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••••••• L•••
Latest filing Mar 27, 2026
First filing on the tape Feb 15, 2012 · 22 filings
SEC status approved since Mar 27, 2012
RAUM
$2.0B
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
30
25 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
9
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$2.0B as of Mar 27, 2026
Mar 28, 2013$702M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 28, 20130 then
Employees (5.A)30 as of Mar 27, 2026
Mar 28, 201316 then
Private funds9 as of Mar 27, 2026
Mar 28, 20136 then
RAUM -1.7% over the last fiscal year-0.1% a year over threeIARs 0 to 0offices 3 to 2
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
- $227MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.7%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-based, otherreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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
- Pooled investment vehicles$2.0B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- reported
- 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
Private funds
15 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••••• C•••••• F••• V• L••• | Private Equity Fund | $595M | 85 | Mar 30, 2023 |
| C•••••••• C•••••• F••• I•• L••• | Private Equity Fund | $471M | 69 | Mar 29, 2019 |
| C•••••••• C•••••• F••• I••• L• | Private Equity Fund | $306M | 59 | Mar 28, 2014 |
| C•••••••• C•••••• F••• V••• L••• | Private Equity Fund | $255M | 22 | Mar 30, 2023 |
| C•••••••• C•••••• F••• I•••• L••• | Private Equity Fund | $149M | 16 | Mar 29, 2019 |
| C•••••••• C•••••• F••• I•• L• | Private Equity Fund | $98.5M | 58 | Feb 15, 2012 |
| C•••••••• C•••••• M•••••••• F••• I• L••• | Private Equity Fund | $96.9M | 41 | Mar 29, 2019 |
| C•••••••• C•••••• M•••••••• F••• I•• L••• | Private Equity Fund | $94.5M | 60 | Mar 30, 2023 |
| C•••••••• C•••••• M•••••••• F••• I••• L••• | Private Equity Fund | $22.8M | 6 | Mar 29, 2019 |
| C•••••••• C•••••• M•••••••• F••• I•••• L••• | Private Equity Fund | $10.0M | 3 | Mar 30, 2023 |
| C•••••••• C•••••• F••• I• ••••••••• L• | Private Equity Fund | $8.5M | 2 | Feb 15, 2012 |
| C•••••••• I••••••• P••••••• F••• I•• L••no longer reported | Private Equity Fund | $817,712 | 18 | Feb 15, 2012 |
| C•••••••• F••••••• P••••••• F••• I•• L••no longer reported | Private Equity Fund | $653,507 | 3 | Feb 15, 2012 |
| C•••••••• H••••••• P••••••• F••• I•• L••no longer reported | Private Equity Fund | $647,618 | 3 | Feb 15, 2012 |
| C•••••••• C• V•••• A••••••••• L••no longer reported | Private Equity Fund | $324,158 | 18 | Feb 15, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A•••••••• J••••• G••••• · Limited Partnercontrolsince 06/2018 · owns 25% to 50%
- B••••••• M••••••• W•••••• · Limited Partnercontrolsince 01/2021 · owns 5% to 10%
- C•••• W••••••• F••••••• · Limited Partnercontrolsince 01/2021 · owns 5% to 10%
- C••••• G••••••• · Chief Compliance Officercontrolsince 01/2021 · owns less than 5%
- N•••••• C••••• · Limited Partnercontrolsince 06/2018 · owns 25% to 50%
- A•••••••• J••••• G••••• · Managing Membercontrolsince 06/2018 · owns 25% to 50% of C•••••••• C•••••• U••• L••
- B••••••• M••••••• W•••••• · Managing Membercontrolsince 01/2021 · owns F of C•••••••• C•••••• U••• L••
- C•••• W••••••• F••••••• · Managing Membercontrolsince 01/2021 · owns F of C•••••••• C•••••• U••• L••
- N•••••• C••••• · Managing Membercontrolsince 06/2018 · owns 25% to 50% of C•••••••• C•••••• U••• L••
Entity owners
- C•••••••• C•••••• U••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- C•••••••• C•••••• F••• I• G•• L•••pooled vehicle sponsorn
- C•••••••• C•••••• F••• V• G•• L•••pooled vehicle sponsorn
