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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Former SEC-registered adviser

C••• C•••••• L••

Former SEC-registered adviserLondon, CRD 158257SEC 801-72528IAPD
Latest filing Mar 26, 2015
First filing on the tape Feb 15, 2012 · 7 filings
RAUM
$1.0B
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
10 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$1.0B gross assets
History
7 filings and snapshots on the tape
RAUM$1.0B as of Mar 26, 2015
Feb 15, 2012$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2015
Mar 20, 20130 then
Employees (5.A)23 as of Mar 26, 2015
Mar 20, 201330 then
Private funds2 as of Mar 26, 2015
Apr 11, 20143 then
RAUM -1.4% over the last fiscal year-2.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2015; 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
$513MderivedRAUM 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
-1.4%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 businesses and institutionsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
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
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••• G••••• O••••••••• F•••Hedge Fund$104M22Mar 28, 2013
      C••• A••• M••••••••• F•••Hedge Fund$84.2M9Mar 28, 2013
      Q•••••• P••••••• F•••no longer reportedReal Estate Fund$62.6M8Mar 28, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • G•••• S••••• R•••••• · Partnercontrol
        since 04/2011 · owns less than 5%
      • W•••••• J•••••• N•• · General Counsel, Chief Compliance Officer And Partnercontrol
        since 04/2006 · owns less than 5%
      • B•••••• F•••••••• C••••• · Beneficial Ownercontrol
        since 02/2003 · owns 25% to 50% of B•• L••••••
      • S•••••• A•••• N•• · Beneficial Ownercontrol
        since 02/2003 · owns 25% to 50% of B•• L••••••
      • M•••• S•••••• · Partner
        since 08/2013 · owns less than 5%
      Entity owners
      • C••• C•••••• I••••••••• M••••••••• L•••••• · Corporate Member
        direct · owns 75% or more
      • B•• L•••••• · Shareholder
        indirect · owns 75% or more of C••• C•••••• L••••••
      • C••• C•••••• L•••••• · Holding Company
        indirect · owns 75% or more of C••• Capital Uk L••••••
      Related persons
      Schedule D 7.A
      • C••• C•••••• H• L••••••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 10 to 2
        Apr 11, 2014 to Mar 26, 2015
      • Advisory employees · 13 to 10
        Apr 11, 2014 to Mar 26, 2015
      • Employees · 27 to 23
        Apr 11, 2014 to Mar 26, 2015
      • Private funds · 3 to 2
        Apr 11, 2014 to Mar 26, 2015
      • Discretionary RAUM · $1.0B to $1.0B
        Apr 11, 2014 to Mar 26, 2015
      • RAUM · $1.0B to $1.0B
        Apr 11, 2014 to Mar 26, 2015
      • Accounts · 11 to 10
        Mar 28, 2013 to Mar 24, 2014
      • Employees · 30 to 27
        Mar 28, 2013 to Mar 24, 2014
      • Private funds · 4 to 3
        Mar 28, 2013 to Mar 24, 2014
      • Discretionary RAUM · $1.2B to $1.0B
        Mar 28, 2013 to Mar 24, 2014
      • RAUM · $1.2B to $1.0B
        Mar 28, 2013 to Mar 24, 2014
      • Private funds · unset to 4
        Mar 20, 2013 to Mar 28, 2013
      • Accounts · 9 to 11
        Feb 15, 2012 to Mar 20, 2013
      • Advisory employees · unset to 13.0
        Feb 15, 2012 to Mar 20, 2013
      • Employees · unset to 30.0
        Feb 15, 2012 to Mar 20, 2013
      • State-registered IARs · unset to 0.0
        Feb 15, 2012 to Mar 20, 2013
      • Discretionary RAUM · $1.1B to $1.2B
        Feb 15, 2012 to Mar 20, 2013
      • RAUM · $1.1B to $1.2B
        Feb 15, 2012 to Mar 20, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      Former SEC-registered adviserderiveda 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
      Across the graphs

      C••• C•••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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