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•••••• P•••••••
Asset manager (funds and pooled vehicles)San Francisco, CaliforniaCRD 165915SEC 801-118804websiteIAPD
Legal name C•••••• C•••••• M••••••••• C••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Apr 27, 2020 · 8 filings
SEC status approved since May 28, 2020
RAUM
$2.1B
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
17
15 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
31
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$2.1B as of Mar 30, 2026
Mar 29, 2021$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 29, 20210 then
Employees (5.A)17 as of Mar 30, 2026
Mar 29, 202125 then
Private funds31 as of Mar 30, 2026
Mar 29, 202117 then
RAUM +27% over the last fiscal year+19% a year over threeIARs 0 to 0
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
- $67.1MderivedRAUM 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
- +27%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
- $2.0B, 31 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.1B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 31reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.0B for 31 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
27 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- M•••••• V• J••••• C• · Managing Directorcontrolsince 11/2012 · owns 50% to 75%
- M•••••••• M••• · Managing Directorcontrolsince 11/2012 · owns 50% to 75%
- P••••••••• S•••••• · Managing Director, Chief Financial Officer And Chief Compliance Officercontrolsince 03/2021 · owns less than 5%
Related persons
Schedule D 7.A
- C•••••• M••••••••• P••••••• I•• L••pooled vehicle sponsorn
- C•••••• M••••••••• P••••••• I••• L••pooled vehicle sponsorn
- C•••••• M••••••••• P••••••• I•• L••pooled vehicle sponsorn
- C•••••• M••••••••• P•••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Newport Beach, CA3 employees
What changed
consecutive filings, newest first
- Accounts · 30 to 31Mar 20, 2025 to Mar 30, 2026
- Advisory employees · 16 to 15Mar 20, 2025 to Mar 30, 2026
- Pooled vehicle clients · 30 to 31Mar 20, 2025 to Mar 30, 2026
- Assets in custody · $1.6B to $2.0BMar 20, 2025 to Mar 30, 2026
- Private funds · 30 to 31Mar 20, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.6B to $2.1BMar 20, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.6B to $2.1BMar 20, 2025 to Mar 30, 2026
- RAUM · $1.6B to $2.1BMar 20, 2025 to Mar 30, 2026
- Accounts · 27 to 30Mar 27, 2024 to Mar 20, 2025
- Advisory employees · 13 to 16Mar 27, 2024 to Mar 20, 2025
- Pooled vehicle clients · 27 to 30Mar 27, 2024 to Mar 20, 2025
- Assets in custody · $1.5B to $1.6BMar 27, 2024 to Mar 20, 2025
- Employees · 15 to 17Mar 27, 2024 to Mar 20, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 20, 2025
- Private funds · 27 to 30Mar 27, 2024 to Mar 20, 2025
- Discretionary RAUM · $1.6B to $1.6BMar 27, 2024 to Mar 20, 2025
- Pooled vehicle RAUM · $1.6B to $1.6BMar 27, 2024 to Mar 20, 2025
- RAUM · $1.6B to $1.6BMar 27, 2024 to Mar 20, 2025
- Accounts · 23 to 27Nov 3, 2023 to Mar 27, 2024
- Advisory employees · 16 to 13Nov 3, 2023 to Mar 27, 2024
- Pooled vehicle clients · 23 to 27Nov 3, 2023 to Mar 27, 2024
- Assets in custody · $1.0B to $1.5BNov 3, 2023 to Mar 27, 2024
- Employees · 19 to 15Nov 3, 2023 to Mar 27, 2024
- Private funds · 23 to 27Nov 3, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.2B to $1.6BNov 3, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $1.2B to $1.6BNov 3, 2023 to Mar 27, 2024
- RAUM · $1.2B to $1.6BNov 3, 2023 to Mar 27, 2024
- Accounts · 19 to 23Mar 31, 2022 to Mar 24, 2023
- Advisory employees · 19 to 16Mar 31, 2022 to Mar 24, 2023
- Pooled vehicle clients · 19 to 23Mar 31, 2022 to Mar 24, 2023
- Assets in custody · $1.1B to $1.0BMar 31, 2022 to Mar 24, 2023
- Employees · 20 to 19Mar 31, 2022 to Mar 24, 2023
- Private funds · 19 to 23Mar 31, 2022 to Mar 24, 2023
- Discretionary RAUM · $1.2B to $1.2BMar 31, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · $1.2B to $1.2BMar 31, 2022 to Mar 24, 2023
- RAUM · $1.2B to $1.2BMar 31, 2022 to Mar 24, 2023
- Accounts · 17 to 19Mar 29, 2021 to Mar 31, 2022
- Advisory employees · 17 to 19Mar 29, 2021 to Mar 31, 2022
- Pooled vehicle clients · 17 to 19Mar 29, 2021 to Mar 31, 2022
- Assets in custody · $1.2B to $1.1BMar 29, 2021 to Mar 31, 2022
Signals
5 dated events
- C•••••• C•••••• P••••••• reported RAUM $2.1B, up 27% from $1.6B (2025-03-20 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- C•••••• C•••••• P••••••• reported RAUM $1.6B, up 26% from $1.2B (2023-11-03 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- H••••• M••••••• S•••••••• (Chief Financial Officer) no longer on Schedule A of C•••••• C•••••• P••••••• (listed 2023-03-24, absent 2023-11-03)Nov 3, 2023 · Control person left · inference
- S•••••• P••••••••• (Chief Compliance Officer And Senior Vice President) appeared on Schedule A of C•••••• C•••••• P•••••••Mar 29, 2021 · Control person joined · fact
- C•••••• C•••••• P••••••• filed its initial SEC registration (Form ADV)Apr 27, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••••• C•••••• P••••••• · Independent Sponsorsshared crd · capital_provider
- C•••••• C•••••• P••••••• · Private Equityshared crd · organization
- C•••••• C•••••• P••••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/carrick-capital-partnersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-432-4100reportedpublic 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