48% from $286.4M (2022-03-30 to 2023-03-24)Mar 24, 2023 · RAUM change · derived
- C••••• E••••• P••••••• reported RAUM $286.4M, down 36% from $449.4M (2021-03-31 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Horton David Kennedy (Executive Advisor) no longer on Schedule A of C••••• E••••• P••••••• (listed 2020-03-30, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Bruce Rothstein (Member) no longer on Schedule A of C••••• E••••• P••••••• (listed 2020-03-30, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- C••••• E••••• P••••••• reported RAUM $724.2M, up 26% from $575.9M (2017-06-19 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- C••••• E••••• P••••••• · Independent Sponsorsshared crd · capital_provider
- C••••• E••••• P••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-638-5005reportedpublic 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