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••••••••• P••••••• M••••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Feb 13, 2012 · 21 filings
SEC status approved since Mar 14, 2012
RAUM
$390M
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
10
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$390M as of Mar 24, 2026
Mar 20, 2013$465M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 20, 20130 then
Employees (5.A)10 as of Mar 24, 2026
Mar 20, 201315 then
Private funds2 as of Mar 24, 2026
Mar 20, 20132 then
RAUM -10% over the last fiscal year+27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 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
- $195MderivedRAUM 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
- -10%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
- 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)
- 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$390M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••••• P••••••• I••• L•• | Private Equity Fund | $307M | 2 | Aug 8, 2014 |
| C••••••••• P•••••••• L••no longer reported | Private Equity Fund | $3.0M | 2 | Feb 13, 2012 |
| C••••••••• P••••••• I•• L•• | Private Equity Fund | $2.6M | 2 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• A•••••• J••• · Membercontrolsince 11/2015 · owns 10% to 25%
- D•••••• H••• Q•••• · Chief Financial Officer & Chief Compliance Officercontrolsince 07/2016 · owns 5% to 10%
- K•••• M••••••• S••••• · Managing Membercontrolsince 04/2000 · owns 25% to 50%
Related persons
Schedule D 7.A
- C••••••••• P••••••• M••••••••• I•• L••pooled vehicle sponsory
- C••••••••• P••••••• M••••••••• I••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $434M to $390MMar 5, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $434M to $390MMar 5, 2025 to Mar 24, 2026
- RAUM · $434M to $390MMar 5, 2025 to Mar 24, 2026
- Financial planning clients · unset to Feb 26, 2024 to Mar 5, 2025
- Discretionary RAUM · $310M to $434MFeb 26, 2024 to Mar 5, 2025
- Pooled vehicle RAUM · $310M to $434MFeb 26, 2024 to Mar 5, 2025
- RAUM · $310M to $434MFeb 26, 2024 to Mar 5, 2025
- Advisory employees · 8 to 7Aug 24, 2023 to Feb 26, 2024
- Employees · 11 to 10Aug 24, 2023 to Feb 26, 2024
- Discretionary RAUM · $207M to $310MAug 24, 2023 to Feb 26, 2024
- Pooled vehicle RAUM · $207M to $310MAug 24, 2023 to Feb 26, 2024
- RAUM · $207M to $310MAug 24, 2023 to Feb 26, 2024
- Discretionary RAUM · $190M to $207MMar 29, 2023 to Aug 24, 2023
- Pooled vehicle RAUM · $190M to $207MMar 29, 2023 to Aug 24, 2023
- RAUM · $190M to $207MMar 29, 2023 to Aug 24, 2023
- Accounts · 3 to 2Mar 29, 2022 to Mar 29, 2023
- Pooled vehicle clients · 3 to 2Mar 29, 2022 to Mar 29, 2023
- Assets in custody · 3006999.0 to unsetMar 29, 2022 to Mar 29, 2023
- Custody of client assets · true to falseMar 29, 2022 to Mar 29, 2023
- Employees · 12 to 11Mar 29, 2022 to Mar 29, 2023
- Private funds · 3 to 2Mar 29, 2022 to Mar 29, 2023
- Discretionary RAUM · $129M to $190MMar 29, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $129M to $190MMar 29, 2022 to Mar 29, 2023
- RAUM · $129M to $190MMar 29, 2022 to Mar 29, 2023
- Related adviser · true to falseMar 29, 2022 to Mar 29, 2023
- Advisory employees · 9 to 8Mar 16, 2021 to Mar 29, 2022
- Assets in custody · $31.6M to $3.0MMar 16, 2021 to Mar 29, 2022
- Employees · 13 to 12Mar 16, 2021 to Mar 29, 2022
- Discretionary RAUM · $107M to $129MMar 16, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $107M to $129MMar 16, 2021 to Mar 29, 2022
- RAUM · $107M to $129MMar 16, 2021 to Mar 29, 2022
- Advisory employees · 13 to 9Mar 10, 2020 to Mar 16, 2021
- Assets in custody · $32.6M to $31.6MMar 10, 2020 to Mar 16, 2021
- Employees · 15 to 13Mar 10, 2020 to Mar 16, 2021
- Discretionary RAUM · $114M to $107MMar 10, 2020 to Mar 16, 2021
- Pooled vehicle RAUM · $114M to $107MMar 10, 2020 to Mar 16, 2021
- RAUM · $114M to $107MMar 10, 2020 to Mar 16, 2021
- Advisory employees · 15 to 13Mar 30, 2019 to Mar 10, 2020
- Assets in custody · $49.4M to $32.6MMar 30, 2019 to Mar 10, 2020
- Employees · 17 to 15Mar 30, 2019 to Mar 10, 2020
Signals
4 dated events
- C••••••••• P••••••• M••••••••• L•• reported RAUM $433.9M, up 40% from $309.5M (2024-02-26 to 2025-03-05)Mar 5, 2025 · RAUM change · derived
- C••••••••• P••••••• M••••••••• L•• reported RAUM $309.5M, up 50% from $206.6M (2023-08-24 to 2024-02-26)Feb 26, 2024 · RAUM change · derived
- Michael Joshua Mack (Member) no longer on Schedule A of C••••••••• P••••••• M••••••••• L•• (listed 2021-03-16, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- C••••••••• P••••••• M••••••••• L•• reported RAUM $226.9M, down 43% from $401.2M (2017-03-16 to 2018-02-09)Feb 9, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- C••••••••• P••••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- C••••••••• P••••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/C•••••••••-PARTNERSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 949-725-6610reportedpublic record, Form ADV, Mar 24, 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