DFX Intelligence

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C•••• C•••••• M••••••••• L•

Asset manager (funds and pooled vehicles)SEC-registered2 private funds· New York, New Yorkwebsite

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $577M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-06-01 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $577M
Advisors: 0
RAUM change, 1 year: -36%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-06-01 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

-35.8%
RAUM, one year
RAUM $899M to $577M (-35.8%) on the Form ADV filed 1 Jun 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 160398 · SEC 801-73997 · 30 filingsShow

CRD 160398SEC 801-73997First filing on the tape Feb 14, 2012, latest Jun 1, 2026SEC status approved since Mar 30, 2012IAPD

RAUM

$577M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

30 filings and snapshots on the tape

RAUM +6.3% a year over three years · the tape starts Feb 14, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$577M as of Jun 1, 2026

Mar 26, 2013$408M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Jun 1, 2026

Mar 26, 20130 then

Employees (5.A)15 as of Jun 1, 2026

Mar 26, 201314 then

Private funds2 as of Jun 1, 2026

Mar 26, 20131 then

RAUM -36% over the last fiscal year+6.3% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Jun 1, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $144MderivedRAUM 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: -36%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
Custody: $577M, 4 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

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)
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

100% pooled investment vehicles

The breakdown by client type, and the client counts1 client typesShow

Pooled investment vehicles$577M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 4reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $577M for 4 clientsreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 0% private clients, 100% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

3 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
C•••• A•••• M••••• F•••• L••	Hedge Fund	$520M	16	Apr 30, 2020
C•••• F•••• I••••• M••••• F•••• L•	Hedge Fund	$57.7M	13	Feb 14, 2012
C•••• L••••••••• R••• E••••• M••••• F•••• L•no longer reported	Hedge Fund	$0	11	Mar 29, 2016

Owners and control persons

Schedule A and B, latest filing

H•• J••••• Y• · Limited Partnercontrol
since 01/2012 · owns 10% to 25%
O•••• D•••••• O•••• · Chief Operating Officer/Chief Compliance Officer/Limited Partnercontrol
since 07/2015 · owns 5% to 10%
S••••••••• A••••••• P••••••• · Limited Partner/Chief Investment Officercontrol
since 06/2009 · owns 75% or more
S••••••••• A••••••• P••••••• · Managing Membercontrol
since 04/2014 · owns 50% to 75% of C•••• C•••••• M••••••••• G•• L••
D••••• J•••• P•••••• · Limited Partner, Head Of Business Development
since 08/2024 · owns 10% to 25%

All 6 control persons

L••• C••••••• · Limited Partner
since 02/2020 · owns 5% to 10%

Entity owners

C•••• C•••••• M••••••••• G•• L•• · General Partner
direct · owns less than 5%

Related persons

Schedule D 7.A

C•••• C•••••• G•• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

RAUM down 25 %Change between filings · filing Apr 1, 2026
RAUM (Item 5.F) moved from $899,315,507 to $577,222,671 (-36.0%) between the annual amendments of 2025-03-27 and 2026-04-01; the peer median change was +8.0% (672 comparable advisers, 4.0th percentile of changes)
peers: asset managers, $500M to $1B (672) · 3.9% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Assets in custody · $0 to $577M
Mar 27, 2025 to Mar 31, 2026
Discretionary RAUM · $899M to $577M
Mar 27, 2025 to Mar 31, 2026
Pooled vehicle RAUM · $899M to $577M
Mar 27, 2025 to Mar 31, 2026
RAUM · $899M to $577M
Mar 27, 2025 to Mar 31, 2026
Employees · 16 to 15
Mar 28, 2024 to Mar 27, 2025

