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.
SEC-registered adviser
C••••••• C•••••• P•••••••
Legal name C••••••• C•••••• M••••••••• L•••
Latest filing Mar 25, 2026
First filing on the tape Jun 26, 2013 · 17 filings
SEC status approved since Jul 5, 2013
RAUM
$1.4B
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
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$1.4B as of Mar 25, 2026
Mar 27, 2014$215M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 27, 20140 then
Employees (5.A)8 as of Mar 25, 2026
Mar 27, 20145 then
Private funds7 as of Mar 25, 2026
Mar 27, 20141 then
RAUM -2.5% over the last fiscal year+1.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 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
- $125MderivedRAUM 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
- -2.5%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
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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$1.4B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- 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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••• C•••••• P••••••• I••• L••• | Private Equity Fund | $448M | 495 | Mar 27, 2019 |
| C••••••• C•••••• P••••••• I•• L••• | Private Equity Fund | $344M | 400 | Mar 30, 2015 |
| C••••••• C•••••• P•••••••• L••• | Private Equity Fund | $62.1M | 93 | Feb 23, 2012 |
| C••••••• C•••••• P••••••• I•• L••• | Private Equity Fund | $40.5M | 382 | Mar 31, 2023 |
| L•••••• 2••• P•••••••• L••• | Private Equity Fund | $8.9M | 2 | Mar 31, 2021 |
| C••••••• C•••••• P••••••• ••••• L•••no longer reported | Private Equity Fund | $3.0M | 72 | Feb 23, 2012 |
| C••••••• C•••••• P••••••• I•• ••• L•••no longer reported | Private Equity Fund | $1.3M | 9 | Mar 27, 2019 |
Owners and control persons
Schedule A and B, latest filing
- A••••••• G••••••• F•••• · Partnercontrolsince 01/2013 · owns less than 5%
- B•••••• J•••• R••••• · Limited Partnercontrolsince 03/2010 · owns 75% or more
- F••••••• J•••••• P••••• · Partnercontrolsince 01/2024 · owns less than 5%
- F••••••• S•••• A••• · Partnercontrolsince 12/2021 · owns less than 5%
- R•••• K••••••• · Chief Financial Officer And Chief Compliance Officercontrolsince 05/2021 · owns less than 5%
- B•••••• J•••• R••••• · Managing Membercontrolsince 03/2010 · owns 75% or more of C••••••• C•••••• M••••••••• •••• L••
Entity owners
- C••••••• C•••••• M••••••••• •••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- B•••••• C••••••••• M••••••••• L••pooled vehicle sponsorn
- B•••••• M•• P••••••• •••• L••pooled vehicle sponsorn
- C••••••• C•••••• •••• L•investment adviserpooled vehicle sponsorn
- C••••••• C•••••• •••• L••pooled vehicle sponsorn
- C••••••• C•••••• I• •••• L•••investment adviserpooled vehicle sponsorn
- C••••••• C•••••• I• •••• L•••pooled vehicle sponsorn
- C••••••• C•••••• I•• •••• L••investment adviserpooled vehicle sponsorn
- C••••••• C•••••• I• •••• L••investment adviserpooled vehicle sponsorn
- C••••••• F••••• G• L••pooled vehicle sponsorn
- L•••••• 2••• G•• L••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $1.4B to $1.4BMar 28, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $1.4B to $1.4BMar 28, 2025 to Mar 25, 2026
- RAUM · $1.4B to $1.4BMar 28, 2025 to Mar 25, 2026
- Financial planning clients · unset to May 1, 2024 to Mar 28, 2025
- Private funds · 5 to 7May 1, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.4B to $1.4BMay 1, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.4B to $1.4BMay 1, 2024 to Mar 28, 2025
