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Former SEC-registered adviser

C•••••••• C•••••• L••

Former SEC-registered adviserNew York, New YorkCRD 174455SEC 801-80894IAPD
Latest filing Mar 27, 2018
First filing on the tape Jan 16, 2015 · 8 filings
RAUM
$576M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$576M as of Mar 27, 2018
Mar 30, 2016$346M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2018
Mar 30, 20160 then
Employees (5.A)4 as of Mar 27, 2018
Mar 30, 20162 then
Private funds: no history
RAUM -22% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2018; 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
$576MderivedRAUM 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
-22%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
controlled by a public reporting companyderived
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$576M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • E••••• N••••• R•••• · Chief Compliance Officercontrol
        since 08/2017 · owns less than 5%
      • T•••••• G••••••• A••••• · Managing Partnercontrol
        since 12/2014 · owns less than 5%
      • T•••••• G••••••• A••••• · Managing Member \ Limited Partnercontrol
        since 12/2014 · owns 75% or more of C•••••••• Capital Capital Holdings LP
      • T•••••• G••••••• A••••• · Managing Membercontrol
        since 12/2014 · owns 75% or more of C•••••••• C•••••• G• L••
      Entity owners
      • C•••••••• C•••••• H••••••• L• · Managing Member
        direct · owns 75% or more
      • C•••••••• C•••••• G• L•• · General Partner
        indirect · owns F of C•••••••• C•••••• H••••••• L•
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Pooled vehicle clients · unset to 1.0
        Sep 29, 2017 to Mar 27, 2018
      • Employees · 3 to 4
        Sep 29, 2017 to Mar 27, 2018
      • Other offices · unset to 0.0
        Sep 29, 2017 to Mar 27, 2018
      • Discretionary RAUM · $743M to $576M
        Sep 29, 2017 to Mar 27, 2018
      • Pooled vehicle RAUM · unset to 576497927.0
        Sep 29, 2017 to Mar 27, 2018
      • RAUM · $743M to $576M
        Sep 29, 2017 to Mar 27, 2018
      • Advisory employees · 2 to 3
        Mar 30, 2016 to Mar 30, 2017
      • Employees · 2 to 3
        Mar 30, 2016 to Mar 30, 2017
      • Discretionary RAUM · $346M to $743M
        Mar 30, 2016 to Mar 30, 2017
      • RAUM · $346M to $743M
        Mar 30, 2016 to Mar 30, 2017
      • Related bank · false to true
        Mar 30, 2016 to Mar 30, 2017
      • Advisory employees · 1 to 2
        Sep 10, 2015 to Mar 30, 2016
      • Employees · 1 to 2
        Sep 10, 2015 to Mar 30, 2016
      • Discretionary RAUM · $409M to $346M
        Sep 10, 2015 to Mar 30, 2016
      • RAUM · $409M to $346M
        Sep 10, 2015 to Mar 30, 2016
      • Discretionary RAUM · $125M to $409M
        Apr 6, 2015 to Sep 10, 2015
      • RAUM · $125M to $409M
        Apr 6, 2015 to Sep 10, 2015
      Signals
      1 dated events
      • C•••••••• C•••••• L•• filed its initial SEC registration (Form ADV)
        Jan 16, 2015 · 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.
      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