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••• I••••••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jan 20, 2012 · 23 filings
SEC status approved since Oct 23, 2012
RAUM
$1.8B
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
27
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$1.8B as of Mar 27, 2026
Mar 26, 2013$28.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 26, 20130 then
Employees (5.A)27 as of Mar 27, 2026
Mar 26, 201310 then
Private funds: no history
RAUM -4.4% over the last fiscal year-1.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $1.8BderivedRAUM 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
- -4.4%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 investment companiesreportedItem 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)
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
- 1reported
- Financial planning clients
- 0reported
- 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=true 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• C•••••• · Managing Directorcontrolsince 03/2024 · owns less than 5%
- B••••••• G••••• A••• · President And Chief Investment Officercontrolsince 04/2016 · owns less than 5%
- F••••• K••••• S•••• · Managing Director And Cfocontrolsince 09/2011 · owns less than 5%
- G••••• M••• · Co-Ceo, Directorcontrolsince 09/2011 · owns less than 5%
- P•••••• E•••• A•••••• · Chief Legal Officercontrolsince 11/2021 · owns less than 5%
- R••••••• M••••••• A••• · Co-Ceo, Directorcontrolsince 09/2011 · owns less than 5%
- R••••• S•••••• · Chief Compliance Officercontrolsince 02/2016 · owns less than 5%
- S•••••• G••••••• M•••••• · Managing Directorcontrolsince 09/2011 · owns less than 5%
- W••••• H•••••• T••• · Directorcontrolsince 07/2017 · owns less than 5%
- G••••• M••• · Trusteecontrolsince 12/2022 · owns 75% or more of G•••• L••••• T••••
- R••••••• M••••••• A••• · Trusteecontrolsince 02/2024 · owns 75% or more of M•••••• R•••••• R•••••••• L••••• T••••
Entity owners
- C••• I••••••••• G••••• L•• · Member - Series A Interestsdirect · owns 75% or more
- A•• M••••••••• L•• · General Partnerindirect · owns F of A••••• I••••••••• M••••••••• L•••
- A•• H••••••• •••••••• L••• · Limited Partnerindirect · owns 75% or more of A••••• M••••••••• H•••••••• L•••
- A•• H••••••• G•• L••• · General Partnerindirect · owns F of A•• H••••••• •••••••• L•••
- A•• C•••• · Sole Memberindirect · owns F of A••••• M••••••••• H••••••• G•• L••
- A•• C•••• · Limited Partnerindirect · owns 50% to 75% of A•• H••••••• •••••••• L•••
- A••••• A•••• M••••••••• I•• · Sole Memberindirect · owns 75% or more of A•• C••••
- A••••• C•••••• M••••••••• G•• L•• · General Partnerindirect · owns F of A••••• C•••••• M••••••••• L•••
- A••••• C•••••• M••••••••• L••• · Sole Member-Managerindirect · owns F of A•• M••••••••• L••
- A••••• G••••• M••••••••• I••• · Sole Shareholderindirect · owns 75% or more of A••••• A•••• M••••••••• I•• · public reporting company
- A••••• G••••• M••••••••• I••• · Limited Partnerindirect · owns 25% to 50% of A•• H••••••• •••••••• L••• · public reporting company
- A••••• M••••••••• H••••••• G•• L•• · General Partnerindirect · owns F of A••••• M••••••••• H•••••••• L•••
- A••••• M••••••••• H•••••••• L••• · Sole Member-Managerindirect · owns F of A••••• M••••••••• H•••••••• L•••
- A••••• M••••••••• H•••••••• L••• · Limited Partnerindirect · owns 75% or more of A••••• I••••••••• M••••••••• L•••
- G•••• L••••• T•••• · Shareholderindirect · owns 25% to 50% of W•••••••• C•••••• C••••
- M•••••• R•••••• R•••••••• L••••• T•••• · Shareholderindirect · owns 25% to 50% of W•••••••• C•••••• C••••
- W•••••••• C•••••• C•••• · Member Series Bindirect · owns 50% to 75% of C••• I••••••••• G••••• L••
