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•••••• L•

Asset manager (funds and pooled vehicles)New York, New YorkCRD 166699SEC 801-80053websiteIAPD
Latest filing May 8, 2026
First filing on the tape Jun 30, 2014 · 23 filings
SEC status approved since Jul 14, 2014
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
11
6 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 May 8, 2026
Mar 31, 2015$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 8, 2026
Mar 31, 20150 then
Employees (5.A)11 as of May 8, 2026
Mar 31, 20159 then
Private funds1 as of May 8, 2026
Mar 31, 20152 then
RAUM +20% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 8, 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
$479MderivedRAUM 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
+20%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$1.4B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=1.0 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 departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••••• C•••••• P••••••• M••••• F•••• L•Hedge Fund$1.2B48Mar 1, 2013
      C•••••••• C•••••• P••••••• L•Hedge Fund$967M33Mar 1, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • M••••••• M•••• G••••••• · Limited Partner And Portfolio Managercontrol
        since 02/2013 · owns 75% or more
      • M••••••• M•••• G••••••• · Managing Membercontrol
        since 02/2013 · owns 75% or more of C•••••••• C•••••• L••
      • B•••••• M•••• · Chief Operating Officer, Chief Financial Officer And Chief Compliance Officer
        since 09/2017 · owns less than 5%
      Entity owners
      • C•••••••• C•••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • C•••••••• C•••••• G• L••
        investment adviserbankpooled vehicle sponsorn
      • T••• R•••••• A••••••• G•• L••
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 5 to 6
        May 30, 2025 to Mar 11, 2026
      • Employees · 10 to 11
        May 30, 2025 to Mar 11, 2026
      • Discretionary RAUM · $1.2B to $1.4B
        May 30, 2025 to Mar 11, 2026
      • Pooled vehicle RAUM · $1.2B to $1.4B
        May 30, 2025 to Mar 11, 2026
      • RAUM · $1.2B to $1.4B
        May 30, 2025 to Mar 11, 2026
      • Financial planning clients · unset to
        Mar 31, 2025 to May 30, 2025
      • Discretionary RAUM · $1.2B to $1.2B
        May 9, 2024 to Mar 31, 2025
      • Pooled vehicle RAUM · $1.2B to $1.2B
        May 9, 2024 to Mar 31, 2025
      • RAUM · $1.2B to $1.2B
        May 9, 2024 to Mar 31, 2025
      • Private funds · 2 to 1
        Mar 28, 2024 to May 9, 2024
      • Discretionary RAUM · $945M to $1.2B
        Aug 17, 2023 to Mar 28, 2024
      • Pooled vehicle RAUM · $945M to $1.2B
        Aug 17, 2023 to Mar 28, 2024
      • RAUM · $945M to $1.2B
        Aug 17, 2023 to Mar 28, 2024
      • Employees · 9 to 10
        Apr 27, 2022 to Mar 30, 2023
      • Discretionary RAUM · $864M to $945M
        Apr 27, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · $864M to $945M
        Apr 27, 2022 to Mar 30, 2023
      • RAUM · $864M to $945M
        Apr 27, 2022 to Mar 30, 2023
      • Advisory employees · 4 to 5
        Apr 1, 2021 to Mar 31, 2022
      • Employees · 7 to 9
        Apr 1, 2021 to Mar 31, 2022
      • Discretionary RAUM · $708M to $864M
        Apr 1, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $708M to $864M
        Apr 1, 2021 to Mar 31, 2022
      • RAUM · $708M to $864M
        Apr 1, 2021 to Mar 31, 2022
      • Related adviser · false to true
        Apr 1, 2021 to Mar 31, 2022
      • Discretionary RAUM · $381M to $708M
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $381M to $708M
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $381M to $708M
        Mar 30, 2020 to Mar 31, 2021
      • Advisory employees · 3 to 4
        Jun 14, 2019 to Mar 30, 2020
      • Employees · 4 to 7
        Jun 14, 2019 to Mar 30, 2020
      • Discretionary RAUM · $284M to $381M
        Jun 14, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $284M to $381M
        Jun 14, 2019 to Mar 30, 2020
      • RAUM · $284M to $381M
        Jun 14, 2019 to Mar 30, 2020
      • Advisory employees · 5 to 3
        Mar 28, 2018 to Mar 29, 2019
      • Employees · 8 to 4
        Mar 28, 2018 to Mar 29, 2019
      • Discretionary RAUM · $395M to $284M
        Mar 28, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $395M to $284M
        Mar 28, 2018 to Mar 29, 2019
      • RAUM · $395M to $284M
        Mar 28, 2018 to Mar 29, 2019
      • Advisory employees · 6 to 5
        Sep 26, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 3.0
        Sep 26, 2017 to Mar 28, 2018
      • Employees · 9 to 8
        Sep 26, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Sep 26, 2017 to Mar 28, 2018
      Signals
      5 dated events
      • C•••••••• C•••••• L• reported RAUM $1.2B, up 30% from $945.0M (2023-08-17 to 2024-03-28)
        Mar 28, 2024 · RAUM change · derived
      • C•••••••• C•••••• L• reported RAUM $708.0M, up 86% from $381.0M (2020-03-30 to 2021-03-31)
        Mar 31, 2021 · RAUM change · derived
      • C•••••••• C•••••• L• reported RAUM $284.0M, down 28% from $395.0M (2018-03-28 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • C•••••••• C•••••• L• reported RAUM $395.0M, down 29% from $554.0M (2017-09-26 to 2018-03-28)
        Mar 28, 2018 · RAUM change · derived
      • C•••••••• C•••••• L•• filed its initial SEC registration (Form ADV)
        Jun 30, 2014 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Website
      H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      212-735-5380reportedpublic record, Form ADV, May 8, 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