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•••••• A•••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Feb 14, 2012 · 21 filings
SEC status approved since Mar 30, 2012
RAUM
$3.1B
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
23
15 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
15
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$3.1B as of Mar 31, 2026
Mar 27, 2013$1.6B then
HNW client RAUM$0 as of Mar 31, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 27, 20130 then
Employees (5.A)23 as of Mar 31, 2026
Mar 27, 201317 then
Private funds15 as of Mar 31, 2026
Mar 27, 201311 then
RAUM +8.4% over the last fiscal year+18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $206MderivedRAUM 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
- +8.4%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
- yesreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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$3.1B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 15reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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
24 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••• C•••••• I•••• H•••••••• L••• | Private Equity Fund | $893M | 40 | Mar 27, 2024 |
| C••••• C•••••• P••••••• V• L••• | Private Equity Fund | $576M | 78 | Mar 30, 2016 |
| C••••• C•••••• P••••••• V•• L••• | Private Equity Fund | $508M | 24 | Mar 30, 2022 |
| C••••• X•••• L•• | Private Equity Fund | $196M | 5 | Mar 30, 2022 |
| C••••• X••• L•• | Private Equity Fund | $191M | 11 | Mar 29, 2019 |
| C••••• X••••• L•• | Private Equity Fund | $107M | 9 | Mar 30, 2021 |
| C••••• X•••• L•• | Private Equity Fund | $68.7M | 7 | Mar 30, 2021 |
| C••••• X•• L•• | Private Equity Fund | $45.6M | 5 | Mar 29, 2018 |
| C••••• C•••••• P••••••• V• S••••••••• L••• | Private Equity Fund | $38.2M | 16 | Mar 30, 2022 |
| C••••• C•••••• P••••••• V• S••••••••• L••• | Private Equity Fund | $17.8M | 28 | Mar 30, 2016 |
| C••••• C•••••• P••••••• I••• L•••no longer reported | Private Equity Fund | $8.2M | 52 | Feb 14, 2012 |
| C••••• C•••••• P••••••• I•• L•••no longer reported | Private Equity Fund | $7.2M | 51 | Feb 14, 2012 |
| C••••• X•••• L••no longer reported | Private Equity Fund | $6.0M | 8 | Mar 31, 2015 |
| C••••• X•• L••no longer reported | Private Equity Fund | $2.1M | 10 | Mar 27, 2013 |
| C••••• C•••••• P••••••• I•• L•••no longer reported | Private Equity Fund | $1.4M | 35 | Feb 14, 2012 |
| C••••• X•• L••no longer reported | Private Equity Fund | $975,000 | 10 | Feb 14, 2012 |
| C••••• X••• L•• | Private Equity Fund | $742,033 | 11 | Mar 29, 2018 |
| C••••• X• L••no longer reported | Private Equity Fund | $326,895 | 7 | Feb 14, 2012 |
| C••••• C•••••• P••••••• I• S••••••••• L•••no longer reported | Private Equity Fund | $303,639 | 36 | Feb 14, 2012 |
| C••••• C•••••• O••••••• P••••••• I•• L•••no longer reported | Private Equity Fund | $303,385 | 17 | Feb 14, 2012 |
| C••••• X••••• L••no longer reported | Private Equity Fund | $0 | 5 | Mar 30, 2016 |
| C••••• X••• L••no longer reported | Private Equity Fund | $0 | 3 | Feb 14, 2012 |
| C••••• X••• L••no longer reported | Private Equity Fund | $0 | 9 | Mar 27, 2013 |
| C••••• X••• L••no longer reported | Private Equity Fund | $0 | 6 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• K••••• R•• · Managing Director/General Counselcontrolsince 01/2007 · owns 10% to 25%
- D•••••• D•••••• B•••• · Chief Compliance Officer And Chief Financial Officercontrolsince 09/2014 · owns less than 5%
- F••••••• J••••• T••••• · Managing Partnercontrolsince 01/2007 · owns 25% to 50%
- F••••••• B••••• F••• · Managing Directorcontrolsince 08/2017 · owns less than 5%
