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•• C••••••

Asset manager (funds and pooled vehicles)New York, New YorkCRD 160700SEC 801-100491websiteIAPD
Legal name C•• F••• M••••••••• L••
Latest filing Jun 7, 2024
First filing on the tape Jun 30, 2015 · 17 filings
SEC status approved since Jul 15, 2015
RAUM
$426M
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
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$426M gross assets
History
17 filings and snapshots on the tape
RAUM$500M as of Mar 30, 2024
Mar 30, 2016$423M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2024
Mar 30, 20160 then
Employees (5.A)5 as of Mar 30, 2024
Mar 30, 20168 then
Private funds3 as of Mar 30, 2024
Mar 30, 20162 then
RAUM -15% over the last fiscal year-29% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 7, 2024; 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
$142MderivedRAUM 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
+0.0%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
  • 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)
  • 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$426M100%
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
% 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
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•• C•••••• F••• I••• L•••Private Equity Fund$217M19Mar 27, 2020
      C•• C•••••• F••• I•• L•••Private Equity Fund$206M39Mar 30, 2016
      C•• C•••••• F•••• L•••Private Equity Fund$2.6M26Apr 2, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••• S••••• C••••••• · Managing Partner / Member / Of C•• F••• M••••••••• L••control
        since 10/2011 · owns 50% to 75%
      • V•••• M••••••• G•••••• · Cco, Coo, Managing Director / Member / Of C•• F••• M••••••••• L••control
        since 10/2011 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • C•• C•••••• G• I•• L•••
        pooled vehicle sponsorn
      • C•• C•••••• G• I•• L••
        pooled vehicle sponsorn
      • C•• C•••••• G• I••• L•••
        pooled vehicle sponsorn
      • C•• C•••••• G• I••• L••
        pooled vehicle sponsorn
      • C•• C•••••• G•• L•••
        pooled vehicle sponsorn
      • C•• C•••••• G•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $500M to $426M
        Mar 30, 2024 to Jun 7, 2024
      • Pooled vehicle RAUM · $500M to $426M
        Mar 30, 2024 to Jun 7, 2024
      • RAUM · $500M to $426M
        Mar 30, 2024 to Jun 7, 2024
      • Advisory employees · 13 to 5
        Mar 31, 2022 to Mar 30, 2023
      • Assets in custody · 1210701761.0 to unset
        Mar 31, 2022 to Mar 30, 2023
      • Custody of client assets · true to false
        Mar 31, 2022 to Mar 30, 2023
      • Employees · 14 to 5
        Mar 31, 2022 to Mar 30, 2023
      • Discretionary RAUM · $578M to $500M
        Mar 31, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · $578M to $500M
        Mar 31, 2022 to Mar 30, 2023
      • RAUM · $578M to $500M
        Mar 31, 2022 to Mar 30, 2023
      • Discretionary RAUM · $1.2B to $578M
        Mar 30, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $1.2B to $578M
        Mar 30, 2021 to Mar 31, 2022
      • RAUM · $1.2B to $578M
        Mar 30, 2021 to Mar 31, 2022
      • Assets in custody · $1.1B to $1.2B
        Oct 26, 2020 to Mar 30, 2021
      • Discretionary RAUM · $1.1B to $1.2B
        Oct 26, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $1.1B to $1.2B
        Oct 26, 2020 to Mar 30, 2021
      • RAUM · $1.1B to $1.2B
        Oct 26, 2020 to Mar 30, 2021
      • Accounts · 2 to 3
        Apr 1, 2019 to Mar 27, 2020
      • Advisory employees · 10 to 13
        Apr 1, 2019 to Mar 27, 2020
      • Pooled vehicle clients · 2 to 3
        Apr 1, 2019 to Mar 27, 2020
      • Assets in custody · $646M to $1.1B
        Apr 1, 2019 to Mar 27, 2020
      • Employees · 11 to 14
        Apr 1, 2019 to Mar 27, 2020
      • Private funds · 2 to 3
        Apr 1, 2019 to Mar 27, 2020
      • Discretionary RAUM · $646M to $1.1B
        Apr 1, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $646M to $1.1B
        Apr 1, 2019 to Mar 27, 2020
      • RAUM · $646M to $1.1B
        Apr 1, 2019 to Mar 27, 2020
      • Assets in custody · $0 to $646M
        Mar 30, 2018 to Apr 1, 2019
      • Discretionary RAUM · $661M to $646M
        Mar 30, 2018 to Apr 1, 2019
      • Pooled vehicle RAUM · $661M to $646M
        Mar 30, 2018 to Apr 1, 2019
      • RAUM · $661M to $646M
        Mar 30, 2018 to Apr 1, 2019
      • Pooled vehicle clients · unset to 2.0
        Jun 29, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Jun 29, 2017 to Mar 30, 2018
      • Discretionary RAUM · $607M to $661M
        Jun 29, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 661458022.0
        Jun 29, 2017 to Mar 30, 2018
      • RAUM · $607M to $661M
        Jun 29, 2017 to Mar 30, 2018
      • Advisory employees · 7 to 10
        Jun 30, 2016 to Mar 31, 2017
      • Employees · 8 to 11
        Jun 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $423M to $607M
        Jun 30, 2016 to Mar 31, 2017
      • RAUM · $423M to $607M
        Jun 30, 2016 to Mar 31, 2017
      • Related adviser · true to false
        Jun 30, 2016 to Mar 31, 2017
      Signals
      4 dated events
      • C•• C•••••• reported RAUM $578.4M, down 52% from $1.2B (2021-03-30 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • Ross Justin Lipton (Managing Director / Member / Of C•• F••• M••••••••• L••) no longer on Schedule A of C•• C•••••• (listed 2020-03-27, absent 2020-10-26)
        Oct 26, 2020 · Control person left · inference
      • C•• C•••••• reported RAUM $1.1B, up 66% from $646.0M (2019-04-01 to 2020-03-27)
        Mar 27, 2020 · RAUM change · derived
      • C•• C•••••• filed its initial SEC registration (Form ADV)
        Jun 30, 2015 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Website
      w••.c•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      212-257-5000reportedpublic record, Form ADV, Jun 7, 2024
      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