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••• L•••

Asset manager (funds and pooled vehicles)San Francisco, CaliforniaCRD 160976SEC 801-74362website IAPD

Latest filing Apr 30, 2026

First filing on the tape Feb 17, 2012 · 24 filings

SEC status approved since Mar 27, 2012

RAUM

$747M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

1.6%

$12.2M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

24 filings and snapshots on the tape

RAUM$747M as of Apr 30, 2026

Mar 28, 2013$190M then

HNW client RAUM$12.2M as of Apr 30, 2026

Mar 30, 2018$0 then

State-registered IARs (5.B.3)0 as of Apr 30, 2026

Mar 28, 20130 then

Employees (5.A)13 as of Apr 30, 2026

Mar 28, 201321 then

Private funds11 as of Apr 30, 2026

Mar 28, 20133 then

RAUM -6.9% over the last fiscal year+11% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Apr 30, 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: $2.0MderivedHNW RAUM over HNW clients
Average account: $39.3MderivedRAUM 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: unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year: -6.9%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, otherreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 5.G
Custody: $735M, 13 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

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)
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$735M98%
High-net-worth individuals$12.2M1.6%

Individual clients: 0reported
HNW clients: 6reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 19reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $735M for 13 clientsreported
Compensation: % of AUMreported
Class basis: private_client_share=0.02 fund_share=0.98 institutional_share=0.0 related_bd=false 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

Every departure Every arrival

Private funds

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

Fund	Type	Gross assets	Owners	First reported
C••• I••••••••• M••••• F••• ••••• L•••	Hedge Fund	$167M	20	Feb 17, 2012
C••• O••••••••• F••• I••• L•••	Venture Capital Fund	$123M	75	Mar 30, 2020
C••• O••••••••• F••• I•• L•••	Venture Capital Fund	$88.7M	46	Mar 31, 2023
C••• F••••••• T••••••••• F••• I• L•	Venture Capital Fund	$73.6M	60	Mar 31, 2017
C••• O••••••••• F••• I•• L•••	Venture Capital Fund	$37.4M	26	Mar 30, 2016
C••• R•• I••• L••no longer reported	Venture Capital Fund	$33.0M	24	Mar 31, 2022
C••• R••• L••no longer reported	Venture Capital Fund	$32.5M	11	Mar 31, 2022
C••• O••••••••• F•••• L•••	Venture Capital Fund	$24.1M	26	Feb 17, 2012
C••• F•••••• F•••• L•	Hedge Fund	$20.4M	30	Mar 31, 2019
C••• R•• I•• L••no longer reported	Venture Capital Fund	$9.5M	17	Mar 31, 2022
C••• R•• C••••••••• S••• L••	Venture Capital Fund	$5.4M	59	Mar 31, 2023
V•••••• O••••••••• F••• L•••no longer reported	Hedge Fund	$4.0M	4	Mar 28, 2013
C••• R•• I•• L••	Venture Capital Fund	$3.4M	23	Mar 31, 2022
C••• S•••••••• L••	Venture Capital Fund	$1.0M	16	Mar 31, 2022
C••• S••• O••••••••• F•••• L•	Hedge Fund	$907,150	27	Mar 31, 2022

Owners and control persons

Schedule A and B, latest filing

D•••• C••• · Managercontrol
since 11/2007 · owns less than 5%
K••• K••• C••••• K••••• · Chief Compliance Officercontrol
since 04/2009 · owns less than 5%
N••• J•••••• · Chief Financial Officercontrol
since 01/2016 · owns less than 5%
D•••• C•••• R• · Membercontrol
since 11/2007 · owns 75% or more of C••• L••
H•••••••• G••••••• S•••••• · Trustee
since 08/2019 · owns F of M•• I• T••••
H•••••••• G••••••• S•••••• · Trustee
since 08/2019 · owns F of A•• I• T••••
H•••••••• G••••••• S•••••• · Trustee
since 08/2019 · owns F of L•• I• T••••

Entity owners

A•• I• T•••• · Limited Partner
direct · owns 25% to 50%
C••• L•• · General Partner
direct · owns less than 5%
L•• I• T•••• · Limited Partner
direct · owns 25% to 50%
M•• I• T•••• · Limited Partner
direct · owns 25% to 50%
A•• I• T•••• · Trust
indirect · owns F of A•• I• T••••
L•• I• T•••• · Trust
indirect · owns F of L•• I• T••••
M•• I• T•••• · Trust
indirect · owns F of M•• I• T••••

Related persons

Schedule D 7.A

C••• ••••• L••
banky
C••• G•• L••
bankpooled vehicle sponsory
C••• F•••••• G•• L••
pooled vehicle sponsory
C••• G••••• M•••• F••• I• G•• L••
pooled vehicle sponsory
C••• O••••••••• G• I•• L••
pooled vehicle sponsory
C••• O••••••••• G• I••• L••
pooled vehicle sponsory
C••• O••••••••• G• I•• L••
pooled vehicle sponsory
C••• O••••••••• G•• L••
pooled vehicle sponsory
C••• S••• G•• L••
pooled vehicle sponsory

