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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Former SEC-registered adviser

C•••••• D••••••• A•

Former SEC-registered adviserZug, CRD 160881SEC 801-73631IAPD
Latest filing Jul 31, 2015
First filing on the tape Feb 14, 2012 · 16 filings
RAUM
$871M
reported, Item 5.F
Discretionary
20%
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
51
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$171M gross assets
History
16 filings and snapshots on the tape
RAUM$871M as of Mar 31, 2015
Mar 28, 2013$7.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Mar 28, 20130 then
Employees (5.A)51 as of Mar 31, 2015
Mar 28, 201350 then
Private funds2 as of Mar 31, 2015
Mar 28, 201312 then
RAUM -60% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 31, 2015; 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
$290MderivedRAUM over accounts (5.F.2.f)
Discretionary
20%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
-60%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, hourly, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, performancereported
Class basis
absent from the latest SEC rosterderived
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
      20 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••• D••••••• C•••• E••••• A•• I••••••••• F••• L•no longer reportedPrivate Equity Fund$281M1Feb 14, 2012
      C•••••• D••••••• G••••• S••••••••• I••no longer reportedPrivate Equity Fund$278M21Feb 14, 2012
      C•••••• D••••••• G••••••••• V•• • E••••••• M••••••••• B•••••no longer reportedPrivate Equity Fund$144M5Feb 14, 2012
      C•••••• D••••••• E••••••• C••••••••• F••• L•no longer reportedPrivate Equity Fund$139M11Feb 14, 2012
      C•••••• D••••••• G••••••••• V••• • E••••••• M••••••••• B•••••• L•••no longer reportedPrivate Equity Fund$138M4Mar 28, 2013
      C•••••• D••••••• G••••••••• V•• • U• P•••••• E•••••no longer reportedPrivate Equity Fund$114M6Feb 14, 2012
      C•••••• D••••••• G••••••••• V•• • A•••• P•••••• E•••••no longer reportedPrivate Equity Fund$78.1M7Feb 14, 2012
      P•• 1•• L•••Private Equity Fund$59.0M2Mar 31, 2015
      C•••••• D••••••• S•• • G••••• S••••••••• I••no longer reportedPrivate Equity Fund$56.1M6Mar 28, 2014
      C•••••• D••••••• G••••••••• V•• • E••••••• V••••••no longer reportedPrivate Equity Fund$22.0M8Feb 14, 2012
      C•••••• D••••••• S•• • C•••• E••••• A•• I•••••••••no longer reportedPrivate Equity Fund$16.1M2Mar 28, 2014
      C•••••• D••••••• S•• • E••••••• C•••••••••no longer reportedPrivate Equity Fund$11.2M1Mar 28, 2014
      C•••••• D••••••• S•• • M••••••••• D••••• I••no longer reportedPrivate Equity Fund$10.1M4Mar 28, 2013
      P••• S••••• I• H••••••• L••Private Equity Fund$5.2M2Mar 30, 2016
      C•••••• D••••••• S•• • G••••••••• V•• A•••• P•••••• E•••••no longer reportedPrivate Equity Fund$3.7M4Mar 28, 2014
      A••••• L••Private Equity Fund$2.2M5Feb 14, 2012
      C•••••• D••••••• S•• • U• M••••••••• B•••••no longer reportedPrivate Equity Fund$1.6M1Mar 28, 2014
      C•••••• D••••••• G••••••••• V••• • U• M••••••••• B•••••• L•••no longer reportedPrivate Equity Fund$1.6M5Mar 28, 2013
      C•••••• D••••••• S•• • E••••••• M••••••••• B•••••no longer reportedPrivate Equity Fund$458,3402Mar 28, 2014
      C•••••• D••••••• S•• • G••••••••• V••• A••• P•••••• E•••••no longer reportedPrivate Equity Fund$00Mar 28, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• H••• · Chief Compliance Officer, US General Counsel, Executive Committee Membercontrol
        since 02/2014 · owns less than 5%
      • A•••••••• E••• · Chief Financial Officer, Executive Committee Membercontrol
        since 01/2013 · owns less than 5%
      • B••••••••• A•••••• G•••• · Managing D•••••Or, Executive Committee Membercontrol
        since 03/2015 · owns less than 5%
