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•••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Aug 7, 2013 · 25 filings
SEC status approved since Aug 14, 2013
RAUM
$104M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
36%
$37.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$104M as of Mar 31, 2026
Mar 31, 2014$55.0M then
HNW client RAUM$37.8M as of Mar 31, 2026
Mar 30, 2018$112M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20140 then
Employees (5.A)2 as of Mar 31, 2026
Mar 31, 20143 then
Private funds1 as of Mar 31, 2026
Mar 31, 20141 then
RAUM -2.1% over the last fiscal year-14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- $12.6MderivedHNW RAUM over HNW clients
- Average account
- $17.4MderivedRAUM 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
- -2.1%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 individuals, 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$66.6M64%
- High-net-worth individuals$37.8M36%
- Individual clients
- n/areported
- HNW clients
- 3reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.36 fund_share=0.64 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••• C•••••• M••••• F•••• L•• | Hedge Fund | $43.4M | 54 | Aug 7, 2013 |
| M••••••••• V••• L•• | Hedge Fund | $20.6M | 24 | Mar 31, 2023 |
| M••••••••• I• L•• | Hedge Fund | $5.0M | 2 | Mar 29, 2019 |
| M••••••••• V• L•• | Hedge Fund | $2.6M | 11 | Mar 31, 2023 |
| M••••••••• V•• L•• | Hedge Fund | $1.1M | 1 | Mar 31, 2023 |
| M••••••••• M••••• F••• L•no longer reported | Hedge Fund | $72,314 | 5 | Jun 29, 2017 |
Owners and control persons
Schedule A and B, latest filing
- R••••••••• K••••• M•••••• · Managing Member And Chief Compliance Officercontrolsince 06/2011 · owns 75% or more
Related persons
Schedule D 7.A
- C•••••• C•••••• M••••••••• L••pooled vehicle sponsorn
- C•••••• G•• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 7 to 6Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 4 to 3Mar 31, 2025 to Mar 31, 2026
- Private funds · 2 to 1Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $107M to $104MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $37.2M to $37.8MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $69.6M to $66.6MMar 31, 2025 to Mar 31, 2026
- RAUM · $107M to $104MMar 31, 2025 to Mar 31, 2026
- Accounts · 9 to 7Mar 28, 2024 to Mar 31, 2025
- HNW clients · 2 to 3Mar 28, 2024 to Mar 31, 2025
- Pooled vehicle clients · 7 to 4Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Private funds · 5 to 2Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $91.0M to $107MMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $18.4M to $37.2MMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $72.7M to $69.6MMar 28, 2024 to Mar 31, 2025
- RAUM · $91.0M to $107MMar 28, 2024 to Mar 31, 2025
- Accounts · 11 to 9Mar 31, 2023 to Mar 28, 2024
- BD registered reps · 1 to 0Mar 31, 2023 to Mar 28, 2024
- HNW clients · 4 to 2Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $163M to $91.0MMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $76.8M to $18.4MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $86.1M to $72.7MMar 31, 2023 to Mar 28, 2024
- RAUM · $163M to $91.0MMar 31, 2023 to Mar 28, 2024
- Accounts · 9 to 11Jul 29, 2022 to Mar 31, 2023
- BD registered reps · 0 to 1Jul 29, 2022 to Mar 31, 2023
- Pooled vehicle clients · 4 to 7Jul 29, 2022 to Mar 31, 2023
- Custody of client assets · true to falseJul 29, 2022 to Mar 31, 2023
- Private funds · 2 to 5Jul 29, 2022 to Mar 31, 2023
- Discretionary RAUM · $132M to $163MJul 29, 2022 to Mar 31, 2023
- HNW RAUM · $82.4M to $76.8MJul 29, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $49.1M to $86.1MJul 29, 2022 to Mar 31, 2023
- RAUM · $132M to $163MJul 29, 2022 to Mar 31, 2023
- HQ city · NEW YORK to STAMFORDMar 31, 2022 to Jul 29, 2022
- HQ state · NY to CTMar 31, 2022 to Jul 29, 2022
- Employees · 3 to 2Oct 4, 2021 to Mar 31, 2022
- Discretionary RAUM · $119M to $132MOct 4, 2021 to Mar 31, 2022
- HNW RAUM · $84.0M to $82.4MOct 4, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $34.8M to $49.1MOct 4, 2021 to Mar 31, 2022
- RAUM · $119M to $132MOct 4, 2021 to Mar 31, 2022
- Accounts · 25 to 9Nov 16, 2020 to Mar 31, 2021
Signals
2 dated events
- C•••••• C•••••• A•••••••• L•• reported RAUM $191.9M, up 121% from $87.0M (2017-06-29 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
- K• A•••••••• L•• filed its initial SEC registration (Form ADV)Aug 7, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@cruisercap.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-829-5833reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/cruiser-capital-advisors-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-829-5833reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- cruisercap.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- Wealth manager with institutional or fund businessderiveda 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