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••••••••• C•••••• T••••••••• M••••••••• L•••

Former SEC-registered adviserPalo Alto, CaliforniaCRD 167775SEC 801-78184IAPD
Latest filing Feb 15, 2023
First filing on the tape Jun 4, 2013 · 20 filings
RAUM
$136M
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
9
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$136M gross assets
History
20 filings and snapshots on the tape
RAUM$136M as of Mar 31, 2022
Mar 27, 2014$166M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 27, 20140 then
Employees (5.A)9 as of Mar 31, 2022
Mar 27, 20148 then
Private funds3 as of Mar 31, 2022
Mar 27, 20144 then
RAUM -12% over the last fiscal year-13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 15, 2023; 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
$45.5MderivedRAUM 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
-12%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
$136M, 3 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$136M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$136M for 3 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
      Every departureEvery arrival
      Private funds
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••••••• C•••••• T••••••••• F•••• L•••no longer reportedPrivate Equity Fund$106M4Jun 4, 2013
      C••••••••• C•••••• T••••••••• F••• ••••••••• L•••Private Equity Fund$95.5M27Oct 28, 2014
      C••••••••• C•••••• T••••••••• F•••••• L•••no longer reportedPrivate Equity Fund$50.5M2Jun 4, 2013
      C••••••••• C•••••• T••••••••• F••••• ••••••••• L•••Private Equity Fund$34.4M2Oct 28, 2014
      C••••••••• C•••••• T••••••••• E•••••••• F•••• L•••no longer reportedPrivate Equity Fund$27.0M7Jun 4, 2013
      C••••••••• C•••••• T••••••••• E••••••• F•••• L•••Private Equity Fund$6.5M31Mar 27, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• D••••• W•••• · Partnercontrol
        since 04/2013 · owns less than 5%
      • H•••••• E••••• B••••••• · Partnercontrol
        since 04/2013 · owns less than 5%
      • K•••••••• A•••••• L••••• · Chief Compliance Officercontrol
        since 03/2021 · owns less than 5%
      • P•••••• R•••••• A••• · Partnercontrol
        since 04/2013 · owns less than 5%
      • S•••••• D••••• P•••••••• · Partnercontrol
        since 04/2013 · owns less than 5%
      • V•••••• J••••• · Cfocontrol
        since 04/2013 · owns less than 5%
      • W••••• M••••••• C••••••••• · General Counselcontrol
        since 01/2016 · owns less than 5%
      • R•••••• B••••• K•••• · Director
        since 01/2023 · owns less than 5%
      Entity owners
      • C••••••••• C•••••• H••••••• L•• · Limited Partner
        direct · owns 75% or more
      • C••••••••• C•••••• T••••••••• M••••••••• L•• · General Partner
        direct · owns less than 5%
      • C••••••••• C•••••• T••••••••• M••••••••• H••••••• L•• · Member
        indirect · owns 75% or more of C••••••••• C•••••• T••••••••• M••••••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list C••••••••• C•••••• T••••••••• M••••••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $154M to $136M
        Mar 30, 2021 to Mar 31, 2022
      • Discretionary RAUM · $154M to $136M
        Mar 30, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $154M to $136M
        Mar 30, 2021 to Mar 31, 2022
      • RAUM · $154M to $136M
        Mar 30, 2021 to Mar 31, 2022
      • Assets in custody · $145M to $154M
        Jul 7, 2020 to Mar 30, 2021
      • Employees · 6 to 9
        Jul 7, 2020 to Mar 30, 2021
      • Discretionary RAUM · $145M to $154M
        Jul 7, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $145M to $154M
        Jul 7, 2020 to Mar 30, 2021
      • RAUM · $145M to $154M
        Jul 7, 2020 to Mar 30, 2021
      • Advisory employees · 5 to 3
        Mar 29, 2019 to Mar 31, 2020
      • Assets in custody · $139M to $145M
        Mar 29, 2019 to Mar 31, 2020
      • Employees · 8 to 6
        Mar 29, 2019 to Mar 31, 2020
      • Discretionary RAUM · $205M to $145M
        Mar 29, 2019 to Mar 31, 2020
      • Pooled vehicle RAUM · $205M to $145M
        Mar 29, 2019 to Mar 31, 2020
      • RAUM · $205M to $145M
        Mar 29, 2019 to Mar 31, 2020
      • Assets in custody · $138M to $139M
        Mar 29, 2018 to Mar 29, 2019
      • Discretionary RAUM · $211M to $205M
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $211M to $205M
        Mar 29, 2018 to Mar 29, 2019
      • RAUM · $211M to $205M
        Mar 29, 2018 to Mar 29, 2019
      • Advisory employees · 7 to 5
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 3.0
        Mar 31, 2017 to Mar 29, 2018
      • Assets in custody · $125M to $138M
        Mar 31, 2017 to Mar 29, 2018
      • Employees · 10 to 8
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $199M to $211M
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 211430158.0
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · $199M to $211M
        Mar 31, 2017 to Mar 29, 2018
      • Advisory employees · 6 to 7
        Apr 1, 2016 to Mar 31, 2017
      • Assets in custody · $42.0M to $125M
        Apr 1, 2016 to Mar 31, 2017
      • Employees · 8 to 10
        Apr 1, 2016 to Mar 31, 2017
      • HQ city · MENLO PARK to PALO ALTO
        Apr 1, 2016 to Mar 31, 2017
      • Discretionary RAUM · $200M to $199M
        Apr 1, 2016 to Mar 31, 2017
      • RAUM · $200M to $199M
        Apr 1, 2016 to Mar 31, 2017
      • Discretionary RAUM · $193M to $200M
        Oct 28, 2014 to Mar 28, 2015
      • RAUM · $193M to $200M
        Oct 28, 2014 to Mar 28, 2015
      • Accounts · 4 to 3
        May 23, 2014 to Oct 28, 2014
      • Assets in custody · $0 to $42.0M
        May 23, 2014 to Oct 28, 2014
      • Private funds · 4 to 3
        May 23, 2014 to Oct 28, 2014
      • Discretionary RAUM · $166M to $193M
        May 23, 2014 to Oct 28, 2014
      • RAUM · $166M to $193M
        May 23, 2014 to Oct 28, 2014
      Signals
      3 dated events
      • Alan David Handler (Partner) no longer on Schedule A of C••••••••• C•••••• T••••••••• M••••••••• L••• (listed 2022-04-19, absent 2022-10-17)
        Oct 17, 2022 · Control person left · inference
      • L••••• A••••• K••••••• (Chief Compliance Officer) appeared on Schedule A of C••••••••• C•••••• T••••••••• M••••••••• L•••
        Mar 30, 2021 · Control person joined · fact
      • C••••••••• C•••••• T••••••••• M••••••••• L••• filed its initial SEC registration (Form ADV)
        Jun 4, 2013 · 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
      C•••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 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
      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