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•••• C••••••
Legal name C••••• C•••• A••••••• I• L••
Latest filing Mar 30, 2026
First filing on the tape Nov 22, 2011 · 38 filings
SEC status approved since Jan 3, 2011
RAUM
$1.1B
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
12
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
9
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$1.1B as of Mar 30, 2026
Mar 22, 2012$346M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 25, 20130 then
Employees (5.A)12 as of Mar 30, 2026
Mar 25, 20138 then
Private funds9 as of Mar 30, 2026
Mar 22, 20121 then
RAUM +6.3% over the last fiscal year+1.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $103MderivedRAUM 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
- +6.3%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 businesses and institutions, 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)
- 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.1B100%
- Corporations and businesses$510,7680.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- 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
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••• C•••• C•••••• P••••••• V••• L• | Private Equity Fund | $276M | 38 | Mar 29, 2019 |
| C••••• C•••• C•••••• P••••••• V•• L• | Private Equity Fund | $256M | 27 | Mar 31, 2017 |
| C••••• C•••• C•••••• P••••••• V•••• L• | Private Equity Fund | $208M | 86 | Nov 18, 2021 |
| C••••• C•••• C•••••• P••••••• V• L• | Private Equity Fund | $56.9M | 10 | Jun 27, 2013 |
| C••••• C•••• A• T••• S•••••• S••••••••• F•••• L•no longer reported | Private Equity Fund | $23.9M | 2 | May 23, 2012 |
| C••••• C•••• S•••••• S••••••••• I•• L• | Private Equity Fund | $16.9M | 1 | Mar 31, 2021 |
| C••••• C•••• C•••• B• T••• I••••••••• L•no longer reported | Private Equity Fund | $14.9M | 2 | Feb 11, 2014 |
| C••••• C•••• T•• T••• S•••••• S••••••••• F•••• L•no longer reported | Private Equity Fund | $12.4M | 2 | May 23, 2012 |
| C••••• C•••• C•••••• P••••••• V•• C••••••••• F••• L••• | Private Equity Fund | $9.8M | 4 | Mar 24, 2023 |
| C••••• C•••• C•••••• P••••••• V••• C••••••••• F••• A• L• | Private Equity Fund | $7.4M | 3 | Mar 24, 2023 |
| C••••• C•••• S•••• I••••••••• L•no longer reported | Private Equity Fund | $1.0M | 3 | Nov 13, 2014 |
| C••••• C•••• C•••••• P••••••• I•• L•no longer reported | Private Equity Fund | $0 | 20 | Nov 22, 2011 |
Owners and control persons
Schedule A and B, latest filing
- E••••••••• J•••• M•••••• · Managing Principal Of C••••• C•••• A••••••• I• L••controlsince 03/2009 · owns less than 5%
- E••••••••• J•••• M•••••• · Presidentcontrolsince 01/2005 · owns 75% or more of J•• A••••••• C•••
- M••••• M•••• G••••• · Presidentcontrolsince 12/2006 · owns 75% or more of L•••••• I• C•••
- P•••••••• J•••• T••••• · Presidentcontrolsince 02/2009 · owns 75% or more of P••••••• A••••••• C•••
- R•••• S••••••• V•••• · Presidentcontrolsince 08/2013 · owns 75% or more of R••• A••••••• C•••
- S•••••••• A••••••• R• · Presidentcontrolsince 08/2013 · owns 75% or more of S••••••• A••••••• C•••
- T•••••• J•••••• M••••••• · Presidentcontrolsince 02/2009 · owns 75% or more of M••••••• A••••••• C•••
- V•••• D••••• J•••• · Presidentcontrolsince 08/2013 · owns 75% or more of V••• A••••••• C•••
- S••••• D•••••• · Chief Financial Officer And Chief Compliance Officersince 06/2021 · owns less than 5%
Entity owners
- J•• A••••••• C••• · Member Of C••••• C•••• A••••••• I• L••direct · owns 25% to 50%
- P••••••• A••••••• C••• · Member Of C••••• C•••• A••••••• I• L••direct · owns 25% to 50%
- L•••••• I• C••• · Member Of C••••• C•••• A••••••• I• L••direct · owns less than 5%
- M••••••• A••••••• C••• · Member Of C••••• C•••• A••••••• I• L••direct · owns 5% to 10%
- R••• A••••••• C••• · Member Of C••••• C•••• A••••••• I• L••direct · owns 5% to 10%
- S••••••• A••••••• C••• · Member Of C••••• C•••• A••••••• I• L••direct · owns 5% to 10%
- S•••••• A••••••• C••• · Member Of C••••• C•••• A••••••• I• L••direct · owns less than 5%
- V••• A••••••• C••• · Member Of C••••• C•••• A••••••• I• L••direct · owns 5% to 10%
