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•••••• G••••
Legal name C•••••••• C•••••• G••••• L••
Latest filing Mar 30, 2026
First filing on the tape Feb 14, 2012 · 24 filings
SEC status approved since Mar 30, 2012
RAUM
$863M
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
24
20 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
3
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$863M as of Mar 30, 2026
Apr 1, 2013$2.0B 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)24 as of Mar 30, 2026
Apr 1, 201317 then
Private funds3 as of Mar 30, 2026
Apr 1, 201314 then
RAUM +2.7% over the last fiscal year-14% 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
- $288MderivedRAUM 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
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.7%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
- 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)
- 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$863M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
16 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••••• R• M••••• F•••• L•••no longer reported | Private Equity Fund | $710M | 65 | Feb 14, 2012 |
| P•••••• T••• L• | Private Equity Fund | $517M | 42 | Feb 14, 2012 |
| P•••••• T••••••• L• | Private Equity Fund | $355M | 24 | Mar 29, 2019 |
| P•••••• T•• P•••••••• L• | Private Equity Fund | $229M | 23 | Feb 14, 2012 |
| C•••••••• R• O••••••• F•••• L•••no longer reported | Private Equity Fund | $93.2M | 2 | Feb 14, 2012 |
| C•• C••• L••no longer reported | Private Equity Fund | $42.6M | 8 | Mar 30, 2021 |
| P•••••• O••• L• | Private Equity Fund | $12.1M | 18 | Feb 14, 2012 |
| C•••••••• I••••••••• L••no longer reported | Private Equity Fund | $10.2M | 4 | Feb 14, 2012 |
| P•••••• O•• P••••••• F•••• L••• | Private Equity Fund | $8.0M | 3 | Feb 14, 2012 |
| P•••••• O•• •••••••• L••• | Private Equity Fund | $6.2M | 13 | Feb 14, 2012 |
| P•••••• O•• P••••••• F••• ••• L••• | Private Equity Fund | $3.3M | 2 | Feb 14, 2012 |
| C•••••••• R• O••••••• I••••••••• F•••• L•••no longer reported | Private Equity Fund | $0 | 2 | Feb 14, 2012 |
| P•••••• O•• • R•• C••••••••• F•••• L•••no longer reported | Private Equity Fund | $0 | 2 | Feb 14, 2012 |
| C•••••••• R•• L•••no longer reported | Private Equity Fund | $0 | 5 | Feb 14, 2012 |
| P•••••• O•• F••••• F•••• L•••no longer reported | Private Equity Fund | $0 | 2 | Feb 14, 2012 |
| P•••••• O•• C••••••••• F•••• L•••no longer reported | Private Equity Fund | $0 | 1 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- H•••••• G•••••••• L•• · Chief Compliance Officer, Managing Membercontrolsince 05/2005 · owns 10% to 25%
- P••••••• P•••• G•••••• · Managing Member, Chief Financial Officercontrolsince 05/2005 · owns 10% to 25%
- Y•• P••••• M•••••• · Managing Membercontrolsince 05/2005 · owns 50% to 75%
Related persons
Schedule D 7.A
- P•••••• O•• G• •••••••• L•••pooled vehicle sponsorn
- P•••••• O•• G•• L••pooled vehicle sponsorn
- P•••••• O•• G•• •••••••• L•••pooled vehicle sponsorn
- P•••••• O•• G••• L••pooled vehicle sponsorn
- P•••••• O•• G•• •••••••• L•••pooled vehicle sponsorn
- P•••••• T•••• G•• L•pooled vehicle sponsorn
- P•••••• T•• G•• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Darien, CT2 employees
- Shanghai, China2 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $840M to $863MMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $840M to $863MMar 28, 2025 to Mar 30, 2026
- RAUM · $840M to $863MMar 28, 2025 to Mar 30, 2026
- Accounts · 8 to 3Mar 28, 2024 to Mar 28, 2025
- Pooled vehicle clients · 8 to 3Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Private funds · 7 to 3Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.1B to $840MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.1B to $840MMar 28, 2024 to Mar 28, 2025
- RAUM · $1.1B to $840MMar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.4B to $1.1BMay 16, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.4B to $1.1BMay 16, 2023 to Mar 28, 2024
- RAUM · $1.4B to $1.1BMay 16, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.7B to $1.4BDec 8, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $1.7B to $1.4BDec 8, 2022 to Mar 30, 2023
- RAUM · $1.7B to $1.4BDec 8, 2022 to Mar 30, 2023
- Accounts · 9 to 8Mar 30, 2021 to Mar 31, 2022
- Advisory employees · 19 to 20Mar 30, 2021 to Mar 31, 2022
- Pooled vehicle clients · 9 to 8Mar 30, 2021 to Mar 31, 2022
- Employees · 23 to 24Mar 30, 2021 to Mar 31, 2022
- Private funds · 8 to 7Mar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $1.6B to $1.7BMar 30, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $1.6B to $1.7BMar 30, 2021 to Mar 31, 2022
- RAUM · $1.6B to $1.7BMar 30, 2021 to Mar 31, 2022
- Advisory employees · 17 to 19Jun 4, 2020 to Mar 30, 2021
- Employees · 21 to 23Jun 4, 2020 to Mar 30, 2021
- Private funds · 7 to 8Jun 4, 2020 to Mar 30, 2021
- Discretionary RAUM · $1.6B to $1.6BJun 4, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $1.6B to $1.6BJun 4, 2020 to Mar 30, 2021
- RAUM · $1.6B to $1.6BJun 4, 2020 to Mar 30, 2021
- Accounts · 8 to 9Mar 29, 2019 to Mar 30, 2020
- Advisory employees · 16 to 17Mar 29, 2019 to Mar 30, 2020
- Pooled vehicle clients · 8 to 9Mar 29, 2019 to Mar 30, 2020
- Employees · 19 to 21Mar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $1.6B to $1.6BMar 29, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $1.6B to $1.6BMar 29, 2019 to Mar 30, 2020
- RAUM · $1.6B to $1.6BMar 29, 2019 to Mar 30, 2020
- Advisory employees · 21 to 16Dec 13, 2018 to Mar 29, 2019
- Employees · 25 to 19Dec 13, 2018 to Mar 29, 2019
- Discretionary RAUM · $1.5B to $1.6BDec 13, 2018 to Mar 29, 2019
Signals
2 dated events
- C•••••••• C•••••• G•••• reported RAUM $840.2M, down 26% from $1.1B (2024-03-28 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- C•••••••• C•••••• G•••• reported RAUM $1.5B, down 32% from $2.2B (2018-07-30 to 2018-12-13)Dec 13, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- C•••••••• C•••••• G•••• · Independent Sponsorsshared crd · capital_provider
- C•••••••• C•••••• G•••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- C••••••••GROUP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 1-212-461-6363reportedpublic 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