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•••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Feb 14, 2012 · 24 filings
SEC status approved since Mar 27, 2012
RAUM
$2.3B
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
15
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$2.3B as of Mar 30, 2026
Apr 1, 2013$503M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Apr 1, 20130 then
Employees (5.A)15 as of Mar 30, 2026
Apr 1, 20137 then
Private funds4 as of Mar 30, 2026
Apr 1, 20133 then
RAUM -11% over the last fiscal year+2.4% 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
- $454MderivedRAUM 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
- -11%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 vehicles, otherreportedItem 5.G
- Custody
- $1.9B, 5 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.9B84%
- Corporations and businesses$361M16%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.9B for 5 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.84 institutional_share=0.0 related_bd=false related_bank=true 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••• C•••••• P•••••••• L••• | Hedge Fund | $1.8B | 55 | Feb 14, 2012 |
| C••••••• C•••••• C•••••••• I•• L••• | Private Equity Fund | $146M | 16 | Mar 28, 2024 |
| C••••••• C•••••• C•••••••• I••• L••• | Private Equity Fund | $102M | 12 | Mar 30, 2020 |
| C••••••• C•••••• P••••••• I•• L••• | Hedge Fund | $30.5M | 10 | Apr 1, 2013 |
| C••••••• C•••••••• D••• F•••• L••• | Private Equity Fund | $2.1M | 8 | Mar 29, 2016 |
| C••••••• C•••••• C••••••••• L••no longer reported | Private Equity Fund | $1.3M | 11 | Apr 1, 2013 |
Owners and control persons
Schedule A and B, latest filing
- G•••• A•••• L•••• · Managercontrolsince 11/2005 · owns less than 5%
- S••••••••• C••••••••• S•••• · Managercontrolsince 01/2006 · owns less than 5%
- G•••• A•••• L•••• · Trusteecontrolsince 10/2006 · owns F of A••• L• G••• R•••••••• T••••
- S••••••••• C••••••••• S•••• · Limited Partnercontrolsince 12/2017 · owns 50% to 75% of S••• L•
- S••••••••• C••••••••• S•••• · Membercontrolsince 01/2014 · owns 50% to 75% of C••••••• C•••••• M••••••••• G•• L••
- C•••••• C•••••••• D••••••• · Chief Compliance Officer, General Counsel, Chief Operating Officersince 07/2015 · owns less than 5%
- C•••• A••• · Chief Financial Officersince 03/2024 · owns less than 5%
Entity owners
- C••••••• C•••••• M••••••••• L• · Sole Memberdirect · owns 75% or more
- A••• L• G••• R•••••••• T•••• · Memberindirect · owns 25% to 50% of C••••••• C•••••• M••••••••• G•• L••
- C••••••• C•••••• M••••••••• G•• L•• · General Partnerindirect · owns F of S••• L•
- C••••••• C•••••• M••••••••• G•• L•• · General Partnerindirect · owns F of C••••••• C•••••• M••••••••• L•
- S••• L• · Limited Partnerindirect · owns 75% or more of C••••••• C•••••• M••••••••• L•
Related persons
Schedule D 7.A
- C••••••• C••••••• L••bankpooled vehicle sponsorn
- E••••••• G• I••• L••pooled vehicle sponsorn
- E••••••• G•• L••pooled vehicle sponsorn
- E••••••• M••••••••• C••••••• L••pooled vehicle sponsorn
Advisers that list C••••••• C•••••• M••••••••• L•• as a related person
- 289799 n
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 9 to 7May 2, 2025 to Mar 30, 2026
- Advisory activities · 2 to 3May 2, 2025 to Mar 30, 2026
- Charity clients · 0 to 1May 2, 2025 to Mar 30, 2026
- Assets in custody · $2.1B to $1.9BMay 2, 2025 to Mar 30, 2026
- Employees · 16 to 15May 2, 2025 to Mar 30, 2026
- Discretionary RAUM · $2.6B to $2.3BMay 2, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $2.1B to $1.9BMay 2, 2025 to Mar 30, 2026
- RAUM · $2.6B to $2.3BMay 2, 2025 to Mar 30, 2026
- Financial planning clients · unset to Apr 7, 2025 to May 2, 2025
- Accounts · 7 to 5Mar 28, 2024 to Apr 7, 2025
- Pooled vehicle clients · 5 to 4Mar 28, 2024 to Apr 7, 2025
- Assets in custody · $2.1B to $2.1BMar 28, 2024 to Apr 7, 2025
- Private funds · 5 to 4Mar 28, 2024 to Apr 7, 2025
- Discretionary RAUM · $2.5B to $2.6BMar 28, 2024 to Apr 7, 2025
- Non-discretionary RAUM · $21.1M to $0Mar 28, 2024 to Apr 7, 2025
- Pooled vehicle RAUM · $2.1B to $2.1BMar 28, 2024 to Apr 7, 2025
- RAUM · $2.6B to $2.6BMar 28, 2024 to Apr 7, 2025
- Accounts · 6 to 7Mar 30, 2023 to Mar 28, 2024
- Advisory employees · 10 to 9Mar 30, 2023 to Mar 28, 2024
- Pooled vehicle clients · 4 to 5Mar 30, 2023 to Mar 28, 2024
- Assets in custody · $1.8B to $2.1BMar 30, 2023 to Mar 28, 2024
- Employees · 17 to 16Mar 30, 2023 to Mar 28, 2024
- Private funds · 4 to 5Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $2.1B to $2.5BMar 30, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $11.9M to $21.1MMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.8B to $2.1BMar 30, 2023 to Mar 28, 2024
- RAUM · $2.1B to $2.6BMar 30, 2023 to Mar 28, 2024
- Advisory employees · 8 to 10Mar 31, 2022 to Mar 30, 2023
- Corporate clients · 0 to 1Mar 31, 2022 to Mar 30, 2023
- Assets in custody · $2.3B to $1.8BMar 31, 2022 to Mar 30, 2023
- Employees · 15 to 17Mar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $2.7B to $2.1BMar 31, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $13.8M to $11.9MMar 31, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $2.3B to $1.8BMar 31, 2022 to Mar 30, 2023
- RAUM · $2.8B to $2.1BMar 31, 2022 to Mar 30, 2023
- Related adviser · true to falseMar 31, 2022 to Mar 30, 2023
- Accounts · 7 to 6Mar 31, 2021 to Mar 31, 2022
- Pooled vehicle clients · 5 to 4Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $1.6B to $2.3BMar 31, 2021 to Mar 31, 2022
- Employees · 12 to 15Mar 31, 2021 to Mar 31, 2022
Signals
2 dated events
- C••••••• C•••••• M••••••••• L•• reported RAUM $2.8B, up 33% from $2.1B (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- C••••••• C•••••• M••••••••• L•• reported RAUM $2.1B, up 52% from $1.4B (2020-03-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- C••••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- C••••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 203-883-0100reportedpublic 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