      • B••••••••• J•••• W•••••• · Managing D•••••Or, Executive Committee Membercontrol
        since 01/2014 · owns less than 5%
      • G•••••••• G••••• · Managing D•••••Or, Chief Operating Officer, Executive Committee Member, Board Membercontrol
        since 01/2013 · owns less than 5%
      • H•••• M•••••• G••••• · Managing D•••••Or, President Of Executive Committeecontrol
        since 11/2011 · owns less than 5%
      • K••••••••• K•••••••• · Managing D•••••Or, Executive Committee Membercontrol
        since 11/2010 · owns less than 5%
      • K•••• T•••••• J• · Managing D•••••Or, Executive Chairmancontrol
        since 07/2012 · owns less than 5%
      • W•••••••• A••••• · Managing D•••••Or, Executive Committe Membercontrol
        since 04/2005 · owns less than 5%
      • Z•••••• H••••• · General Counsel, Head Of Legal And Compliance, Executive Committee Membercontrol
        since 03/2015 · owns less than 5%
      • K•••• T•••••• J• · Ownercontrol
        since 11/1999 · owns 75% or more of Capital D••••••• Holdings Ag
      Entity owners
      • C•••••• D••••••• H•••••• A• · Parent/Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Advisers that list C•••••• D••••••• A• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 18 to 3
        Mar 28, 2014 to Mar 31, 2015
      • Advisory employees · 59 to 5
        Mar 28, 2014 to Mar 31, 2015
      • Advisory activities · 2 to 4
        Mar 28, 2014 to Mar 31, 2015
      • BD registered reps · 3 to 1
        Mar 28, 2014 to Mar 31, 2015
      • Assets in custody · 2190517192.0 to unset
        Mar 28, 2014 to Mar 31, 2015
      • Custody of client assets · true to false
        Mar 28, 2014 to Mar 31, 2015
      • Employees · 59 to 51
        Mar 28, 2014 to Mar 31, 2015
      • Private funds · 18 to 2
        Mar 28, 2014 to Mar 31, 2015
      • Discretionary RAUM · $1.5B to $171M
        Mar 28, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $643M to $700M
        Mar 28, 2014 to Mar 31, 2015
      • RAUM · $2.2B to $871M
        Mar 28, 2014 to Mar 31, 2015
      • Accounts · 15 to 18
        Feb 25, 2014 to Mar 28, 2014
      • Advisory employees · 50 to 59
        Feb 25, 2014 to Mar 28, 2014
      • Assets in custody · $2.0B to $2.2B
        Feb 25, 2014 to Mar 28, 2014
      • Employees · 50 to 59
        Feb 25, 2014 to Mar 28, 2014
      • Private funds · 12 to 18
        Feb 25, 2014 to Mar 28, 2014
      • Discretionary RAUM · $1.1B to $1.5B
        Feb 25, 2014 to Mar 28, 2014
      • Non-discretionary RAUM · $5.9B to $643M
        Feb 25, 2014 to Mar 28, 2014
      • RAUM · $7.0B to $2.2B
        Feb 25, 2014 to Mar 28, 2014
      • Accounts · 15 to 13
        Jan 15, 2013 to Mar 28, 2013
      • Private funds · 8 to 12
        Jan 15, 2013 to Mar 28, 2013
      • Discretionary RAUM · $1.0B to $1.1B
        Jan 15, 2013 to Mar 28, 2013
      • Non-discretionary RAUM · $3.1B to $5.9B
        Jan 15, 2013 to Mar 28, 2013
      • RAUM · $4.2B to $7.0B
        Jan 15, 2013 to Mar 28, 2013
      • Accounts · 13 to 15
        Mar 28, 2013 to Mar 28, 2013
      • BD registered reps · 2 to 3
        Mar 28, 2013 to Mar 28, 2013
      • Advisory employees · unset to 50.0
        Sep 26, 2012 to Jan 15, 2013
      • BD registered reps · unset to 2.0
        Sep 26, 2012 to Jan 15, 2013
      • Employees · unset to 50.0
        Sep 26, 2012 to Jan 15, 2013
      • State-registered IARs · unset to 0.0
        Sep 26, 2012 to Jan 15, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Firm profile
      linkedin.com/company/capital-dynamicsreportedpublic record, Form ADV, Sep 18, 2026
      Website
      CAPDYN.COMreportedpublic record, Form ADV, Sep 18, 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
      Former SEC-registered adviserderiveda 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