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•••••• F•••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Aug 28, 2019 · 10 filings
SEC status approved since Sep 25, 2019
RAUM
$519M
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
18
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$519M as of Mar 27, 2026
Mar 30, 2020$283M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 30, 20200 then
Employees (5.A)18 as of Mar 27, 2026
Mar 30, 20209 then
Private funds7 as of Mar 27, 2026
Mar 30, 20205 then
RAUM +4.4% over the last fiscal year+8.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $74.1MderivedRAUM 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
- +4.4%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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$519M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- 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=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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••• C•••••• I•• L••• | Private Equity Fund | $196M | 75 | Mar 30, 2020 |
| C•••••• C•••••• I••• L••• | Private Equity Fund | $181M | 93 | Dec 22, 2014 |
| V••••• L•• | Private Equity Fund | $9.8M | 1 | Mar 31, 2022 |
| V••••••• E•••••• L•• | Private Equity Fund | $9.8M | 1 | Mar 31, 2022 |
| C•••••• C•••••• I•• ••••• L••• | Private Equity Fund | $7.2M | 36 | Dec 22, 2014 |
| C•••••• C•••••• I• ••••• L••• | Private Equity Fund | $4.0M | 16 | Mar 30, 2020 |
| C•••••• C•••••• C•••••••• I•• L••no longer reported | Private Equity Fund | $354,517 | 1 | Aug 28, 2019 |
Owners and control persons
Schedule A and B, latest filing
- J••••••• G••••• A••••• · Managing Membercontrolsince 01/2014 · owns 75% or more
- S••••• C••••••••• W••••• · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
Related persons
Schedule D 7.A
- C•••••• C•••••• G• I••• L••pooled vehicle sponsorn
- C•••••• C•••••• G• I•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 6 to 8Apr 3, 2025 to Mar 27, 2026
- Employees · 14 to 18Apr 3, 2025 to Mar 27, 2026
- Discretionary RAUM · $497M to $519MApr 3, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $497M to $519MApr 3, 2025 to Mar 27, 2026
- RAUM · $497M to $519MApr 3, 2025 to Mar 27, 2026
- Accounts · 6 to 7Mar 26, 2024 to Apr 3, 2025
- Advisory employees · 7 to 6Mar 26, 2024 to Apr 3, 2025
- Pooled vehicle clients · 6 to 7Mar 26, 2024 to Apr 3, 2025
- Employees · 16 to 14Mar 26, 2024 to Apr 3, 2025
- Financial planning clients · unset to Mar 26, 2024 to Apr 3, 2025
- Private funds · 6 to 7Mar 26, 2024 to Apr 3, 2025
- Discretionary RAUM · $407M to $497MMar 26, 2024 to Apr 3, 2025
- Pooled vehicle RAUM · $407M to $497MMar 26, 2024 to Apr 3, 2025
- RAUM · $407M to $497MMar 26, 2024 to Apr 3, 2025
- Advisory employees · 4 to 7May 10, 2023 to Mar 26, 2024
- Employees · 11 to 16May 10, 2023 to Mar 26, 2024
- Discretionary RAUM · $406M to $407MMay 10, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $406M to $407MMay 10, 2023 to Mar 26, 2024
- RAUM · $406M to $407MMay 10, 2023 to Mar 26, 2024
- Accounts · 7 to 6Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 12 to 4Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 7 to 6Mar 31, 2022 to Mar 31, 2023
- Assets in custody · 172224565.0 to unsetMar 31, 2022 to Mar 31, 2023
- Custody of client assets · true to falseMar 31, 2022 to Mar 31, 2023
- Employees · 13 to 11Mar 31, 2022 to Mar 31, 2023
- Private funds · 7 to 6Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $410M to $406MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $410M to $406MMar 31, 2022 to Mar 31, 2023
- RAUM · $410M to $406MMar 31, 2022 to Mar 31, 2023
- Accounts · 5 to 7Mar 30, 2021 to Mar 31, 2022
- Advisory employees · 8 to 12Mar 30, 2021 to Mar 31, 2022
- Pooled vehicle clients · 5 to 7Mar 30, 2021 to Mar 31, 2022
- Assets in custody · unset to 172224565.0Mar 30, 2021 to Mar 31, 2022
- Custody of client assets · false to trueMar 30, 2021 to Mar 31, 2022
- Employees · 9 to 13Mar 30, 2021 to Mar 31, 2022
- Private funds · 5 to 7Mar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $371M to $410MMar 30, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $371M to $410MMar 30, 2021 to Mar 31, 2022
- RAUM · $371M to $410MMar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $283M to $371MFeb 2, 2021 to Mar 30, 2021
Signals
6 dated events
- Walter Christopher Smith (Chief Compliance Officer) appeared on Schedule A of C•••••• C•••••• F•••• M••••••••• L••Mar 26, 2024 · Control person joined · fact
- Ryan Christian Ward (Chief Compliance Officer / Chief Financial Officer) no longer on Schedule A of C•••••• C•••••• F•••• M••••••••• L•• (listed 2022-03-31, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Robert Taylor Weis (Chief Compliance Officer) no longer on Schedule A of C•••••• C•••••• F•••• M••••••••• L•• (listed 2020-03-30, absent 2021-02-02)Feb 2, 2021 · Control person left · inference
- Ryan Christian Ward (Chief Compliance Officer / Chief Financial Officer) appeared on Schedule A of C•••••• C•••••• F•••• M••••••••• L••Feb 2, 2021 · Control person joined · fact
- C•••••• C•••••• F•••• M••••••••• L•• reported RAUM $282.7M, up 91% from $148.3M (2019-08-28 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- C•••••• C•••••• F•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 28, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••••• C•••••• F•••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- C•••••• C•••••• F•••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- councilcapital.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 615-627-0402reportedpublic record, Form ADV, Mar 27, 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