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••••••• L••
Latest filing Mar 24, 2025
First filing on the tape Oct 4, 2012 · 23 filings
SEC status approved since Oct 11, 2012
RAUM
$1.4B
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
15
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$1.4B as of Mar 24, 2025
Mar 25, 2013$234M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2025
Mar 25, 20130 then
Employees (5.A)15 as of Mar 24, 2025
Mar 25, 20134 then
Private funds1 as of Mar 24, 2025
Mar 25, 20131 then
RAUM +9.4% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2025; 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
- $1.4BderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.4%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1.4B, 1 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.4B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.4B for 1 clientsreported
- 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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••• H••••• 3• L• | Private Equity Fund | $1.3B | 1 | Mar 30, 2016 |
| C•••••• P••••••• C•••• H•••••• L••no longer reported | Private Equity Fund | $21.1M | 1 | Mar 31, 2015 |
| C•••••• P••••••• F••• 3• L• | Private Equity Fund | $1.2M | 23 | Mar 31, 2015 |
| C•••••• P••••••• F••• 2• L•no longer reported | Private Equity Fund | $299,483 | 14 | Oct 4, 2012 |
| C•••••• R••••••••• C••••••••• L•no longer reported | Private Equity Fund | $286,942 | 2 | Mar 31, 2017 |
| C• T•••••• L•no longer reported | Private Equity Fund | $199,470 | 5 | Mar 31, 2014 |
| C•••••• R••••••••• C••••••••• I• L•no longer reported | Private Equity Fund | $6,600 | 2 | Mar 31, 2017 |
Owners and control persons
Schedule A and B, latest filing
- B••••• S•••••• E••••• · Managing Membercontrolsince 01/2006 · owns 25% to 50%
- G••••••••• A••••• · Chief Compliance Officer, General Counselcontrolsince 06/2017 · owns less than 5%
- K•••• S•••••• H••••• · Managing Membercontrolsince 01/2006 · owns 25% to 50%
Entity owners
- C••• I• C••••• A••••••••• L••• · Limited Partnerindirect · owns 50% to 75% of C••••• P••••• L•
- C••••• H••••• 1• L• · Limited Partnerindirect · owns 75% or more of C••••• H••••• 2• L•
- C••••• H••••• 2• L• · Limited Partnerindirect · owns 75% or more of C••••• H••••• 3• L•
- C••••• H••••• 3• L• · Sole Memberindirect · owns 75% or more of C••••• M•••• L••
- C••••• M•••• L•• · Sole Memberindirect · owns 75% or more of C•••••• P••••••• H••••••• L••
- C••••• P••••• L• · Limited Partnerindirect · owns 75% or more of C••••• H••••• 1• L•
- C•••••• P••••••• H••••••• L•• · Sole Memberindirect · owns 75% or more of C• E••••••••• L••
- C• E••••••••• L•• · Ownerdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- C•••••• P••••••• 3• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2 to 1Feb 3, 2025 to Mar 24, 2025
- Pooled vehicle clients · 2 to 1Feb 3, 2025 to Mar 24, 2025
- Assets in custody · $1.3B to $1.4BFeb 3, 2025 to Mar 24, 2025
- Financial planning clients · unset to Feb 3, 2025 to Mar 24, 2025
- Private funds · 2 to 1Feb 3, 2025 to Mar 24, 2025
- Discretionary RAUM · $1.3B to $1.4BFeb 3, 2025 to Mar 24, 2025
- Pooled vehicle RAUM · $1.3B to $1.4BFeb 3, 2025 to Mar 24, 2025
- RAUM · $1.3B to $1.4BFeb 3, 2025 to Mar 24, 2025
- Assets in custody · $1.0B to $1.3BMar 29, 2023 to Mar 16, 2024
- Discretionary RAUM · $1.0B to $1.3BMar 29, 2023 to Mar 16, 2024
- Pooled vehicle RAUM · $1.0B to $1.3BMar 29, 2023 to Mar 16, 2024
- RAUM · $1.0B to $1.3BMar 29, 2023 to Mar 16, 2024
- Accounts · 3 to 2Jul 26, 2022 to Mar 29, 2023
- Advisory employees · 6 to 9Jul 26, 2022 to Mar 29, 2023
- Pooled vehicle clients · 3 to 2Jul 26, 2022 to Mar 29, 2023
- Assets in custody · $1.0B to $1.0BJul 26, 2022 to Mar 29, 2023
- Employees · 6 to 15Jul 26, 2022 to Mar 29, 2023
- Private funds · 3 to 2Jul 26, 2022 to Mar 29, 2023
- Discretionary RAUM · $1.0B to $1.0BJul 26, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $1.0B to $1.0BJul 26, 2022 to Mar 29, 2023
- RAUM · $1.0B to $1.0BJul 26, 2022 to Mar 29, 2023
- Accounts · 4 to 3Mar 17, 2021 to Mar 22, 2022
- Pooled vehicle clients · 4 to 3Mar 17, 2021 to Mar 22, 2022
- Assets in custody · $276M to $1.0BMar 17, 2021 to Mar 22, 2022
- Private funds · 4 to 3Mar 17, 2021 to Mar 22, 2022
- Discretionary RAUM · $846M to $1.0BMar 17, 2021 to Mar 22, 2022
- Pooled vehicle RAUM · $846M to $1.0BMar 17, 2021 to Mar 22, 2022
- RAUM · $846M to $1.0BMar 17, 2021 to Mar 22, 2022
- Assets in custody · $236M to $276MMar 27, 2020 to Mar 17, 2021
- Discretionary RAUM · $806M to $846MMar 27, 2020 to Mar 17, 2021
- Pooled vehicle RAUM · $806M to $846MMar 27, 2020 to Mar 17, 2021
- RAUM · $806M to $846MMar 27, 2020 to Mar 17, 2021
- Assets in custody · $192M to $236MJan 8, 2020 to Mar 27, 2020
- Discretionary RAUM · $751M to $806MJan 8, 2020 to Mar 27, 2020
- Pooled vehicle RAUM · $751M to $806MJan 8, 2020 to Mar 27, 2020
- RAUM · $751M to $806MJan 8, 2020 to Mar 27, 2020
- Accounts · 6 to 4Mar 29, 2018 to Mar 28, 2019
- Pooled vehicle clients · 6 to 4Mar 29, 2018 to Mar 28, 2019
- Assets in custody · $152M to $192MMar 29, 2018 to Mar 28, 2019
- Private funds · 6 to 4Mar 29, 2018 to Mar 28, 2019
Signals
5 dated events
- C•••••• P••••••• L•• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $1.4B)Dec 20, 2025 · Left the SEC roster · derived
- Elias William Conway (Non-Voting Member) no longer on Schedule A of C•••••• P••••••• L•• (listed 2022-03-22, absent 2022-07-26)Jul 26, 2022 · Control person left · inference
- Anthony Daniel D'Aniello (Non-Voting Member) no longer on Schedule A of C•••••• P••••••• L•• (listed 2022-03-22, absent 2022-07-26)Jul 26, 2022 · Control person left · inference
- Mark David Rubenstein (Non-Voting Member) no longer on Schedule A of C•••••• P••••••• L•• (listed 2022-03-22, absent 2022-07-26)Jul 26, 2022 · Control person left · inference
- C•••••• P••••••• L•• filed its initial SEC registration (Form ADV)Oct 4, 2012 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••••• P••••••• L•• · Private Equityshared crd · organization
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