Full history · 80 changes

Financial planning clients · unset to
Mar 28, 2024 to Mar 27, 2025
Discretionary RAUM · $866M to $899M
Mar 28, 2024 to Mar 27, 2025
Pooled vehicle RAUM · $866M to $899M
Mar 28, 2024 to Mar 27, 2025
RAUM · $866M to $899M
Mar 28, 2024 to Mar 27, 2025
Employees · 15 to 16
Dec 13, 2023 to Mar 28, 2024
Discretionary RAUM · $831M to $866M
Dec 13, 2023 to Mar 28, 2024
Pooled vehicle RAUM · $831M to $866M
Dec 13, 2023 to Mar 28, 2024
RAUM · $831M to $866M
Dec 13, 2023 to Mar 28, 2024
Discretionary RAUM · $480M to $831M
Mar 30, 2023 to Dec 13, 2023
Pooled vehicle RAUM · $480M to $831M
Mar 30, 2023 to Dec 13, 2023
RAUM · $480M to $831M
Mar 30, 2023 to Dec 13, 2023
Advisory employees · 5 to 4
Mar 30, 2022 to Mar 30, 2023
Discretionary RAUM · $374M to $480M
Mar 30, 2022 to Mar 30, 2023
Pooled vehicle RAUM · $374M to $480M
Mar 30, 2022 to Mar 30, 2023
RAUM · $374M to $480M
Mar 30, 2022 to Mar 30, 2023
Advisory employees · 6 to 5
Mar 31, 2021 to Mar 30, 2022
Employees · 17 to 15
Mar 31, 2021 to Mar 30, 2022
Discretionary RAUM · $295M to $374M
Mar 31, 2021 to Mar 30, 2022
Pooled vehicle RAUM · $295M to $374M
Mar 31, 2021 to Mar 30, 2022
RAUM · $295M to $374M
Mar 31, 2021 to Mar 30, 2022
Accounts · 5 to 4
Apr 30, 2020 to Mar 31, 2021
Advisory employees · 7 to 6
Apr 30, 2020 to Mar 31, 2021
Pension plan clients · 1.0 to unset
Apr 30, 2020 to Mar 31, 2021
Employees · 18 to 17
Apr 30, 2020 to Mar 31, 2021
Discretionary RAUM · $437M to $295M
Apr 30, 2020 to Mar 31, 2021
Pension RAUM · 340710439.0 to unset
Apr 30, 2020 to Mar 31, 2021
Pooled vehicle RAUM · $96.2M to $295M
Apr 30, 2020 to Mar 31, 2021
RAUM · $437M to $295M
Apr 30, 2020 to Mar 31, 2021
Private funds · 1 to 2
Mar 30, 2020 to Apr 30, 2020
Accounts · 4 to 5
Mar 29, 2019 to Mar 30, 2020
Advisory employees · 5 to 7
Mar 29, 2019 to Mar 30, 2020
Pooled vehicle clients · 3 to 4
Mar 29, 2019 to Mar 30, 2020
Employees · 16 to 18
Mar 29, 2019 to Mar 30, 2020
Discretionary RAUM · $350M to $437M
Mar 29, 2019 to Mar 30, 2020
Pension RAUM · $277M to $341M
Mar 29, 2019 to Mar 30, 2020
Pooled vehicle RAUM · $73.3M to $96.2M
Mar 29, 2019 to Mar 30, 2020
RAUM · $350M to $437M
Mar 29, 2019 to Mar 30, 2020
Advisory employees · 4 to 5
Jul 31, 2018 to Mar 29, 2019
Employees · 15 to 16
Jul 31, 2018 to Mar 29, 2019
Discretionary RAUM · $488M to $350M
Jul 31, 2018 to Mar 29, 2019
Pension RAUM · $257M to $277M
Jul 31, 2018 to Mar 29, 2019
Pooled vehicle RAUM · $232M to $73.3M
Jul 31, 2018 to Mar 29, 2019
RAUM · $488M to $350M
Jul 31, 2018 to Mar 29, 2019
Advisory employees · 7 to 4
Mar 30, 2017 to Mar 28, 2018
Pension plan clients · unset to 1.0
Mar 30, 2017 to Mar 28, 2018
Pooled vehicle clients · unset to 3.0
