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•••••• M••••••••• L••
Latest filing Mar 31, 2022
First filing on the tape Feb 24, 2012 · 17 filings
RAUM
$218M
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
11
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$218M gross assets
History
17 filings and snapshots on the tape
RAUM$218M as of Mar 31, 2022
Apr 1, 2013$519M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Apr 1, 20130 then
Employees (5.A)11 as of Mar 31, 2022
Apr 1, 20136 then
Private funds2 as of Mar 31, 2022
Apr 1, 20132 then
RAUM +6.3% over the last fiscal year+21% a year over threeIARs 0 to 0offices 2 to 1
Practice profile
derived from the filing of Mar 31, 2022; 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
- $109MderivedRAUM 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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $218M, 2 clientsreportedItem 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
- 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)
- 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)
- the adviser acts as qualified custodian (9.D.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$218M100%
- 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
- $218M for 2 clientsreported
- 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••••• C••••••• L••• | Private Equity Fund | $209M | 106 | Feb 24, 2012 |
| C••••••••• E••••••••• L••• | Private Equity Fund | $9.3M | 13 | Feb 24, 2012 |
Owners and control persons
Schedule A and B, latest filing
- K••••• J••••• M••••••• · Partnercontrolsince 09/2007 · owns less than 5%
- K•••••••• A•••••• L••••• · Chief Compliance Officercontrolsince 03/2021 · owns less than 5%
- P•••••• R•••••• A••• · Partnercontrolsince 09/2007 · owns less than 5%
- R•••••• B••••• K•••• · Partnercontrolsince 04/2014 · owns less than 5%
- V•••••• J••••• · Chief Financial Officercontrolsince 12/2014 · owns less than 5%
- W••••• M••••••• C••••••••• · General Counselcontrolsince 01/2016 · owns less than 5%
- K••••• J••••• M••••••• · Managing Membercontrolsince 04/2010 · owns F of C••••••••• P••••••• M••••••••• L••
Entity owners
- C••••••••• P••••••• M••••••••• L•• · Managing Memberdirect · owns 75% or more
- C••••••••• C•••••• H••••••• L•• · Memberindirect · owns 75% or more of C••••••••• P••••••• M••••••••• L••
Related persons
Schedule D 7.A
- C••••••••• C•••••• G• L••pooled vehicle sponsorn
- C••••••••• C•••••• G•• L•••pooled vehicle sponsorn
- C••••••••• C•••••• T••••••••• M••••••••• L•••investment advisernRAUM $136M
- C••••••••• P••••••• L••broker-dealern
Advisers that list C••••••••• C•••••• M••••••••• L•• as a related person
- 167775 n
Offices
Schedule D 1.F, the 25 largest
- Naples, FL3 employees
What changed
consecutive filings, newest first
- Assets in custody · $205M to $218MMar 30, 2021 to Mar 31, 2022
- Other offices · 2 to 1Mar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $205M to $218MMar 30, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $205M to $218MMar 30, 2021 to Mar 31, 2022
- RAUM · $205M to $218MMar 30, 2021 to Mar 31, 2022
- Advisory employees · 6 to 5May 4, 2020 to Mar 30, 2021
- Assets in custody · $124M to $205MMay 4, 2020 to Mar 30, 2021
- Employees · 9 to 11May 4, 2020 to Mar 30, 2021
- Discretionary RAUM · $124M to $205MMay 4, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $124M to $205MMay 4, 2020 to Mar 30, 2021
- RAUM · $124M to $205MMay 4, 2020 to Mar 30, 2021
- Advisory employees · 4 to 6Mar 29, 2019 to Mar 31, 2020
- Assets in custody · $124M to $124MMar 29, 2019 to Mar 31, 2020
- Employees · 7 to 9Mar 29, 2019 to Mar 31, 2020
- HQ city · GREENWICH to NEW YORKMar 29, 2019 to Mar 31, 2020
- HQ state · CT to NYMar 29, 2019 to Mar 31, 2020
- Other offices · 1 to 2Mar 29, 2019 to Mar 31, 2020
- Discretionary RAUM · $124M to $124MMar 29, 2019 to Mar 31, 2020
- Pooled vehicle RAUM · $124M to $124MMar 29, 2019 to Mar 31, 2020
- RAUM · $124M to $124MMar 29, 2019 to Mar 31, 2020
- Advisory employees · 5 to 4Mar 29, 2018 to Mar 29, 2019
- Assets in custody · $147M to $124MMar 29, 2018 to Mar 29, 2019
- Employees · 8 to 7Mar 29, 2018 to Mar 29, 2019
- Discretionary RAUM · $147M to $124MMar 29, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $147M to $124MMar 29, 2018 to Mar 29, 2019
- RAUM · $147M to $124MMar 29, 2018 to Mar 29, 2019
- Advisory employees · 6 to 5Apr 28, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 2.0Apr 28, 2017 to Mar 29, 2018
- Assets in custody · $339M to $147MApr 28, 2017 to Mar 29, 2018
- Employees · 9 to 8Apr 28, 2017 to Mar 29, 2018
- Other offices · unset to 1.0Apr 28, 2017 to Mar 29, 2018
- Discretionary RAUM · $339M to $147MApr 28, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 146565769.0Apr 28, 2017 to Mar 29, 2018
- RAUM · $339M to $147MApr 28, 2017 to Mar 29, 2018
- Advisory employees · 5 to 6Jan 19, 2017 to Mar 31, 2017
- Assets in custody · $24.6M to $339MJan 19, 2017 to Mar 31, 2017
- Employees · 8 to 9Jan 19, 2017 to Mar 31, 2017
- Discretionary RAUM · $242M to $339MJan 19, 2017 to Mar 31, 2017
- RAUM · $242M to $339MJan 19, 2017 to Mar 31, 2017
- Assets in custody · $378M to $24.6MFeb 12, 2016 to Mar 31, 2016
Signals
3 dated events
- L••••• A••••• K••••••• (Chief Compliance Officer) appeared on Schedule A of C••••••••• C•••••• M••••••••• L••Mar 30, 2021 · Control person joined · fact
- Wayne Blair Effron (Member) no longer on Schedule A of C••••••••• C•••••• M••••••••• L•• (listed 2020-03-31, absent 2020-05-04)May 4, 2020 · Control person left · inference
- C••••••••• C•••••• M••••••••• L•• reported RAUM $146.6M, down 57% from $339.2M (2017-04-28 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- C••••••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
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