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•••••• M•••••••••
Asset manager (funds and pooled vehicles)Charlotte, North CarolinaCRD 168693SEC 801-78415websiteIAPD
Legal name C• M••••••••• G•• L••
Latest filing Mar 31, 2026
First filing on the tape Aug 1, 2013 · 31 filings
SEC status approved since Aug 12, 2013
RAUM
$1.4B
reported, Item 5.F
Discretionary
64%
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
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
17
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$1.4B as of Mar 31, 2026
Mar 26, 2014$2.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 26, 20140 then
Employees (5.A)17 as of Mar 31, 2026
Mar 26, 201421 then
Private funds17 as of Mar 31, 2026
Mar 26, 20143 then
RAUM +12% over the last fiscal year+2.0% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Mar 31, 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
- $53.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 64%derivedof RAUM
- Institutional
- 14%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
- +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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $905M, 20 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
- 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$886M64%
- Other investment advisers$299M21%
- State and municipal entities$191M14%
- Corporations and businesses$16.3M1.2%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 26reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $905M for 20 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.85 institutional_share=0.14 related_bd=true related_bank=true bd_reps=1.0derived
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
22 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••• C•••••• A••••••• P•••••••• L• | Private Equity Fund | $133M | 69 | Sep 8, 2017 |
| C••••• C•••••• G••••• C••••• O••••••••• F•••• L••• | Hedge Fund | $84.6M | 21 | Mar 30, 2012 |
| C••••• C•••••• A••••••••• I••••• F•••• L• | Hedge Fund | $82.2M | 7 | Mar 14, 2016 |
| C••••• C•••••• G••••• C••••• O••••••••• C••••••••• F••• I• L•••no longer reported | Hedge Fund | $51.9M | 2 | Apr 1, 2013 |
| C••••• C•••••• C•••• O••••••••• I••• L•• | Private Equity Fund | $50.1M | 6 | Mar 31, 2022 |
| C••••• C•••••• C•••• O••••••••• I•• L• | Private Equity Fund | $48.7M | 13 | Mar 31, 2022 |
| C•• M•• F•••••• L•• | Private Equity Fund | $43.8M | 2 | Mar 31, 2022 |
| C••••• C•••••• A••••••• O••••••••• I•• L•• | Private Equity Fund | $37.1M | 9 | Mar 31, 2022 |
| C••••• C•••••• A••••••• O••••••••• F••• L•• | Private Equity Fund | $32.7M | 7 | Mar 30, 2020 |
| C••••• C•••••• A••••••• L•••••• I•• L• | Private Equity Fund | $22.2M | 50 | Mar 29, 2019 |
| C••••• C•••••• R••• A••••• F•••• L• | Private Equity Fund | $21.6M | 41 | Mar 9, 2015 |
| C•• I•• F•••••• • 1• L•• | Private Equity Fund | $19.6M | 3 | Mar 31, 2022 |
| C•• S••••• F•••••• 2••• L•• | Private Equity Fund | $18.6M | 3 | Mar 31, 2022 |
| C••••• C•••••• A••••••• P••••••• I••• L• | Private Equity Fund | $18.3M | 31 | Mar 30, 2020 |
| C••• C•••••••• 1• L•• | Private Equity Fund | $15.4M | 6 | Mar 31, 2022 |
| C••••• C•••••• A••••••• O••••••••• I•• L•• | Private Equity Fund | $7.1M | 7 | Mar 29, 2021 |
| C•• A••••••• H••••••• 1• L••no longer reported | Private Equity Fund | $5.0M | 3 | Mar 2, 2017 |
| C••••• C•••••• A••••••• O••••••••• I••• L•• | Private Equity Fund | $4.5M | 3 | Mar 29, 2021 |
| C••••• C•••••• E••••• ••••••••• F••• • S•••••• L•••no longer reported | Hedge Fund | $1.5M | 1 | Mar 30, 2012 |
| C••••• C•••••• R•••••• I••••••••• L•no longer reported | Hedge Fund | $688,234 | 46 | Mar 2, 2017 |
| C•• A••••••• H••••••• 2• L•• | Private Equity Fund | $600,692 | 7 | Mar 2, 2017 |
| C••••• C•••••• R•••••• P•••••••• L• | Hedge Fund | $561,774 | 26 | Mar 29, 2019 |
Owners and control persons
Schedule A and B, latest filing
- C•••••••• J••••• C••••••••• · Elected Managercontrolsince 07/2013 · owns 50% to 75%
- M•••••• J•••••••• R••••• · Elected Managercontrolsince 12/2013 · owns 50% to 75%
- P•••••• A••• R•••• · Chief Compliance Officercontrolsince 01/2022 · owns less than 5%
- R•••••• R••••••• M••• · Chief Financial And Operating Officercontrolsince 07/2014 · owns less than 5%
- C•••••••• J••••• C••••••••• · Membercontrolsince 04/2017 · owns 50% to 75% of C•• H••••• L••