- C•••••••• C•••••• G• I••• L••pooled vehicle sponsorn
- C•••••••• C•••••• G•• L••pooled vehicle sponsorn
- C•••••••• C•••••• M•••••••• F••• I• G•• L•••pooled vehicle sponsorn
- C•••••••• C•••••• M•••••••• F••• I• G•• L•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Brentwood, TN1 employees
- Charlotte, NC1 employees
- Los Angeles, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 11 to 9Mar 27, 2025 to Mar 27, 2026
- Advisory employees · 23 to 25Mar 27, 2025 to Mar 27, 2026
- Pooled vehicle clients · 11 to 9Mar 27, 2025 to Mar 27, 2026
- Employees · 28 to 30Mar 27, 2025 to Mar 27, 2026
- Other offices · 3 to 2Mar 27, 2025 to Mar 27, 2026
- Private funds · 11 to 9Mar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $2.1B to $2.0BMar 27, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $2.1B to $2.0BMar 27, 2025 to Mar 27, 2026
- RAUM · $2.1B to $2.0BMar 27, 2025 to Mar 27, 2026
- Advisory employees · 22 to 23Mar 28, 2024 to Mar 27, 2025
- Employees · 27 to 28Mar 28, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $2.1B to $2.1BMar 28, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $2.1B to $2.1BMar 28, 2024 to Mar 27, 2025
- RAUM · $2.1B to $2.1BMar 28, 2024 to Mar 27, 2025
- Advisory employees · 20 to 22Mar 30, 2023 to Mar 28, 2024
- Employees · 25 to 27Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $2.0B to $2.1BMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $2.0B to $2.1BMar 30, 2023 to Mar 28, 2024
- RAUM · $2.0B to $2.1BMar 30, 2023 to Mar 28, 2024
- Accounts · 7 to 11Mar 30, 2022 to Mar 30, 2023
- Pooled vehicle clients · 7 to 11Mar 30, 2022 to Mar 30, 2023
- Employees · 24 to 25Mar 30, 2022 to Mar 30, 2023
- Other offices · 1 to 3Mar 30, 2022 to Mar 30, 2023
- Private funds · 7 to 11Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.3B to $2.0BMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $1.3B to $2.0BMar 30, 2022 to Mar 30, 2023
- RAUM · $1.3B to $2.0BMar 30, 2022 to Mar 30, 2023
- Advisory employees · 18 to 20Mar 31, 2021 to Mar 30, 2022
- Employees · 23 to 24Mar 31, 2021 to Mar 30, 2022
- Other offices · 2 to 1Mar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $1.5B to $1.3BMar 31, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $1.5B to $1.3BMar 31, 2021 to Mar 30, 2022
- RAUM · $1.5B to $1.3BMar 31, 2021 to Mar 30, 2022
- Advisory employees · 17 to 18Jan 7, 2021 to Mar 31, 2021
- Employees · 22 to 23Jan 7, 2021 to Mar 31, 2021
- Discretionary RAUM · $1.3B to $1.5BJan 7, 2021 to Mar 31, 2021
- Pooled vehicle RAUM · $1.3B to $1.5BJan 7, 2021 to Mar 31, 2021
- RAUM · $1.3B to $1.5BJan 7, 2021 to Mar 31, 2021
- Other offices · 1 to 2Mar 27, 2020 to Jan 7, 2021
Signals
5 dated events
- C•••••••• C••••••• L••• reported RAUM $2.0B, up 60% from $1.3B (2022-03-30 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Fredrick W•••••• Case (Limited Partner) appeared on Schedule A of C•••••••• C••••••• L•••Mar 30, 2022 · Control person joined · fact
- W•••••• M•••••• B•••••• (Limited Partner) appeared on Schedule A of C•••••••• C••••••• L•••Mar 30, 2022 · Control person joined · fact
- C•••••••• C••••••• L••• reported RAUM $1.5B, up 47% from $1.0B (2018-08-24 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- C•••••••• C••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jul 10, 2018 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- C•••••••• C••••••• L••• · Independent Sponsorsshared crd · capital_provider
- C•••••••• C••••••• L••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- C••••••••CAP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-698-2777reportedpublic 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