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•••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Feb 14, 2012 · 28 filings
SEC status approved since Mar 30, 2012
RAUM
$311M
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
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$311M as of Mar 27, 2026
Mar 28, 2013$227M 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)3 as of Mar 27, 2026
Mar 28, 201310 then
Private funds3 as of Mar 31, 2023
Mar 28, 20131 then
RAUM +22% over the last fiscal year+20% a year over threeIARs 0 to 0
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
- $104MderivedRAUM 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
- +22%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, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$311M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••• C•••• P••••••• L• | Hedge Fund | $89.5M | 1 | Mar 30, 2018 |
| A•••••••• G••••• C••••• F•••• L•••no longer reported | Hedge Fund | $64.4M | 5 | Feb 14, 2012 |
| A•••••••• G••••• C••••• P•••••••• L••• | Hedge Fund | $56.9M | 4 | Jun 28, 2021 |
| A•••• C•••• P•••••••• L•••no longer reported | Hedge Fund | $31.4M | 1 | Feb 14, 2012 |
| P•••••• G••••• O••••••••• F•••• L• | Hedge Fund | $21.3M | 4 | Mar 30, 2018 |
Owners and control persons
Schedule A and B, latest filing
- G•••••• V••••• N•• · Managing Member, Chief Compliance Officercontrolsince 07/1999 · owns 50% to 75%
- S••••••• S•••••••• N•• · Managing Membercontrolsince 05/1999 · owns 50% to 75%
Related persons
Schedule D 7.A
- C••••••••• G•••••• P•••••••• L••bankpooled vehicle sponsorn
- R• N•• •••••• P••• L•••insurancen
- T•••••••• G•••••• P•••••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 4 to 3Mar 28, 2025 to Mar 27, 2026
- Pooled vehicle clients · unset to 3.0Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $236M to $311MMar 28, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $18.3M to $0Mar 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · unset to 310694949.0Mar 28, 2025 to Mar 27, 2026
- RAUM · $254M to $311MMar 28, 2025 to Mar 27, 2026
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- HQ city · unset to Mar 28, 2024 to Mar 28, 2025
- HQ state · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $199M to $236MMar 28, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $17.8M to $18.3MMar 28, 2024 to Mar 28, 2025
- RAUM · $217M to $254MMar 28, 2024 to Mar 28, 2025
- Accounts · 6 to 4May 24, 2023 to Mar 28, 2024
- Pooled vehicle clients · 3.0 to unsetMay 24, 2023 to Mar 28, 2024
- Assets in custody · 0.0 to unsetMay 24, 2023 to Mar 28, 2024
- Custody of client assets · true to falseMay 24, 2023 to Mar 28, 2024
- Private funds · 3 to unsetMay 24, 2023 to Mar 28, 2024
- Discretionary RAUM · $168M to $199MMay 24, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $12.5M to $17.8MMay 24, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · 167665229.0 to unsetMay 24, 2023 to Mar 28, 2024
- RAUM · $180M to $217MMay 24, 2023 to Mar 28, 2024
- Advisory employees · 5 to 3Mar 30, 2022 to Mar 31, 2023
- Employees · 5 to 3Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $205M to $168MMar 30, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $14.4M to $12.5MMar 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $205M to $168MMar 30, 2022 to Mar 31, 2023
- RAUM · $220M to $180MMar 30, 2022 to Mar 31, 2023
- Accounts · 7 to 6Jun 28, 2021 to Mar 30, 2022
- Pension plan clients · 1.0 to unsetJun 28, 2021 to Mar 30, 2022
- Assets in custody · $187M to $0Jun 28, 2021 to Mar 30, 2022
- HQ city · WHITE PLAINS to unsetJun 28, 2021 to Mar 30, 2022
- HQ state · NY to unsetJun 28, 2021 to Mar 30, 2022
- Other offices · 0 to 1Jun 28, 2021 to Mar 30, 2022
- Discretionary RAUM · $211M to $205MJun 28, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $15.4M to $14.4MJun 28, 2021 to Mar 30, 2022
- Pension RAUM · 23958921.0 to unsetJun 28, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $187M to $205MJun 28, 2021 to Mar 30, 2022
- RAUM · $227M to $220MJun 28, 2021 to Mar 30, 2022
- Accounts · 9 to 7Mar 31, 2021 to Jun 28, 2021
- Pooled vehicle clients · 5 to 3Mar 31, 2021 to Jun 28, 2021
Signals
5 dated events
- Nmn Junyeol Suh (Chief Compliance Officer) no longer on Schedule A of C••••••••• C•••••• M••••••••• L•• (listed 2023-03-31, absent 2023-05-24)May 24, 2023 · Control person left · inference
- C••••••••• C•••••• M••••••••• L•• reported RAUM $211.4M, down 49% from $412.3M (2020-12-01 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Thomas Eugene Mone (Head Of Operations/Chief Compliance Officer) no longer on Schedule A of C••••••••• C•••••• M••••••••• L•• (listed 2020-04-29, absent 2020-12-01)Dec 1, 2020 · Control person left · inference
- Nmn Junyeol Suh (Chief Compliance Officer) appeared on Schedule A of C••••••••• C•••••• M••••••••• L••Dec 1, 2020 · Control person joined · fact
- C••••••••• C•••••• M••••••••• L•• reported RAUM $521.5M, up 39% from $375.2M (2017-06-08 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
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
- C•••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-421-3700reportedpublic 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