- RAUM · $1.4B to $1.4BMay 1, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.3B to $1.4BMar 31, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $1.3B to $1.4BMar 31, 2023 to Mar 27, 2024
- RAUM · $1.3B to $1.4BMar 31, 2023 to Mar 27, 2024
- Accounts · 9 to 11Nov 14, 2022 to Mar 31, 2023
- Pooled vehicle clients · 9 to 11Nov 14, 2022 to Mar 31, 2023
- Private funds · 4 to 5Nov 14, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.1B to $1.3BNov 14, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.1B to $1.3BNov 14, 2022 to Mar 31, 2023
- RAUM · $1.1B to $1.3BNov 14, 2022 to Mar 31, 2023
- Employees · 7 to 8May 17, 2021 to Mar 31, 2022
- Discretionary RAUM · $1.0B to $1.1BMay 17, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $1.0B to $1.1BMay 17, 2021 to Mar 31, 2022
- RAUM · $1.0B to $1.1BMay 17, 2021 to Mar 31, 2022
- Accounts · 8 to 9Mar 28, 2020 to Mar 31, 2021
- Pooled vehicle clients · 8 to 9Mar 28, 2020 to Mar 31, 2021
- Discretionary RAUM · $939M to $1.0BMar 28, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $939M to $1.0BMar 28, 2020 to Mar 31, 2021
- RAUM · $939M to $1.0BMar 28, 2020 to Mar 31, 2021
- Accounts · 6 to 8Mar 27, 2019 to Mar 28, 2020
- Pooled vehicle clients · 6 to 8Mar 27, 2019 to Mar 28, 2020
- Assets in custody · 527050388.0 to unsetMar 27, 2019 to Mar 28, 2020
- Custody of client assets · true to falseMar 27, 2019 to Mar 28, 2020
- Discretionary RAUM · $858M to $939MMar 27, 2019 to Mar 28, 2020
- Pooled vehicle RAUM · $858M to $939MMar 27, 2019 to Mar 28, 2020
- RAUM · $858M to $939MMar 27, 2019 to Mar 28, 2020
- Accounts · 4 to 6Mar 28, 2018 to Mar 27, 2019
- Pooled vehicle clients · 4 to 6Mar 28, 2018 to Mar 27, 2019
- Assets in custody · $436M to $527MMar 28, 2018 to Mar 27, 2019
- Private funds · 2 to 4Mar 28, 2018 to Mar 27, 2019
- Discretionary RAUM · $669M to $858MMar 28, 2018 to Mar 27, 2019
- Pooled vehicle RAUM · $669M to $858MMar 28, 2018 to Mar 27, 2019
- RAUM · $669M to $858MMar 28, 2018 to Mar 27, 2019
Signals
7 dated events
- Philip Joseph Franken (Partner) appeared on Schedule A of C••••••• C•••••• P•••••••Mar 27, 2024 · Control person joined · fact
- Revell Anthony Bienstock (Partner) no longer on Schedule A of C••••••• C•••••• P••••••• (listed 2022-11-14, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Adam Sean Freeman (Partner) appeared on Schedule A of C••••••• C•••••• P•••••••Mar 31, 2023 · Control person joined · fact
- K••••••• R••• (Chief Financial Officer) appeared on Schedule A of C••••••• C•••••• P•••••••May 17, 2021 · Control person joined · fact
- M•••••• W•••••• E••••• (Chief Financial Officer) no longer on Schedule A of C••••••• C•••••• P••••••• (listed 2021-03-31, absent 2021-05-17)May 17, 2021 · Control person left · inference
- C••••••• C•••••• P••••••• reported RAUM $857.7M, up 28% from $669.5M (2018-03-28 to 2019-03-27)Mar 27, 2019 · RAUM change · derived
- C••••••• C•••••• P••••••• filed its initial SEC registration (Form ADV)Jun 26, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C••••••• C•••••• P••••••• · Independent Sponsorsshared crd · capital_provider
- C••••••• C•••••• P••••••• · Private Equityshared crd · organization
- C••••••• C•••••• P••••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- C•••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-616-9678reportedpublic record, Form ADV, Mar 25, 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