Mar 30, 2017 to Mar 28, 2018
Other offices · unset to 0.0
Mar 30, 2017 to Mar 28, 2018
Discretionary RAUM · $458M to $488M
Mar 30, 2017 to Mar 28, 2018
Pension RAUM · unset to 256628186.0
Mar 30, 2017 to Mar 28, 2018
Pooled vehicle RAUM · unset to 231676766.0
Mar 30, 2017 to Mar 28, 2018
RAUM · $458M to $488M
Mar 30, 2017 to Mar 28, 2018
Employees · 16 to 15
Mar 30, 2016 to Mar 30, 2017
Discretionary RAUM · $400M to $458M
Mar 30, 2016 to Mar 30, 2017
RAUM · $400M to $458M
Mar 30, 2016 to Mar 30, 2017
Accounts · 7 to 4
Mar 29, 2016 to Mar 30, 2016
Advisory employees · 8 to 7
Mar 29, 2016 to Mar 30, 2016
Employees · 17 to 16
Mar 29, 2016 to Mar 30, 2016
Private funds · 2 to 1
Mar 29, 2016 to Mar 30, 2016
Discretionary RAUM · $408M to $400M
Mar 29, 2016 to Mar 30, 2016
RAUM · $408M to $400M
Mar 29, 2016 to Mar 30, 2016
Accounts · 4 to 7
Nov 24, 2015 to Mar 29, 2016
Advisory employees · 6 to 8
Nov 24, 2015 to Mar 29, 2016
Advisory activities · 2 to 1
Nov 24, 2015 to Mar 29, 2016
Private funds · 1 to 2
Nov 24, 2015 to Mar 29, 2016
Discretionary RAUM · $534M to $408M
Nov 24, 2015 to Mar 29, 2016
RAUM · $534M to $408M
Nov 24, 2015 to Mar 29, 2016
Succession · true to false
Mar 27, 2015 to May 15, 2015
Advisory employees · 4 to 6
Jun 10, 2014 to Mar 27, 2015
Business name · C•••• C•••••• M••••••••• L•• to C•••• C•••••• M••••••••• L•
Jun 10, 2014 to Mar 27, 2015
Employees · 15 to 17
Jun 10, 2014 to Mar 27, 2015
Legal name · C•••• C•••••• M••••••••• L•• to C•••• C•••••• M••••••••• L•
Jun 10, 2014 to Mar 27, 2015
Organization form · Limited Liability Company to Limited Partnership
Jun 10, 2014 to Mar 27, 2015
Discretionary RAUM · $528M to $534M
Jun 10, 2014 to Mar 27, 2015
RAUM · $528M to $534M
Jun 10, 2014 to Mar 27, 2015
Succession · false to true
Jun 10, 2014 to Mar 27, 2015

Signals

12 dated events

••• Locked
Jun 1, 2026 · Control person joined · fact
••• Locked
Jun 1, 2026 · ria private fund assets change · fact
••• Locked
Jun 1, 2026 · ria principal change · fact
••• Locked
Jun 1, 2026 · ria ownership band change · fact
••• Locked
Jun 1, 2026 · ria ownership band change · fact

Full timeline · 12 events

••• Locked
Jun 1, 2026 · ria ownership band change · fact
••• Locked
Mar 31, 2026 · RAUM change · derived
••• Locked
Dec 13, 2023 · RAUM change · derived
••• Locked
Mar 30, 2023 · RAUM change · derived
••• Locked
Mar 31, 2021 · RAUM change · derived
••• Locked
Mar 29, 2019 · RAUM change · derived
••• Locked
Mar 27, 2015 · Succession (Item 4) · 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: ••• Lockedreportedpublic record, Form ADV, Jun 1, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jun 1, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months.