- M•••••• J•••••••• R••••• · Trusteecontrolsince 09/2009 · owns 50% to 75% of M••••• F••••• T•••• D•••• S•••••••• 1•• 2•••
- M•••••• S••••••••• M••••••• · Trusteecontrolsince 09/2009 · owns 50% to 75% of M••••• F••••• T•••• D•••• S•••••••• 1•• 2•••
Entity owners
- C•• H••••• L•• · Ownerdirect · owns 75% or more
- M••••• F••••• T•••• D•••• S•••••••• 1•• 2••• · Memberindirect · owns 50% to 75% of C•• H••••• L••
Related persons
Schedule D 7.A
- C•• A••••••••• I••••• G•• L•pooled vehicle sponsory
- C•• A•• 1•• G•• L•pooled vehicle sponsory
- C•• A•• I• G•• L•pooled vehicle sponsory
- C•• A••••••• G•• L•pooled vehicle sponsory
- C•• A••••••• I•••••••• G•• L•pooled vehicle sponsory
- C•• C•••• G•• L•pooled vehicle sponsory
- C•• R••• A••••• G• L•pooled vehicle sponsory
- C••••• C•••••• G•• L•pooled vehicle sponsory
- C••••• C•••••• M••••••••• L••pooled vehicle sponsory
- C••••• M••••••••• L•pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 31, 2026broker-dealer affiliate (Item 7.A.1): no on the filing of 2025-11-11, yes on the filing of 2026-03-31peers: asset managers, $1B to $5B (1,506)
What changed
consecutive filings, newest first
- Accounts · 21 to 26Nov 11, 2025 to Mar 31, 2026
- Advisory employees · 6 to 10Nov 11, 2025 to Mar 31, 2026
- Corporate clients · unset to 1.0Nov 11, 2025 to Mar 31, 2026
- Pooled vehicle clients · 15 to 17Nov 11, 2025 to Mar 31, 2026
- Assets in custody · $972M to $905MNov 11, 2025 to Mar 31, 2026
- Employees · 13 to 17Nov 11, 2025 to Mar 31, 2026
- Other offices · 0 to 1Nov 11, 2025 to Mar 31, 2026
- Private funds · 15 to 17Nov 11, 2025 to Mar 31, 2026
- Discretionary RAUM · $867M to $886MNov 11, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $374M to $506MNov 11, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $867M to $886MNov 11, 2025 to Mar 31, 2026
- RAUM · $1.2B to $1.4BNov 11, 2025 to Mar 31, 2026
- Related adviser · false to trueNov 11, 2025 to Mar 31, 2026
- Related broker-dealer · false to trueNov 11, 2025 to Mar 31, 2026
- Accounts · 20 to 21Mar 28, 2024 to Mar 28, 2025
- Corporate clients · 1.0 to unsetMar 28, 2024 to Mar 28, 2025
- Assets in custody · $962M to $972MMar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $822M to $867MMar 28, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $270M to $374MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $822M to $867MMar 28, 2024 to Mar 28, 2025
- RAUM · $1.1B to $1.2BMar 28, 2024 to Mar 28, 2025
- Accounts · 22 to 20May 25, 2023 to Mar 28, 2024
- Pooled vehicle clients · 18 to 15May 25, 2023 to Mar 28, 2024
- Assets in custody · $1.2B to $962MMay 25, 2023 to Mar 28, 2024
- Other offices · 1 to 0May 25, 2023 to Mar 28, 2024
- Private funds · 18 to 15May 25, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.0B to $822MMay 25, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $280M to $270MMay 25, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.0B to $822MMay 25, 2023 to Mar 28, 2024
- RAUM · $1.3B to $1.1BMay 25, 2023 to Mar 28, 2024
- Assets in custody · $1.1B to $1.2BJul 15, 2022 to Mar 31, 2023
- Employees · 12 to 13Jul 15, 2022 to Mar 31, 2023
- Other offices · 0 to 1Jul 15, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.1B to $1.0BJul 15, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $263M to $280MJul 15, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.1B to $1.0BJul 15, 2022 to Mar 31, 2023
- RAUM · $1.4B to $1.3BJul 15, 2022 to Mar 31, 2023
- Other offices · 1 to 0Apr 26, 2022 to Jul 15, 2022
- Accounts · 17 to 22Jan 13, 2022 to Mar 31, 2022
Signals
4 dated events
- Mccarthy S•••••••• M••••• (Trustee) appeared on Schedule A of C••••• C•••••• M•••••••••Apr 26, 2022 · Control person joined · fact
- Renee Amy Priebe (Chief Compliance Officer) appeared on Schedule A of C••••• C•••••• M•••••••••Jan 13, 2022 · Control person joined · fact
- C••••• C•••••• M••••••••• reported RAUM $1.3B, up 27% from $1.0B (2018-03-28 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- C• M••••••••• G•• L•• filed its initial SEC registration (Form ADV)Aug 1, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C••••• C•••••• M••••••••• · Independent Sponsorsshared crd · capital_provider
- C••••• C•••••• M••••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 704-330-7300reportedpublic record, Form ADV, Mar 28, 2024
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