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•• I••••••••• P•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Sep 29, 2017 · 16 filings
SEC status approved since Oct 27, 2017
RAUM
$2.4B
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$2.4B as of Mar 31, 2026
Mar 16, 2018$211M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 16, 20180 then
Employees (5.A)3 as of Mar 31, 2026
Mar 16, 20183 then
Private funds2 as of Mar 31, 2026
Mar 16, 20181 then
RAUM +35% over the last fiscal year+61% a year over threeIARs 0 to 0
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
- $612MderivedRAUM 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
- +35%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
- 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)
- 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$2.4B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- 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
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••• M•••••• L• | Hedge Fund | $632M | 104 | Mar 30, 2021 |
| S•••• P•••••••• L•••no longer reported | Hedge Fund | $545M | 75 | Feb 18, 2015 |
| C••• P•••••••• L• | Hedge Fund | $319M | 2 | Mar 30, 2020 |
| C••••••••• L• | Private Equity Fund | $0 | 0 | Mar 30, 2020 |
Owners and control persons
Schedule A and B, latest filing
- S••••• C•••••••• A• · Managing Member / Chief Compliance Officercontrolsince 06/2012 · owns 75% or more
Related persons
Schedule D 7.A
- S••••••••• L••pooled vehicle sponsorn
- S••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · unset to 0.0Mar 18, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.8B to $2.4BMar 18, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.8B to $2.4BMar 18, 2025 to Mar 31, 2026
- RAUM · $1.8B to $2.4BMar 18, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 19, 2024 to Mar 18, 2025
- Private funds · 3 to 2Mar 19, 2024 to Mar 18, 2025
- Discretionary RAUM · $951M to $1.8BMar 19, 2024 to Mar 18, 2025
- Pooled vehicle RAUM · $951M to $1.8BMar 19, 2024 to Mar 18, 2025
- RAUM · $951M to $1.8BMar 19, 2024 to Mar 18, 2025
- Accounts · 5 to 4Mar 27, 2023 to Mar 19, 2024
- Pooled vehicle clients · 5 to 4Mar 27, 2023 to Mar 19, 2024
- HQ city · NEW YORK to WESTPORTMar 27, 2023 to Mar 19, 2024
- HQ state · NY to CTMar 27, 2023 to Mar 19, 2024
- Discretionary RAUM · $585M to $951MMar 27, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · $585M to $951MMar 27, 2023 to Mar 19, 2024
- RAUM · $585M to $951MMar 27, 2023 to Mar 19, 2024
- Discretionary RAUM · $2.2B to $585MNov 7, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $2.2B to $585MNov 7, 2022 to Mar 27, 2023
- RAUM · $2.2B to $585MNov 7, 2022 to Mar 27, 2023
- Discretionary RAUM · $2.0B to $2.2BAug 25, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $2.0B to $2.2BAug 25, 2021 to Mar 29, 2022
- RAUM · $2.0B to $2.2BAug 25, 2021 to Mar 29, 2022
- Accounts · 3 to 5Apr 17, 2020 to Mar 30, 2021
- Pooled vehicle clients · 3 to 5Apr 17, 2020 to Mar 30, 2021
- Discretionary RAUM · $736M to $2.0BApr 17, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $736M to $2.0BApr 17, 2020 to Mar 30, 2021
- RAUM · $736M to $2.0BApr 17, 2020 to Mar 30, 2021
- Accounts · 1 to 3Sep 19, 2019 to Mar 30, 2020
- Pooled vehicle clients · 1 to 3Sep 19, 2019 to Mar 30, 2020
- Other offices · 1 to 0Sep 19, 2019 to Mar 30, 2020
- Private funds · 1 to 3Sep 19, 2019 to Mar 30, 2020
- Discretionary RAUM · $311M to $736MSep 19, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $311M to $736MSep 19, 2019 to Mar 30, 2020
- RAUM · $311M to $736MSep 19, 2019 to Mar 30, 2020
- HQ city · WESTPORT to NEW YORKMar 29, 2019 to Sep 19, 2019
- HQ state · CT to NYMar 29, 2019 to Sep 19, 2019
- Discretionary RAUM · $211M to $311MAug 1, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $211M to $311MAug 1, 2018 to Mar 29, 2019
- RAUM · $211M to $311MAug 1, 2018 to Mar 29, 2019
- Pooled vehicle clients · unset to 1.0Sep 29, 2017 to Mar 16, 2018
Signals
8 dated events
- C•• I••••••••• P•••••••• L•• reported RAUM $2.4B, up 35% from $1.8B (2025-03-18 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- C•• I••••••••• P•••••••• L•• reported RAUM $1.8B, up 90% from $951.1M (2024-03-19 to 2025-03-18)Mar 18, 2025 · RAUM change · derived
- C•• I••••••••• P•••••••• L•• reported RAUM $951.1M, up 62% from $585.3M (2023-03-27 to 2024-03-19)Mar 19, 2024 · RAUM change · derived
- C•• I••••••••• P•••••••• L•• reported RAUM $585.3M, down 74% from $2.2B (2022-11-07 to 2023-03-27)Mar 27, 2023 · RAUM change · derived
- C•• I••••••••• P•••••••• L•• reported RAUM $2.0B, up 176% from $735.7M (2020-04-17 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- C•• I••••••••• P•••••••• L•• reported RAUM $735.7M, up 136% from $311.5M (2019-09-19 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- C•• I••••••••• P•••••••• L•• reported RAUM $311.5M, up 47% from $211.3M (2018-08-01 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- C•• I••••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Sep 29, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•• I••••••••• P•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- C•••••••S••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (212) 804-7660reportedpublic record, Form ADV, Mar 31, 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