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•••

Asset manager (funds and pooled vehicles)CRD 163503SEC 801-80049website IAPD

Latest filing Jun 4, 2026

First filing on the tape Jun 30, 2014 · 27 filings

SEC status approved since Jul 11, 2014

RAUM

$1.3B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

11 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

27 filings and snapshots on the tape

RAUM$1.3B as of Jun 4, 2026

Mar 30, 2015$1.0B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Jun 4, 2026

Mar 30, 20150 then

Employees (5.A)17 as of Jun 4, 2026

Mar 30, 201511 then

Private funds2 as of Jun 4, 2026

Mar 30, 20158 then

RAUM +46% over the last fiscal year+7.1% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Jun 4, 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: $223MderivedRAUM 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: +46%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
Custody: $267M, 2 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)
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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
an independent public accountant performs a surprise examination (9.C.1)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$1.3B94%
Corporations and businesses$86.7M6.5%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 6reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $267M for 2 clientsreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.0 fund_share=0.94 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

Every departure Every arrival

Private funds

21 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
C•••••• R••• L•	Hedge Fund	$861M	144	Mar 29, 2021
C•••••• P•• I••••• F•••• L•••no longer reported	Hedge Fund	$440M	149	Apr 2, 2012
C•••••• P•• I••••• F•••• L•••no longer reported	Hedge Fund	$275M	238	Apr 2, 2012
P• F•••••• T•••• 1•••no longer reported	Hedge Fund	$225M	1	Jul 26, 2017
C••••••••• I••••• O••••••• M••••• F•••• L•••no longer reported	Hedge Fund	$186M	2	Apr 2, 2012
P•••••• F•••••• T•••• 1•••no longer reported	Hedge Fund	$169M	1	Feb 23, 2018
P•••••• F•••••• T•••• 1•••no longer reported	Hedge Fund	$140M	1	Mar 30, 2015
C•••••• R••• P••••••••• I••••• F•••• L•••no longer reported	Hedge Fund	$69.0M	63	Sep 29, 2017
C•••••• I••••• O••••••• M••••• F•••• L•••	Hedge Fund	$51.5M	212	Apr 2, 2012
C•••••• O••••••••• M••••• F•••• L•••	Venture Capital Fund	$11.7M	44	Feb 26, 2016
P•••••• F•••••• T•••• 1•••no longer reported	Hedge Fund	$10.4M	1	Feb 26, 2016
C••••••••• I••••• F•••• L•••	Hedge Fund	$5.0M	26	Mar 31, 2014
C••••••••• I••••• F•••• L•••	Hedge Fund	$4.2M	43	Mar 31, 2014
C•••••• C•••••• G••••• O••••••••• F•••• L•no longer reported	Hedge Fund	$4.0M	4	Apr 2, 2012
C•••••• S•••••• L•no longer reported	Hedge Fund	$1.0M	3	Apr 2, 2012
C••••••••• I••••• F•••• L•••no longer reported	Hedge Fund	$775,079	5	Feb 25, 2013
C••••••••• I••••• O••••••• M••••• F•••• L•••no longer reported	Hedge Fund	$35,246	2	Apr 2, 2012
C•••••• C••••••••• I••••• M••••• F•••• L•••no longer reported	Hedge Fund	$0	1	Mar 31, 2017
C•••••• R••• P••••••••• I••••• F••• I•• L•••no longer reported	Real Estate Fund	$0	0	Mar 27, 2020
C••••••••• I••••• F•••• L•••no longer reported	Hedge Fund	$0	1	Apr 2, 2012
C••••••••• I••••• O••••••• F•••• L•••no longer reported	Hedge Fund	$0	1	Apr 2, 2012

Owners and control persons

Schedule A and B, latest filing

C••••••• E•••••• M•••••• · Managing Partnercontrol
since 03/2012 · owns less than 5%
C••••••• R•••••• J••• · Chairmancontrol
since 03/2012 · owns less than 5%
P•••••• A••••• · Chief Compliance Officer And Vp Of Finance & Accountingcontrol
since 06/2014 · owns less than 5%
Y••• S••• D• · Chief Financial Officercontrol
since 08/2023 · owns less than 5%
C••••••• E•••••• M•••••• · Trusteecontrol
since 07/2015 · owns F of T•• E••••• C•••••• I••••••••• T••••
C••••••• R•••••• J••• · Trusteecontrol
since 07/2014 · owns F of T•• R••••• C•••••• I••••••••• T••••
T•••••••• J••• · Sole Member And Managercontrol
since 11/2023 · owns 75% or more of W••••••••• L••
D••••• R••••• · Chief Technology Officer
since 01/2020 · owns less than 5%
T•••••••• J••• · Managing Partner
since 08/2019 · owns less than 5%

Entity owners

S••••• F••••••••• L•• · General Partner
direct · owns less than 5%
T•• E••••• C•••••• I••••••••• T•••• · Limited Partner
direct · owns 25% to 50%
T•• R••••• C•••••• I••••••••• T•••• · Limited Partner
direct · owns 25% to 50%
T•• E••••• C•••••• I••••••••• T•••• · Member
indirect · owns 50% to 75% of S••••• F••••••••• L••
T•• R••••• C•••••• I••••••••• T•••• · Member
indirect · owns 50% to 75% of S••••• F••••••••• L••
W••••••••• L•• · Limited Partner
direct · owns 10% to 25%