- A••••• I••••••••• M••••••••• L••• · Member - Series C Interestsdirect · owns 75% or more
- N••• V•••••••• L•• · Member - Series B Interestsdirect · owns 75% or more
Related persons
Schedule D 7.A
- C••• I••••••••• G••••• L••pooled vehicle sponsory
- C••• I••••••••• M••••••••• I•• L••investment advisern
- C••• S••••••••• L••broker-dealern
Advisers that list C••• I••••••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 28 to 27Mar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.9B to $1.8BMar 26, 2025 to Mar 27, 2026
- RAUM · $1.9B to $1.8BMar 26, 2025 to Mar 27, 2026
- Advisory employees · 11 to 12Aug 26, 2024 to Mar 26, 2025
- Employees · 27 to 28Aug 26, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Aug 26, 2024 to Mar 26, 2025
- Discretionary RAUM · $2.0B to $1.9BAug 26, 2024 to Mar 26, 2025
- RAUM · $2.0B to $1.9BAug 26, 2024 to Mar 26, 2025
- Related bank · false to trueAug 26, 2024 to Mar 26, 2025
- Advisory employees · 9 to 11Mar 22, 2023 to Mar 28, 2024
- Employees · 20 to 27Mar 22, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.9B to $2.0BMar 22, 2023 to Mar 28, 2024
- RAUM · $1.9B to $2.0BMar 22, 2023 to Mar 28, 2024
- Advisory employees · 10 to 9Nov 7, 2022 to Mar 22, 2023
- Employees · 21 to 20Nov 7, 2022 to Mar 22, 2023
- Discretionary RAUM · $1.8B to $1.9BNov 7, 2022 to Mar 22, 2023
- RAUM · $1.8B to $1.9BNov 7, 2022 to Mar 22, 2023
- Advisory employees · 11 to 10Mar 24, 2021 to Mar 30, 2022
- Employees · 18 to 21Mar 24, 2021 to Mar 30, 2022
- Discretionary RAUM · $1.6B to $1.8BMar 24, 2021 to Mar 30, 2022
- RAUM · $1.6B to $1.8BMar 24, 2021 to Mar 30, 2022
- Advisory employees · 12 to 11Mar 27, 2020 to Mar 24, 2021
- Employees · 20 to 18Mar 27, 2020 to Mar 24, 2021
- Discretionary RAUM · $1.8B to $1.6BMar 27, 2020 to Mar 24, 2021
- RAUM · $1.8B to $1.6BMar 27, 2020 to Mar 24, 2021
- Employees · 18 to 20Mar 22, 2019 to Mar 27, 2020
- Discretionary RAUM · $1.9B to $1.8BMar 22, 2019 to Mar 27, 2020
- RAUM · $1.9B to $1.8BMar 22, 2019 to Mar 27, 2020
- Advisory employees · 10 to 12Mar 23, 2018 to Mar 22, 2019
- Employees · 17 to 18Mar 23, 2018 to Mar 22, 2019
- Discretionary RAUM · $1.8B to $1.9BMar 23, 2018 to Mar 22, 2019
- RAUM · $1.8B to $1.9BMar 23, 2018 to Mar 22, 2019
- Related adviser · false to trueMar 23, 2018 to Mar 22, 2019
- Advisory employees · 6 to 10Aug 10, 2017 to Mar 23, 2018
- Employees · 13 to 17Aug 10, 2017 to Mar 23, 2018
- Financial planning clients · unset to 0Aug 10, 2017 to Mar 23, 2018
- Other offices · unset to 0.0Aug 10, 2017 to Mar 23, 2018
- Discretionary RAUM · $1.5B to $1.8BAug 10, 2017 to Mar 23, 2018
- RAUM · $1.5B to $1.8BAug 10, 2017 to Mar 23, 2018
- Advisory employees · 5 to 6Mar 28, 2016 to Mar 28, 2017
Signals
6 dated events
- C•••••• A•••••• (Managing Director) appeared on Schedule A of C••• I••••••••• M••••••••• L••Mar 28, 2024 · Control person joined · fact
- Anthony Eric Pinero (Chief Legal Officer) appeared on Schedule A of C••• I••••••••• M••••••••• L••Mar 30, 2022 · Control person joined · fact
- David Leon Black (Shareholder) no longer on Schedule A of C••• I••••••••• M••••••••• L•• (listed 2021-03-24, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Jeffrey Marc Rowan (Shareholder) no longer on Schedule A of C••• I••••••••• M••••••••• L•• (listed 2021-03-24, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Jordan Joshua Harris (Shareholder) no longer on Schedule A of C••• I••••••••• M••••••••• L•• (listed 2021-03-24, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- C••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 3, 2012 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- C•••BDC.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-418-4700reportedpublic record, Form ADV, Mar 27, 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