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••••••••• L•
Latest filing Mar 26, 2026
First filing on the tape Feb 24, 2015 · 16 filings
SEC status approved since Mar 9, 2015
RAUM
$240M
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
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$240M as of Mar 26, 2026
Mar 29, 2016$505M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 29, 20160 then
Employees (5.A)4 as of Mar 26, 2026
Mar 29, 20168 then
Private funds1 as of Mar 26, 2026
Mar 29, 20163 then
RAUM -14% over the last fiscal year-9.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 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
- $80.1MderivedRAUM 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
- -14%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
- Custody
- $240M, 3 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$240M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $240M for 3 clientsreported
- 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••••• M••••• F••• L• | Hedge Fund | $271M | 63 | Jul 2, 2015 |
| P• M•••••• F•••• S••• • S••••••••• P•••••••• 3•no longer reported | Hedge Fund | $78.2M | 16 | Jul 2, 2015 |
| C••••••••• 2••• L••no longer reported | Hedge Fund | $42.4M | 4 | Jul 2, 2015 |
Owners and control persons
Schedule A and B, latest filing
- H••••• P•••••• J••••• · Chief Investment Officer And Limited Partner Of Registrantcontrolsince 09/2014 · owns less than 5%
- K•••••• S••••• L••••••• · Chief Compliance Officer & Chief Financial Officercontrolsince 03/2024 · owns less than 5%
- H••••• P•••••• J••••• · Managing Membercontrolsince 09/2014 · owns 75% or more of C••••••••• C•••••• M••••••••• G• L••
- H••••• P•••••• J••••• · Trusteecontrolsince 11/2014 · owns F of H•••• F••••• 2••• T••••
Entity owners
- C••••••••• C•••••• M••••••••• G• L•• · General Partner Of Registrantdirect · owns 75% or more
- H•••• F••••• 2••• T•••• · Lmited Partner Of Registrantdirect · owns less than 5%
Related persons
Schedule D 7.A
- C••••••••• C•••••• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 4 to 3Oct 13, 2025 to Mar 26, 2026
- Pooled vehicle clients · 4 to 3Oct 13, 2025 to Mar 26, 2026
- Assets in custody · $281M to $240MOct 13, 2025 to Mar 26, 2026
- Discretionary RAUM · $281M to $240MOct 13, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $281M to $240MOct 13, 2025 to Mar 26, 2026
- RAUM · $281M to $240MOct 13, 2025 to Mar 26, 2026
- Assets in custody · $271M to $281MMar 29, 2024 to Mar 29, 2025
- Employees · 6 to 4Mar 29, 2024 to Mar 29, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 29, 2025
- Discretionary RAUM · $271M to $281MMar 29, 2024 to Mar 29, 2025
- Pooled vehicle RAUM · $271M to $281MMar 29, 2024 to Mar 29, 2025
- RAUM · $271M to $281MMar 29, 2024 to Mar 29, 2025
- Pooled vehicle RAUM · $319M to $271MMar 31, 2023 to Mar 29, 2024
- RAUM · $319M to $271MMar 31, 2023 to Mar 29, 2024
- Advisory employees · 3 to 2Mar 31, 2023 to Mar 29, 2024
- Assets in custody · $319M to $271MMar 31, 2023 to Mar 29, 2024
- Employees · 8 to 6Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $319M to $271MMar 31, 2023 to Mar 29, 2024
- Advisory employees · 4 to 3Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $492M to $319MMar 31, 2022 to Mar 31, 2023
- Employees · 10 to 8Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $492M to $319MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $492M to $319MMar 31, 2022 to Mar 31, 2023
- RAUM · $492M to $319MMar 31, 2022 to Mar 31, 2023
- Assets in custody · $513M to $492MMar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $513M to $492MMar 30, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $513M to $492MMar 30, 2021 to Mar 31, 2022
- RAUM · $513M to $492MMar 30, 2021 to Mar 31, 2022
- Assets in custody · $452M to $513MApr 7, 2020 to Mar 30, 2021
- Employees · 9 to 10Apr 7, 2020 to Mar 30, 2021
- Discretionary RAUM · $452M to $513MApr 7, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $452M to $513MApr 7, 2020 to Mar 30, 2021
- RAUM · $452M to $513MApr 7, 2020 to Mar 30, 2021
- Accounts · 5 to 4Mar 29, 2019 to Mar 30, 2020
- Advisory employees · 6 to 4Mar 29, 2019 to Mar 30, 2020
- Pooled vehicle clients · 5 to 4Mar 29, 2019 to Mar 30, 2020
- Assets in custody · $326M to $452MMar 29, 2019 to Mar 30, 2020
- Employees · 11 to 9Mar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $326M to $452MMar 29, 2019 to Mar 30, 2020
- Non-discretionary RAUM · $37,708 to $0Mar 29, 2019 to Mar 30, 2020
Signals
6 dated events
- Lawrence Susan Kassel (Chief Compliance Officer & Chief Financial Officer) appeared on Schedule A of C••••••••• C•••••• M••••••••• L•Mar 29, 2024 · Control person joined · fact
- Andrew John Murray (Chief Compliance Officer & Chief Financial Officer) no longer on Schedule A of C••••••••• C•••••• M••••••••• L• (listed 2023-03-31, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- C••••••••• C•••••• M••••••••• L• reported RAUM $318.7M, down 35% from $491.8M (2022-03-31 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- C••••••••• C•••••• M••••••••• L• reported RAUM $452.4M, up 39% from $326.0M (2019-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- C••••••••• C•••••• M••••••••• L• reported RAUM $326.0M, down 50% from $653.1M (2018-03-28 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- C••••••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Feb 24, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/clearfield-capital-management/aboutreportedpublic record, Form ADV, Sep 19, 2026
- Website
- C•••••••••CAP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-468-5400reportedpublic record, Form ADV, Mar 26, 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