Related persons

Schedule D 7.A

C•••••• I••••• A••••••• I• L••
bankpooled vehicle sponsorn
C•••••• I••••• A••••••• I•• L••
bankpooled vehicle sponsorn
C•••••• O••••••••• G•• L••
pooled vehicle sponsorn
C•••••• R••• B••••• G•• L••
pooled vehicle sponsory
C•••••• R• G• I••• L••
pooled vehicle sponsory
C•••••• R• G•• L••
pooled vehicle sponsory
I•••••• H•••• M••••••••• L••
investment companyy
J••• C•••••• R• G•• L••
pooled vehicle sponsory

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 9 to 6
Mar 25, 2025 to Mar 26, 2026
Corporate clients · unset to 1.0
Mar 25, 2025 to Mar 26, 2026
Pooled vehicle clients · 13 to 10
Mar 25, 2025 to Mar 26, 2026
Assets in custody · $254M to $267M
Mar 25, 2025 to Mar 26, 2026
Employees · 18 to 17
Mar 25, 2025 to Mar 26, 2026
Private funds · 3 to 2
Mar 25, 2025 to Mar 26, 2026
Discretionary RAUM · $920M to $1.3B
Mar 25, 2025 to Mar 26, 2026
Pooled vehicle RAUM · $788M to $1.3B
Mar 25, 2025 to Mar 26, 2026
RAUM · $920M to $1.3B
Mar 25, 2025 to Mar 26, 2026
Accounts · 11 to 9
Mar 27, 2024 to Mar 25, 2025
Pooled vehicle clients · 15 to 13
Mar 27, 2024 to Mar 25, 2025
Assets in custody · $297M to $254M
Mar 27, 2024 to Mar 25, 2025
Employees · 19 to 18
Mar 27, 2024 to Mar 25, 2025
Financial planning clients · unset to
Mar 27, 2024 to Mar 25, 2025
HQ city · unset to
Mar 27, 2024 to Mar 25, 2025
HQ state · unset to
Mar 27, 2024 to Mar 25, 2025
Other offices · 0 to 1
Mar 27, 2024 to Mar 25, 2025
Private funds · 5 to 3
Mar 27, 2024 to Mar 25, 2025
Discretionary RAUM · $1.1B to $920M
Mar 27, 2024 to Mar 25, 2025
Pooled vehicle RAUM · $933M to $788M
Mar 27, 2024 to Mar 25, 2025
RAUM · $1.1B to $920M
Mar 27, 2024 to Mar 25, 2025
Advisory employees · 9 to 11
Apr 27, 2023 to Mar 27, 2024
Assets in custody · $309M to $297M
Apr 27, 2023 to Mar 27, 2024
Discretionary RAUM · $1.1B to $1.1B
Apr 27, 2023 to Mar 27, 2024
Pooled vehicle RAUM · $1.0B to $933M
Apr 27, 2023 to Mar 27, 2024
RAUM · $1.1B to $1.1B
Apr 27, 2023 to Mar 27, 2024
Other offices · 1 to 0
Mar 30, 2023 to Apr 27, 2023
Accounts · 14 to 11
Apr 15, 2022 to Mar 30, 2023
Pooled vehicle clients · 14 to 15
Apr 15, 2022 to Mar 30, 2023
Assets in custody · $417M to $309M
Apr 15, 2022 to Mar 30, 2023
Employees · 17 to 19
Apr 15, 2022 to Mar 30, 2023
Discretionary RAUM · $976M to $1.1B
Apr 15, 2022 to Mar 30, 2023
Pooled vehicle RAUM · $976M to $1.0B
Apr 15, 2022 to Mar 30, 2023
RAUM · $976M to $1.1B
Apr 15, 2022 to Mar 30, 2023
Accounts · 7 to 14
Apr 20, 2021 to Mar 29, 2022
Advisory employees · 6 to 9
Apr 20, 2021 to Mar 29, 2022
Pooled vehicle clients · 7 to 14
Apr 20, 2021 to Mar 29, 2022
Assets in custody · $543M to $417M
Apr 20, 2021 to Mar 29, 2022
Employees · 12 to 17
Apr 20, 2021 to Mar 29, 2022
Private funds · 6 to 5
Apr 20, 2021 to Mar 29, 2022

Signals

5 dated events

C•••••• C•••••• M••••••••• L••• reported RAUM $1.3B, up 46% from $919.8M (2025-03-25 to 2026-03-26)
Mar 26, 2026 · RAUM change · derived
D. Sun Yee (Chief Financial Officer) appeared on Schedule A of C•••••• C•••••• M••••••••• L•••
Mar 27, 2024 · Control person joined · fact
M•••••• T••••• M•••• (Chief Financial Officer; Chief Operating Officer) no longer on Schedule A of C•••••• C•••••• M••••••••• L••• (listed 2022-04-15, absent 2023-03-30)
Mar 30, 2023 · Control person left · inference
C•••••• C•••••• M••••••••• L••• reported RAUM $911.7M, down 30% from $1.3B (2020-09-01 to 2021-03-29)
Mar 29, 2021 · RAUM change · derived
C•••••• C•••••• M••••••••• L••• filed its initial SEC registration (Form ADV)
Jun 30, 2014 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

C•••••• C•••••• M••••••••• L••• · Venture Capital
shared crd · organization

How to reach

public business contact points only, each with its source

Firm profile: H••••://WWW.LINKEDIN.COM/COMPANY/C••••••-CAPITAL-MANAGEMENT-reportedpublic record, Form ADV, Sep 18, 2026
Website: H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 415-400-8600reportedpublic record, Form ADV, Jun 4, 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

Across the graphs

C•••••• C•••••• M••••••••• L••• is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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