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.
SEC-registered adviser
1207 Capital Group, LLC
Latest filing Mar 30, 2026
First filing on the tape May 25, 2012 · 25 filings
SEC status approved since Jun 15, 2012
RAUM
$163M
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
4
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
4
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$163M as of Mar 30, 2026
Mar 15, 2013$83.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 15, 20130 then
Employees (5.A)4 as of Mar 30, 2026
Mar 15, 20134 then
Private funds4 as of Mar 30, 2026
Mar 15, 20133 then
RAUM +18% over the last fiscal year+5.5% a year over threeIARs 0 to 0offices 1 to 2
Practice profile
derived from the filing of Mar 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $40.7MderivedRAUM 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
- +18%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 vehicles, selection of other advisersreportedItem 5.G
- Custody
- $163M, 4 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$163M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $163M for 4 clientsreported
- 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Cimarron Healthcare Opportunities, LP | Hedge Fund | $85.3M | 83 | Mar 15, 2013 |
| Cimarron Partners, L.P. | Hedge Fund | $36.4M | 41 | May 25, 2012 |
| Cimarron Energy Spectrum, L.P. | Hedge Fund | $10.1M | 27 | Mar 30, 2015 |
| Cimarron Venture Opportunities, LP | Private Equity Fund | $8.7M | 40 | Mar 30, 2021 |
| Cimarron Vista, L.P.no longer reported | Hedge Fund | $6.5M | 12 | May 25, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Clayton Robert Jernigan · Chief Compliance Officercontrolsince 09/2012 · owns 25% to 50%
- Mark Robert Jernigan · Managing Membercontrolsince 01/2002 · owns 10% to 25%
- Frederick William Swee · Membersince 01/2016 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Santa Fe, NM1 employees
What changed
consecutive filings, newest first
- Advisory employees · 4 to 3Feb 11, 2026 to Mar 30, 2026
- Assets in custody · $138M to $163MFeb 11, 2026 to Mar 30, 2026
- Discretionary RAUM · $138M to $163MFeb 11, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $138M to $163MFeb 11, 2026 to Mar 30, 2026
- RAUM · $138M to $163MFeb 11, 2026 to Mar 30, 2026
- Succession · true to falseFeb 11, 2026 to Mar 30, 2026
- HQ city · CHICAGO to JUNEAUMar 21, 2025 to Feb 11, 2026
- HQ state · IL to AKMar 21, 2025 to Feb 11, 2026
- Other offices · 1 to 2Mar 21, 2025 to Feb 11, 2026
- Succession · false to trueMar 21, 2025 to Feb 11, 2026
- Assets in custody · $141M to $138MMar 29, 2024 to Mar 21, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 21, 2025
- Discretionary RAUM · $141M to $138MMar 29, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $141M to $138MMar 29, 2024 to Mar 21, 2025
- RAUM · $141M to $138MMar 29, 2024 to Mar 21, 2025
- Assets in custody · $138M to $141MMar 27, 2023 to Mar 29, 2024
- Discretionary RAUM · $138M to $141MMar 27, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $138M to $141MMar 27, 2023 to Mar 29, 2024
- RAUM · $138M to $141MMar 27, 2023 to Mar 29, 2024
- Advisory employees · 5 to 4Jun 30, 2022 to Mar 27, 2023
- Assets in custody · $158M to $138MJun 30, 2022 to Mar 27, 2023
- Employees · 5 to 4Jun 30, 2022 to Mar 27, 2023
- Discretionary RAUM · $158M to $138MJun 30, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $158M to $138MJun 30, 2022 to Mar 27, 2023
- RAUM · $158M to $138MJun 30, 2022 to Mar 27, 2023
- Assets in custody · $155M to $158MMar 30, 2022 to May 3, 2022
- Discretionary RAUM · $155M to $158MMar 30, 2022 to May 3, 2022
- Pooled vehicle RAUM · $155M to $158MMar 30, 2022 to May 3, 2022
- RAUM · $155M to $158MMar 30, 2022 to May 3, 2022
- Assets in custody · $144M to $155MMar 30, 2021 to Mar 30, 2022
- Employees · 6 to 5Mar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $144M to $155MMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $144M to $155MMar 30, 2021 to Mar 30, 2022
- RAUM · $144M to $155MMar 30, 2021 to Mar 30, 2022
- Accounts · 3 to 4Jun 18, 2020 to Mar 30, 2021
- Advisory activities · 1 to 2Jun 18, 2020 to Mar 30, 2021
- Pooled vehicle clients · 3 to 4Jun 18, 2020 to Mar 30, 2021
- Assets in custody · $131M to $144MJun 18, 2020 to Mar 30, 2021
- Private funds · 3 to 4Jun 18, 2020 to Mar 30, 2021
- Discretionary RAUM · $131M to $144MJun 18, 2020 to Mar 30, 2021
Signals
1 dated events
- 1207 Capital Group, Llc reported succeeding to the business of 1207 Capital Group, Llc (Form ADV Item 4)Feb 11, 2026 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- 1207 Capital Group, LLC · Independent Sponsorsshared crd · capital_provider
- 1207 Capital Group, LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- CIMARRONGRP.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 312-690-6201reportedpublic record, Form ADV, Mar 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