Offices

Schedule D 1.F, the 25 largest

, 1 employees

What changed

consecutive filings, newest first

Accounts · 15 to 19
Apr 30, 2025 to Mar 31, 2026
Advisory employees · 7 to 4
Apr 30, 2025 to Mar 31, 2026
HNW clients · 0 to 6
Apr 30, 2025 to Mar 31, 2026
Pooled vehicle clients · 12 to 13
Apr 30, 2025 to Mar 31, 2026
Assets in custody · $794M to $735M
Apr 30, 2025 to Mar 31, 2026
Private funds · 10 to 11
Apr 30, 2025 to Mar 31, 2026
Discretionary RAUM · $802M to $747M
Apr 30, 2025 to Mar 31, 2026
HNW RAUM · $7.9M to $12.2M
Apr 30, 2025 to Mar 31, 2026
Pooled vehicle RAUM · $794M to $735M
Apr 30, 2025 to Mar 31, 2026
RAUM · $802M to $747M
Apr 30, 2025 to Mar 31, 2026
Accounts · 13 to 15
Apr 29, 2024 to Apr 30, 2025
Advisory employees · 6 to 7
Apr 29, 2024 to Apr 30, 2025
HNW clients · 2 to 0
Apr 29, 2024 to Apr 30, 2025
Pooled vehicle clients · 11 to 12
Apr 29, 2024 to Apr 30, 2025
Assets in custody · $540M to $794M
Apr 29, 2024 to Apr 30, 2025
Employees · 12 to 13
Apr 29, 2024 to Apr 30, 2025
Financial planning clients · 0 to 0
Apr 29, 2024 to Apr 30, 2025
Private funds · 9 to 10
Apr 29, 2024 to Apr 30, 2025
Discretionary RAUM · $547M to $802M
Apr 29, 2024 to Apr 30, 2025
HNW RAUM · $7.0M to $7.9M
Apr 29, 2024 to Apr 30, 2025
Pooled vehicle RAUM · $540M to $794M
Apr 29, 2024 to Apr 30, 2025
RAUM · $547M to $802M
Apr 29, 2024 to Apr 30, 2025
Assets in custody · $540M to $540M
Mar 30, 2024 to Apr 29, 2024
Discretionary RAUM · $547M to $547M
Mar 30, 2024 to Apr 29, 2024
Pooled vehicle RAUM · $540M to $540M
Mar 30, 2024 to Apr 29, 2024
RAUM · $547M to $547M
Mar 30, 2024 to Apr 29, 2024
HNW clients · 0 to 2
May 8, 2023 to Mar 30, 2024
Pooled vehicle clients · 13 to 11
May 8, 2023 to Mar 30, 2024
Assets in custody · $544M to $540M
May 8, 2023 to Mar 30, 2024
Private funds · 11 to 9
May 8, 2023 to Mar 30, 2024
Discretionary RAUM · $544M to $547M
May 8, 2023 to Mar 30, 2024
HNW RAUM · $0 to $7.0M
May 8, 2023 to Mar 30, 2024
Pooled vehicle RAUM · $544M to $540M
May 8, 2023 to Mar 30, 2024
RAUM · $544M to $547M
May 8, 2023 to Mar 30, 2024
Assets in custody · $544M to $544M
Mar 31, 2023 to May 8, 2023
Discretionary RAUM · $544M to $544M
Mar 31, 2023 to May 8, 2023
Pooled vehicle RAUM · $544M to $544M
Mar 31, 2023 to May 8, 2023
RAUM · $544M to $544M
Mar 31, 2023 to May 8, 2023
Accounts · 14 to 13
May 2, 2022 to Mar 31, 2023
Advisory employees · 7 to 6
May 2, 2022 to Mar 31, 2023

Signals

7 dated events

C••• L••• reported RAUM $802.3M, up 47% from $546.9M (2024-04-29 to 2025-04-30)
Apr 30, 2025 · RAUM change · derived
C••• L••• reported RAUM $544.2M, down 30% from $778.0M (2022-05-02 to 2023-03-31)
Mar 31, 2023 · RAUM change · derived
J•••••• Ngo (Chief Financial Officer) appeared on Schedule A of C••• L•••
May 2, 2022 · Control person joined · fact
C••• L••• reported RAUM $790.0M, up 41% from $559.5M (2022-02-07 to 2022-03-31)
Mar 31, 2022 · RAUM change · derived
C••• L••• reported RAUM $559.5M, up 50% from $372.6M (2020-03-30 to 2021-03-31)
Mar 31, 2021 · RAUM change · derived
C••• L••• reported RAUM $323.9M, down 82% from $1.8B (2018-07-24 to 2019-03-31)
Mar 31, 2019 · RAUM change · derived
C••• L••• reported RAUM $1.8B, up 1016% from $159.5M (2017-03-31 to 2018-03-30)
Mar 30, 2018 · RAUM change · derived

Across DFX

shared identifiers only, never a name match

C••• L••• · Independent Sponsors
shared crd · capital_provider
C••• L••• · Private Equity
shared crd · organization
C••• L••• · Venture Capital
shared crd · organization

How to reach

public business contact points only, each with its source

Website: H••••://WWW.C•••.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 4155785700reportedpublic record, Form ADV, Apr 30, 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