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
4•• C••••••• L••
Latest filing Apr 29, 2026
First filing on the tape Jun 30, 2022 · 9 filings
SEC status approved since Aug 3, 2022
RAUM
$584M
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
20
16 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
9
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$584M as of Apr 29, 2026
Mar 29, 2023$207M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 29, 2026
Mar 29, 20230 then
Employees (5.A)20 as of Apr 29, 2026
Mar 29, 202318 then
Private funds9 as of Apr 29, 2026
Mar 29, 202310 then
RAUM +47% over the last fiscal year+41% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 29, 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
- $64.9MderivedRAUM 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
- +47%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, fixed fees, 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
- 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)
- 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$584M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
11 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••• V•••••• P••••••• I•• L• | Private Equity Fund | $89.0M | 68 | Jul 20, 2017 |
| 4•• C•••••• C••••••••• F••• I• L• | Private Equity Fund | $64.7M | 62 | Mar 31, 2021 |
| 4•• C•••••• F••• I• L• | Private Equity Fund | $58.1M | 57 | Mar 31, 2021 |
| B•••• V•••••• F••• I••• L• | Other Private Fund | $38.9M | 2 | May 11, 2017 |
| 4•• C•••••• F••• I•• L• | Private Equity Fund | $27.6M | 63 | Mar 29, 2023 |
| B•••• C••••••••• I••• L• | Private Equity Fund | $9.0M | 71 | Jul 20, 2017 |
| F•••••• S•••••• L•• | Private Equity Fund | $6.0M | 36 | Jul 20, 2017 |
| B•••• V•••••• F••• I•• L• | Venture Capital Fund | $2.7M | 59 | May 11, 2017 |
| B•••• P••••••• I•• L•• | Private Equity Fund | $2.0M | 2 | Jul 20, 2017 |
| B•••• P•••••••• L••no longer reported | Private Equity Fund | $456,912 | 7 | Jul 20, 2017 |
| B•••• C••••••••• I•• L• | Venture Capital Fund | $0 | 0 | May 11, 2017 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• W••••• · Principalcontrolsince 12/2004 · owns 25% to 50%
- M•••••• F•••••••• H••••• · Principalcontrolsince 07/1998 · owns 5% to 10%
- M••••• J•••••••• M•••• · Chief Compliance Officer And Director Of Finance & Operationscontrolsince 01/2015 · owns less than 5%
- M•••••••• B•••••• · Principalcontrolsince 12/2015 · owns 25% to 50%
- S••••••• K•••• D••••• · Principalcontrolsince 02/2017 · owns 25% to 50%
Related persons
Schedule D 7.A
- 4•• C•••••• F••• I• L••pooled vehicle sponsorn
- 4•• C•••••• F••• I•• L••pooled vehicle sponsorn
- B•••• V•••••• P••••••• I•• L••pooled vehicle sponsorn
- B•••• V•••••• P••••••• I••• L••pooled vehicle sponsorn
- B•••• V•••••• P••••••• I••• L••pooled vehicle sponsorn
- B•••• V••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $397M to $584MMar 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $397M to $584MMar 28, 2025 to Mar 27, 2026
- RAUM · $397M to $584MMar 28, 2025 to Mar 27, 2026
- Accounts · 10 to 9May 1, 2024 to Mar 28, 2025
- Advisory employees · 19 to 16May 1, 2024 to Mar 28, 2025
- Pooled vehicle clients · 10 to 9May 1, 2024 to Mar 28, 2025
- Employees · 21 to 20May 1, 2024 to Mar 28, 2025
- Financial planning clients · unset to May 1, 2024 to Mar 28, 2025
- Private funds · 10 to 9May 1, 2024 to Mar 28, 2025
- Discretionary RAUM · $298M to $397MMay 1, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $298M to $397MMay 1, 2024 to Mar 28, 2025
- RAUM · $298M to $397MMay 1, 2024 to Mar 28, 2025
- Advisory employees · 14 to 19Dec 5, 2023 to Mar 29, 2024
- Employees · 18 to 21Dec 5, 2023 to Mar 29, 2024
- Discretionary RAUM · $207M to $298MDec 5, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $207M to $298MDec 5, 2023 to Mar 29, 2024
- RAUM · $207M to $298MDec 5, 2023 to Mar 29, 2024
- Accounts · 9 to 10Nov 4, 2022 to Mar 29, 2023
- Pooled vehicle clients · 9 to 10Nov 4, 2022 to Mar 29, 2023
- Employees · 17 to 18Nov 4, 2022 to Mar 29, 2023
- Private funds · 9 to 10Nov 4, 2022 to Mar 29, 2023
- Discretionary RAUM · $292M to $207MNov 4, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $292M to $207MNov 4, 2022 to Mar 29, 2023
- RAUM · $292M to $207MNov 4, 2022 to Mar 29, 2023
- Private funds · 18 to 9Jun 30, 2022 to Nov 4, 2022
Signals
2 dated events
- 4•• C••••••• L•• reported RAUM $584.5M, up 47% from $396.7M (2025-03-28 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- 4•• C••••••• L•• filed its initial SEC registration (Form ADV)Jun 30, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- 4•• C••••••• L•• · Independent Sponsorsshared crd · capital_provider
- 4•• C••••••• L•• · Private Equityshared crd · organization
- 4•• C••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- 424CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 781-295-4000reportedpublic record, Form ADV, Apr 29, 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