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
4•• C•••••• M••••••••• L••
Latest filing Jul 1, 2026
First filing on the tape Feb 17, 2012 · 43 filings
SEC status approved since Mar 27, 2012
RAUM
$9.0B
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
76
33 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
20
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$9.0B as of Jul 1, 2026
Apr 1, 2013$614M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 1, 2026
Apr 1, 20130 then
Employees (5.A)76 as of Jul 1, 2026
Apr 1, 201318 then
Private funds20 as of Jul 1, 2026
Apr 1, 20135 then
RAUM -13% over the last fiscal year+9.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 1, 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
- $393MderivedRAUM 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
- -13%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $3.2B, 1 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$7.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 23reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.2B for 1 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.8 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
34 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- C••• A••••••••• I• · Head Of Portfolio Management And Trading (Filing Adviser)controlsince 04/2010 · owns 10% to 25%
- H••••••••• C••••••••• C••• · Managing Member (Filing Adviser)controlsince 10/2008 · owns 25% to 50%
- K••• S•••• M•• · Deputy Chief Operating Officer And Chief Financial Officer (Filing Adviser)controlsince 10/2016 · owns less than 5%
- K••••• R••••••• W••••• · Chief Compliance Officer (Filing Adviser)controlsince 07/2022 · owns less than 5%
- L••••• A•••• G••• · General Counsel (Filing Adviser)controlsince 05/2016 · owns less than 5%
- L•••• T•••• C••••••••• · Portfolio Manager (Filing Adviser)controlsince 03/2011 · owns 10% to 25%
- S••••••• W••••••• C••••••• · President, Chief Operating Officer And Chief Risk Officer (Filing Adviser)controlsince 04/2010 · owns 10% to 25%
Related persons
Schedule D 7.A
- 4•• C•••••• A•••• B•••• T••• F••• A••••••••• G• L••pooled vehicle sponsorn
- 4•• C•••••• A•••• B•••• T••• F••• I• G• L••bankpooled vehicle sponsorn
- 4•• C•••••• A•••• B•••• T••• F••• I•• G• L••bankpooled vehicle sponsorn
- 4•• C•••••• A•••• B•••• T••• F••• I• G• L••bankpooled vehicle sponsorn
- 4•• C•••••• C••••• S••••• G• L••bankpooled vehicle sponsorn
- 4•• C•••••• D••••• G• L••bankpooled vehicle sponsorn
- 4•• C•••••• F•••• A••••••••• G• L••pooled vehicle sponsorn
- 4•• C•••••• F•••• G• L••bankpooled vehicle sponsorn
- 4•• C•••••• G• L••bankpooled vehicle sponsorn
- 4•• C•••••• J••• I•• G• L••bankpooled vehicle sponsorn
- 4•• C•••••• J••• I• G• L••bankpooled vehicle sponsorn
- 4•• C•••••• T• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom3 employees
What changed
consecutive filings, newest first
- Private funds · 19 to 20Mar 31, 2026 to Jul 1, 2026
- Accounts · 22 to 23Jan 21, 2026 to Mar 31, 2026
- Advisory employees · 26 to 33Jan 21, 2026 to Mar 31, 2026
- Pooled vehicle clients · 19 to 20Jan 21, 2026 to Mar 31, 2026
- Assets in custody · $3.6B to $3.2BJan 21, 2026 to Mar 31, 2026
- Employees · 69 to 76Jan 21, 2026 to Mar 31, 2026
- Discretionary RAUM · $10B to $9.0BJan 21, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $8.6B to $7.2BJan 21, 2026 to Mar 31, 2026
- RAUM · $10B to $9.0BJan 21, 2026 to Mar 31, 2026
- Private funds · 18 to 19Mar 31, 2025 to Jan 21, 2026
- Accounts · 23 to 22Jun 26, 2024 to Mar 31, 2025
- Assets in custody · $4.5B to $3.6BJun 26, 2024 to Mar 31, 2025
- Employees · 64 to 69Jun 26, 2024 to Mar 31, 2025
- Financial planning clients · unset to Jun 26, 2024 to Mar 31, 2025
- Discretionary RAUM · $7.1B to $10BJun 26, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $5.8B to $8.6BJun 26, 2024 to Mar 31, 2025
- RAUM · $7.1B to $10BJun 26, 2024 to Mar 31, 2025
- Related adviser · false to trueJun 26, 2024 to Mar 31, 2025
- Accounts · 22 to 23Feb 13, 2024 to Mar 28, 2024
- Assets in custody · $4.3B to $4.5BFeb 13, 2024 to Mar 28, 2024
- Employees · 65 to 64Feb 13, 2024 to Mar 28, 2024
- Private funds · 19 to 18Feb 13, 2024 to Mar 28, 2024
- Discretionary RAUM · $6.8B to $7.1BFeb 13, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $5.7B to $5.8BFeb 13, 2024 to Mar 28, 2024
- RAUM · $6.8B to $7.1BFeb 13, 2024 to Mar 28, 2024
- Private funds · 18 to 19Oct 26, 2023 to Feb 13, 2024
- Private funds · 20 to 18Aug 25, 2023 to Oct 26, 2023
- Private funds · 18 to 20Mar 30, 2023 to Aug 25, 2023
- Advisory employees · 23 to 26Sep 20, 2022 to Mar 30, 2023
- Assets in custody · $4.4B to $4.3BSep 20, 2022 to Mar 30, 2023
- Employees · 60 to 65Sep 20, 2022 to Mar 30, 2023
- Discretionary RAUM · $9.1B to $6.8BSep 20, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $7.8B to $5.7BSep 20, 2022 to Mar 30, 2023
- RAUM · $9.1B to $6.8BSep 20, 2022 to Mar 30, 2023
- Advisory employees · 22 to 23Feb 18, 2022 to Mar 30, 2022
- Assets in custody · $3.6B to $4.4BFeb 18, 2022 to Mar 30, 2022
- Employees · 54 to 60Feb 18, 2022 to Mar 30, 2022
- Private funds · 22 to 18Feb 18, 2022 to Mar 30, 2022
- Discretionary RAUM · $7.6B to $9.1BFeb 18, 2022 to Mar 30, 2022
- Pooled vehicle RAUM · $6.4B to $7.8BFeb 18, 2022 to Mar 30, 2022
Signals
7 dated events
- 4•• C•••••• M••••••••• L•• reported RAUM $10.4B, up 45% from $7.1B (2024-06-26 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- 4•• C•••••• M••••••••• L•• reported RAUM $6.8B, down 25% from $9.1B (2022-09-20 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Wilson Richard Knaub (Chief Compliance Officer (Filing Adviser)) appeared on Schedule A of 4•• C•••••• M••••••••• L••Jul 7, 2022 · Control person joined · fact
- 4•• C•••••• M••••••••• L•• reported RAUM $7.6B, up 40% from $5.4B (2020-11-24 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- 4•• C•••••• M••••••••• L•• reported RAUM $5.4B, down 30% from $7.8B (2019-12-20 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- 4•• C•••••• M••••••••• L•• reported RAUM $7.8B, up 87% from $4.2B (2018-08-24 to 2019-03-27)Mar 27, 2019 · RAUM change · derived
- 4•• C•••••• M••••••••• L•• reported RAUM $4.2B, up 66% from $2.5B (2017-09-22 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- 4•• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- 4•• C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/400-capital-management-llcreportedpublic record, Form ADV, Sep 19, 2026
- Website
- 4•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (212) 612-3101reportedpublic record, Form ADV, Jul 1, 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