Related persons
Schedule D 7.A
- C••••• C•••• A••••••• V••• L••investment adviserpooled vehicle sponsorn
- C••••• C•••• C•••••• V• L••investment adviserpooled vehicle sponsorn
- C••••• C•••• C•••••• V•• L••investment adviserpooled vehicle sponsorn
- C••••• C•••• C•••••• V••• L••investment adviserpooled vehicle sponsorn
- C••••• C•••• S•••••• S••••••••• I• G•• L••investment adviserpooled vehicle sponsorn
- C• F•••••• A••••••• L••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Dallas, TX2 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 13 to 11Oct 22, 2025 to Mar 30, 2026
- Pooled vehicle clients · 11 to 10Oct 22, 2025 to Mar 30, 2026
- Private funds · 10 to 9Oct 22, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.2B to $1.1BOct 22, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $3.0M to $510,768Oct 22, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.2B to $1.1BOct 22, 2025 to Mar 30, 2026
- RAUM · $1.2B to $1.1BOct 22, 2025 to Mar 30, 2026
- Accounts · 12 to 13Aug 29, 2025 to Oct 22, 2025
- Corporate clients · 2.0 to unsetAug 29, 2025 to Oct 22, 2025
- Pooled vehicle clients · 10 to 11Aug 29, 2025 to Oct 22, 2025
- Assets in custody · $1.2B to $0Aug 29, 2025 to Oct 22, 2025
- Private funds · 9 to 10Aug 29, 2025 to Oct 22, 2025
- Discretionary RAUM · $1.2B to $1.2BAug 29, 2025 to Oct 22, 2025
- Pooled vehicle RAUM · $1.2B to $1.2BAug 29, 2025 to Oct 22, 2025
- RAUM · $1.2B to $1.2BAug 29, 2025 to Oct 22, 2025
- Accounts · 10 to 12Mar 28, 2025 to Aug 29, 2025
- Pooled vehicle clients · 8 to 10Mar 28, 2025 to Aug 29, 2025
- Assets in custody · $976M to $1.2BMar 28, 2025 to Aug 29, 2025
- Private funds · 7 to 9Mar 28, 2025 to Aug 29, 2025
- Discretionary RAUM · $1.1B to $1.2BMar 28, 2025 to Aug 29, 2025
- Pooled vehicle RAUM · $1.1B to $1.2BMar 28, 2025 to Aug 29, 2025
- RAUM · $1.1B to $1.2BMar 28, 2025 to Aug 29, 2025
- Accounts · 7 to 10Mar 25, 2024 to Mar 28, 2025
- Advisory employees · 6 to 11Mar 25, 2024 to Mar 28, 2025
- Business name · C••••• C•••• A••••••• I• L•• to C••••• C•••• C••••••Mar 25, 2024 to Mar 28, 2025
- Corporate clients · unset to 2.0Mar 25, 2024 to Mar 28, 2025
- Pooled vehicle clients · 7 to 8Mar 25, 2024 to Mar 28, 2025
- Assets in custody · $893M to $976MMar 25, 2024 to Mar 28, 2025
- Employees · 10 to 12Mar 25, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 28, 2025
- Other offices · 2 to 1Mar 25, 2024 to Mar 28, 2025
- Private funds · 6 to 7Mar 25, 2024 to Mar 28, 2025
- Discretionary RAUM · $979M to $1.1BMar 25, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $0 to $3.0MMar 25, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $979M to $1.1BMar 25, 2024 to Mar 28, 2025
- RAUM · $979M to $1.1BMar 25, 2024 to Mar 28, 2025
- Accounts · 8 to 7Aug 4, 2023 to Mar 7, 2024
- Advisory employees · 7 to 6Aug 4, 2023 to Mar 7, 2024
- Pooled vehicle clients · 8 to 7Aug 4, 2023 to Mar 7, 2024
- Assets in custody · $998M to $893MAug 4, 2023 to Mar 7, 2024
Signals
5 dated events
- Joseph Martin Szumski (President) no longer on Schedule A of C••••• C•••• C•••••• (listed 2021-12-03, absent 2022-03-17)Mar 17, 2022 · Control person left · inference
- Gerard Mark Merlo (President) appeared on Schedule A of C••••• C•••• C••••••Mar 30, 2020 · Control person joined · fact
- Mikesell Joseph Thomas (President) appeared on Schedule A of C••••• C•••• C••••••Mar 30, 2020 · Control person joined · fact
- Gerard Mark Merlo (President) appeared on Schedule A of C••••• C•••• C••••••Mar 29, 2019 · Control person joined · fact
- Mikesell Joseph Thomas (President) appeared on Schedule A of C••••• C•••• C••••••Mar 29, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- C••••• C•••• C•••••• · Independent Sponsorsshared crd · capital_provider
- C••••• C•••• A••••••• I• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/castle-creek-capital-llc/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- castlecreek.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 858-756-8300reportedpublic record, Form ADV, Mar 30, 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