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••••••••• C•••••• M••••••••• L•
Latest filing Dec 22, 2022
First filing on the tape Mar 27, 2012 · 28 filings
RAUM
$44.4M
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
1
beyond the principal office
Private funds
2
$44.4M gross assets
History
28 filings and snapshots on the tape
RAUM$745M as of Mar 31, 2022
Apr 1, 2013$218M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Apr 1, 20130 then
Employees (5.A)5 as of Mar 31, 2022
Apr 1, 20138 then
Private funds2 as of Mar 31, 2022
Apr 1, 20131 then
RAUM -97% over the last fiscal year-72% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 22, 2022; 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
- $7.4MderivedRAUM 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
- -51%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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$44.4M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- 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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••••• C•••••• M••••• A•••••• L• | Hedge Fund | $27.5M | 135 | Mar 27, 2012 |
| C••••••••• C•••••• O••••••••• M••••• F•••• L• | Hedge Fund | $16.9M | 1 | Feb 27, 2020 |
| C••••••••• C•••••• C•••••••• L••• S••••• A• | Hedge Fund | $0 | 0 | Mar 1, 2019 |
Owners and control persons
Schedule A and B, latest filing
- B••••• M•••••••• J••••••• · Founder, Partner & Chief Executive Officercontrolsince 07/2007 · owns less than 5%
- L••••••••• K••••• H••••• · Founder & Partnercontrolsince 07/2007 · owns 10% to 25%
- S•••••• B••••• N•• · Founder & Partnercontrolsince 07/2007 · owns 25% to 50%
- B••••• M•••••••• J••••••• · Manager And Membercontrolsince 12/2007 · owns 75% or more of C••••••••• C••••• G• L••
- F•••••• G•••••••• J••••• · Chief Financial Officer And Chief Compliance Officersince 12/2021 · owns less than 5%
Entity owners
- C••••••••• C••••• G• L•• · General Partnerdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- C••••••••• B••• C•••••••• P•••••••• L•••investment adviserpooled vehicle sponsorn
- C••••••••• C•••••• A••••••• L••investment adviserpooled vehicle sponsorn
- C••••••••• C•••••• O••••••••• A••••••• L••investment adviserpooled vehicle sponsorn
- C••••••••• C•••••• P••••••• G•• L••investment adviserpooled vehicle sponsorn
- C••••••••• C•••••• P•••••••• L•investment advisernRAUM $2.8B
- C••••••••• E•••• C•••••••• P•••••••• L•••investment adviserpooled vehicle sponsorn
- C••••••••• G• C•••••• F•••••• L•••investment adviserpooled vehicle sponsorn
- C••••••••• G• C•••• F•••••• L•••investment adviserpooled vehicle sponsorn
- C••••••••• P•••••• E••••• G• I•• L•••investment adviserpooled vehicle sponsorn
- C••••••••• P•••••• E••••• G• I•• L••investment adviserpooled vehicle sponsorn
- C••••••••• P•••••• E••••• G•• L•••investment adviserpooled vehicle sponsorn
- C••••••••• P•••••• E••••• G•• L••investment adviserpooled vehicle sponsorn
- C••••••••• P•••••• E••••• I•• L•••investment adviserpooled vehicle sponsorn
- C••••••••• P•••••• E••••• P•• I•• L•••investment adviserpooled vehicle sponsorn
- C••••••••• P•••••• E••••• P•• L•••investment adviserpooled vehicle sponsorn
