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•• P•••••• E•••••

Former SEC-registered adviserBrooklyn, New YorkCRD 161415SEC 801-76447IAPD
Legal name C•• M••••••• • C••• L•••
Latest filing Apr 3, 2019
First filing on the tape Apr 3, 2012 · 19 filings
RAUM
$265M
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
1
beyond the principal office
Private funds
4
$265M gross assets
History
19 filings and snapshots on the tape
RAUM$265M as of Mar 29, 2019
Apr 1, 2013$275M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Apr 1, 20130 then
Employees (5.A)5 as of Mar 29, 2019
Apr 1, 201319 then
Private funds4 as of Mar 29, 2019
Apr 1, 20137 then
RAUM -9.6% over the last fiscal year+4.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 3, 2019; 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
$66.2MderivedRAUM 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
-9.6%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
  • 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$265M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•• C•••••• P••••••• • C•• I•• L•••Private Equity Fund$139M22Apr 3, 2012
      C•• P••••••• • C•• I•• L•••Private Equity Fund$72.3M26Apr 3, 2012
      C•• C•••••• P••••••• • C•• I•• L•••no longer reportedPrivate Equity Fund$3.9M45Apr 3, 2012
      C•• P••••••• • C•• I• L•••no longer reportedPrivate Equity Fund$2.1M25Apr 3, 2012
      C•• C•••••• P••••••• • C•• I•••• L•••no longer reportedPrivate Equity Fund$482,4462Apr 3, 2012
      C•• C•••••• P••••••• • C•• I••• L•••Private Equity Fund$355,09243Apr 3, 2012
      C•• P••••••• • C•• I••• L•••Private Equity Fund$243,39019Apr 3, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • R••••••• P••••• G•• · Senior Managing Partner And Limited Partner/Ccocontrol
        since 05/1998 · owns 50% to 75%
      • M••••••• T•••••• L••••• · Shareholdercontrol
        since 01/2012 · owns 25% to 50% of C•• A•• C••
      • M••••••• T•••••• L••••• · Shareholdercontrol
        since 01/2012 · owns 75% or more of F••• T•••• IV Managers, Inc
      • R••••••• P••••• G•• · Shareholdercontrol
        since 05/1998 · owns 50% to 75% of Cai Agp Gp Co.
      Entity owners
      • C•• A•• C•• · General Partner
        direct · owns less than 5%
      • F••• T•••• I• M•••••••• I••• · Managing Partner - Limited Partner
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • C•• C•••••• P••••••• G• • C•• I••• L•••
        pooled vehicle sponsorn
      • C•• C•••••• P••••••• G• • C•• I•• L•••
        pooled vehicle sponsorn
      • C•• P••••••• G• • C•• I••• L•••
        pooled vehicle sponsorn
      • C•• P••••••• G• • C•• I•• L•••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Vancouver, Canada1 employees
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $293M to $265M
        Jun 11, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $293M to $265M
        Jun 11, 2018 to Mar 29, 2019
      • RAUM · $293M to $265M
        Jun 11, 2018 to Mar 29, 2019
      • Pooled vehicle clients · unset to 4.0
        Sep 5, 2017 to Apr 3, 2018
      • Assets in custody · 272085024.0 to unset
        Sep 5, 2017 to Apr 3, 2018
      • Custody of client assets · true to false
        Sep 5, 2017 to Apr 3, 2018
      • HQ city · NEW YORK to BROOKLYN
        Sep 5, 2017 to Apr 3, 2018
      • Other offices · unset to 1.0
        Sep 5, 2017 to Apr 3, 2018
      • Discretionary RAUM · $272M to $293M
        Sep 5, 2017 to Apr 3, 2018
      • Pooled vehicle RAUM · unset to 292962351.0
        Sep 5, 2017 to Apr 3, 2018
      • RAUM · $272M to $293M
        Sep 5, 2017 to Apr 3, 2018
      • Advisory employees · 6 to 5
        Apr 6, 2016 to Apr 5, 2017
      • Assets in custody · unset to 272085024.0
        Apr 6, 2016 to Apr 5, 2017
      • Custody of client assets · false to true
        Apr 6, 2016 to Apr 5, 2017
      • Employees · 6 to 5
        Apr 6, 2016 to Apr 5, 2017
      • Financial planning clients · 0 to unset
        Apr 6, 2016 to Apr 5, 2017
      • Organization form · Partnership to Limited Partnership
        Apr 6, 2016 to Apr 5, 2017
      • Discretionary RAUM · $234M to $272M
        Apr 6, 2016 to Apr 5, 2017
      • RAUM · $234M to $272M
        Apr 6, 2016 to Apr 5, 2017
      • Advisory employees · 9 to 6
        Apr 1, 2015 to Apr 1, 2016
      • Employees · 9 to 6
        Apr 1, 2015 to Apr 1, 2016
      • Discretionary RAUM · $179M to $234M
        Apr 1, 2015 to Apr 1, 2016
      • RAUM · $179M to $234M
        Apr 1, 2015 to Apr 1, 2016
      • Advisory employees · 10 to 9
        Nov 17, 2014 to Apr 1, 2015
      • Employees · 10 to 9
        Nov 17, 2014 to Apr 1, 2015
      • Financial planning clients · unset to 0
        Nov 17, 2014 to Apr 1, 2015
      • Discretionary RAUM · $163M to $179M
        Nov 17, 2014 to Apr 1, 2015
      • RAUM · $163M to $179M
        Nov 17, 2014 to Apr 1, 2015
      • Discretionary RAUM · $187M to $163M
        Nov 14, 2014 to Nov 17, 2014
      • RAUM · $187M to $163M
        Nov 14, 2014 to Nov 17, 2014
      • Advisory employees · 13 to 10
        Mar 31, 2014 to Nov 14, 2014
      • Employees · 21 to 10
        Mar 31, 2014 to Nov 14, 2014
      • Discretionary RAUM · $178M to $187M
        Mar 31, 2014 to Nov 14, 2014
      • RAUM · $178M to $187M
        Mar 31, 2014 to Nov 14, 2014
      • Accounts · 7 to 4
        Apr 1, 2013 to Mar 31, 2014
      • Advisory employees · 12 to 13
        Apr 1, 2013 to Mar 31, 2014
      • Employees · 19 to 21
        Apr 1, 2013 to Mar 31, 2014
      • Private funds · 7 to 4
        Apr 1, 2013 to Mar 31, 2014
      • Discretionary RAUM · $275M to $178M
        Apr 1, 2013 to Mar 31, 2014
      • RAUM · $275M to $178M
        Apr 1, 2013 to Mar 31, 2014
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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