- H••••• J••••• A••••• · Managing Directorcontrolsince 01/2011 · owns less than 5%
- T•••••• E••••• E••• · Managing Directorcontrolsince 01/2015 · owns less than 5%
- W••••• P•••• F•••••• · Senior Managing Directorcontrolsince 09/2015 · owns less than 5%
- W••••••••• M•••• N•••••• · Managing Partnercontrolsince 01/2007 · owns 25% to 50%
- F••••••• J••••• T••••• · Co-Presidentcontrolsince 01/2007 · owns 50% to 75% of C••••• Capital Management, Inc
- W••••••••• M•••• N•••••• · Co-Presidentcontrolsince 01/2007 · owns 50% to 75% of C••••• Capital Management, Inc
Entity owners
- C••••• C•••••• M••••••••• I••• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- C••••• C•••••• I•••••••• V• L•••pooled vehicle sponsorn
- C••••• C•••••• I•••••••• V•• L•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Boston, MA6 employees
What changed
consecutive filings, newest first
- Accounts · 13 to 15Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 14 to 15Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 13 to 15Mar 31, 2025 to Mar 31, 2026
- Employees · 22 to 23Mar 31, 2025 to Mar 31, 2026
- Private funds · 13 to 15Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.9B to $3.1BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $2.9B to $3.1BMar 31, 2025 to Mar 31, 2026
- RAUM · $2.9B to $3.1BMar 31, 2025 to Mar 31, 2026
- Accounts · 11 to 13Mar 27, 2024 to Mar 31, 2025
- Advisory employees · 15 to 14Mar 27, 2024 to Mar 31, 2025
- Pooled vehicle clients · 11 to 13Mar 27, 2024 to Mar 31, 2025
- Employees · 25 to 22Mar 27, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 31, 2025
- Private funds · 11 to 13Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $2.6B to $2.9BMar 27, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $2.6B to $2.9BMar 27, 2024 to Mar 31, 2025
- RAUM · $2.6B to $2.9BMar 27, 2024 to Mar 31, 2025
- Accounts · 9 to 11Mar 30, 2023 to Mar 27, 2024
- Advisory employees · 14 to 15Mar 30, 2023 to Mar 27, 2024
- Pooled vehicle clients · 9 to 11Mar 30, 2023 to Mar 27, 2024
- Employees · 24 to 25Mar 30, 2023 to Mar 27, 2024
- Private funds · 10 to 11Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.9B to $2.6BMar 30, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $1.9B to $2.6BMar 30, 2023 to Mar 27, 2024
- RAUM · $1.9B to $2.6BMar 30, 2023 to Mar 27, 2024
- Accounts · 13 to 9Mar 30, 2022 to Mar 30, 2023
- Pooled vehicle clients · 13 to 9Mar 30, 2022 to Mar 30, 2023
- Private funds · 13 to 10Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.8B to $1.9BMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $1.8B to $1.9BMar 30, 2022 to Mar 30, 2023
- RAUM · $1.8B to $1.9BMar 30, 2022 to Mar 30, 2023
- Accounts · 10 to 13Mar 30, 2021 to Mar 30, 2022
- Pooled vehicle clients · 9 to 13Mar 30, 2021 to Mar 30, 2022
- Employees · 25 to 24Mar 30, 2021 to Mar 30, 2022
- Private funds · 10 to 13Mar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $1.6B to $1.8BMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $1.6B to $1.8BMar 30, 2021 to Mar 30, 2022
- RAUM · $1.6B to $1.8BMar 30, 2021 to Mar 30, 2022
- Accounts · 9 to 10Mar 30, 2020 to Mar 30, 2021
- Advisory employees · 12 to 14Mar 30, 2020 to Mar 30, 2021
Signals
2 dated events
- C••••• C•••••• A•••••••• L• reported RAUM $2.6B, up 39% from $1.9B (2023-03-30 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- C••••• C•••••• A•••••••• L• reported RAUM $1.6B, up 35% from $1.2B (2020-03-30 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- C••••• C•••••• A•••••••• L• · Independent Sponsorsshared crd · capital_provider
- C••••• C•••••• A•••••••• L• · 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
- 415-632-5200reportedpublic record, Form ADV, Mar 31, 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