- C••••••••• P•••••• E•••••• L•••investment adviserpooled vehicle sponsorn
Advisers that list C••••••••• C•••••• M••••••••• L• as a related person
- 167165 n
Offices
Schedule D 1.F, the 25 largest
- Princeton, NJ1 employees
What changed
consecutive filings, newest first
- Accounts · 7 to 6Jul 12, 2022 to Dec 22, 2022
- Advisory activities · 2 to 1Jul 12, 2022 to Dec 22, 2022
- Employees · 5 to 4Jul 12, 2022 to Dec 22, 2022
- Discretionary RAUM · $745M to $44.4MJul 12, 2022 to Dec 22, 2022
- Pooled vehicle RAUM · $721M to $44.4MJul 12, 2022 to Dec 22, 2022
- RAUM · $745M to $44.4MJul 12, 2022 to Dec 22, 2022
- Advisory employees · 6 to 3Dec 15, 2021 to Mar 31, 2022
- Employees · 15 to 5Dec 15, 2021 to Mar 31, 2022
- Private funds · 3 to 2Dec 15, 2021 to Mar 31, 2022
- Discretionary RAUM · $1.5B to $745MDec 15, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $1.4B to $721MDec 15, 2021 to Mar 31, 2022
- RAUM · $1.5B to $745MDec 15, 2021 to Mar 31, 2022
- Accounts · 8 to 7Jan 2, 2021 to Mar 30, 2021
- Advisory employees · 8 to 6Jan 2, 2021 to Mar 30, 2021
- Pooled vehicle clients · 7 to 6Jan 2, 2021 to Mar 30, 2021
- Employees · 14 to 15Jan 2, 2021 to Mar 30, 2021
- Other offices · 0 to 1Jan 2, 2021 to Mar 30, 2021
- Discretionary RAUM · $2.2B to $1.5BJan 2, 2021 to Mar 30, 2021
- Pooled vehicle RAUM · $2.0B to $1.4BJan 2, 2021 to Mar 30, 2021
- RAUM · $2.2B to $1.5BJan 2, 2021 to Mar 30, 2021
- Accounts · 5 to 8Nov 14, 2019 to Feb 27, 2020
- Pooled vehicle clients · 4 to 7Nov 14, 2019 to Feb 27, 2020
- Private funds · 2 to 3Nov 14, 2019 to Feb 27, 2020
- Discretionary RAUM · $2.0B to $2.2BNov 14, 2019 to Feb 27, 2020
- Pooled vehicle RAUM · $2.0B to $2.0BNov 14, 2019 to Feb 27, 2020
- RAUM · $2.0B to $2.2BNov 14, 2019 to Feb 27, 2020
- Accounts · 4 to 5Mar 26, 2018 to Mar 1, 2019
- Advisory employees · 6 to 8Mar 26, 2018 to Mar 1, 2019
- Pooled vehicle clients · 3 to 4Mar 26, 2018 to Mar 1, 2019
- Employees · 12 to 14Mar 26, 2018 to Mar 1, 2019
- Private funds · 1 to 2Mar 26, 2018 to Mar 1, 2019
- Discretionary RAUM · $1.8B to $2.0BMar 26, 2018 to Mar 1, 2019
- Pooled vehicle RAUM · $1.7B to $2.0BMar 26, 2018 to Mar 1, 2019
- RAUM · $1.8B to $2.0BMar 26, 2018 to Mar 1, 2019
- Pooled vehicle clients · unset to 3.0Mar 22, 2017 to Mar 8, 2018
- Employees · 11 to 12Mar 22, 2017 to Mar 8, 2018
- Other offices · unset to 0.0Mar 22, 2017 to Mar 8, 2018
- Discretionary RAUM · $918M to $1.8BMar 22, 2017 to Mar 8, 2018
- Pooled vehicle RAUM · unset to 1737327760.0Mar 22, 2017 to Mar 8, 2018
- RAUM · $918M to $1.8BMar 22, 2017 to Mar 8, 2018
Signals
4 dated events
- C••••••••• C•••••• M••••••••• L• reported RAUM $44.4M, down 94% from $745.4M (2022-07-12 to 2022-12-22)Dec 22, 2022 · RAUM change · derived
- C••••••••• C•••••• M••••••••• L• reported RAUM $745.4M, down 51% from $1.5B (2021-12-15 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- C••••••••• C•••••• M••••••••• L• reported RAUM $1.5B, down 30% from $2.2B (2021-01-02 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- C••••••••• C•••••• M••••••••• L• reported RAUM $1.8B, up 94% from $917.8M (2017-03-22 to 2018-03-08)Mar 8, 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.
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