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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
C•••••• A••••••• I•••
Latest filing Mar 11, 2016
First filing on the tape Feb 9, 2012 · 5 filings
RAUM
$349M
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
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$349M gross assets
History
5 filings and snapshots on the tape
RAUM$349M as of Mar 11, 2016
Mar 15, 2013$429M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 11, 2016
Mar 15, 20130 then
Employees (5.A)3 as of Mar 11, 2016
Mar 15, 20133 then
Private funds3 as of Mar 11, 2016
Mar 15, 20133 then
RAUM -8.7% over the last fiscal year-6.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 11, 2016; 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
- $116MderivedRAUM 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
- -8.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 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
- 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
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
- 3reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••• M••••••• B•••••• P••••••• I• L• | Private Equity Fund | $331M | 92 | Feb 9, 2012 |
| C•••••• M••••••• B• I• C••• | Private Equity Fund | $14.1M | 2 | Feb 9, 2012 |
| 5••• S••••• P••••••• I• L••• | Private Equity Fund | $3.2M | 36 | Feb 9, 2012 |
Owners and control persons
Schedule A and B, latest filing
- H•••••• J••••••• P•••• · Vice Chairman, Coo And Direct Owner Of C•••••• A••••••• I•••controlsince 05/1994 · owns 25% to 50%
- S••••• J••••• A••••• · Chariman, Ceo And Chief Compliance Officer And Direct Owner Of C•••••• A••••••• I•••controlsince 05/1994 · owns 50% to 75%
- F•••••• M••••••• F•••••• · Member Of C•••••• A••••••••• I• L••since 12/1998 · owns 5% to 10%
- H•••••• C••••••••• B•••• · Member Of C•••••• A••••••••• I• L••since 12/2001 · owns 5% to 10%
- S••••••• B••••• · Member Of C•••••• A••••••••• I• L••since 12/1998 · owns 5% to 10%
- S••••••••• J••••• L•••• · Member Of C•••••• A••••••••• I• L••since 12/1998 · owns 10% to 25%
- S•••••••• D••••• P•••• · Member Of C•••••• A••••••••• I• L••since 12/1998 · owns 10% to 25%
- S••••••• W••••••• L•••• · Member Of C•••••• A••••••••• I• L••since 12/1998 · owns 5% to 10%
Related persons
Schedule D 7.A
- C•••••• A••••••••• I• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $382M to $349MMar 12, 2015 to Mar 11, 2016
- RAUM · $382M to $349MMar 12, 2015 to Mar 11, 2016
- Discretionary RAUM · $308M to $382MMar 13, 2014 to Mar 12, 2015
- RAUM · $308M to $382MMar 13, 2014 to Mar 12, 2015
- Discretionary RAUM · $429M to $308MMar 15, 2013 to Mar 13, 2014
- RAUM · $429M to $308MMar 15, 2013 to Mar 13, 2014
- Advisory employees · unset to 2.0Feb 9, 2012 to Mar 15, 2013
- BD registered reps · unset to 0.0Feb 9, 2012 to Mar 15, 2013
- Employees · unset to 3.0Feb 9, 2012 to Mar 15, 2013
- State-registered IARs · unset to 0.0Feb 9, 2012 to Mar 15, 2013
- Discretionary RAUM · $352M to $429MFeb 9, 2012 to Mar 15, 2013
- RAUM · $352M to $429MFeb 9, 2012 to Mar 15, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- C•••••• A••••••• I••• · 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