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
1••• C••••••
Asset manager (funds and pooled vehicles)Philadelphia, PennsylvaniaCRD 175292SEC 801-118283websiteIAPD
Legal name 1••• C••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Feb 20, 2020 · 8 filings
SEC status approved since Mar 19, 2020
RAUM
$1.4B
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
17
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
11
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$1.4B as of Mar 24, 2026
Mar 26, 2021$541M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 26, 20210 then
Employees (5.A)17 as of Mar 24, 2026
Mar 26, 202112 then
Private funds11 as of Mar 24, 2026
Mar 26, 20213 then
RAUM +7.4% over the last fiscal year+7.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 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
- $123MderivedRAUM 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
- +7.4%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
- Custody
- $1.1B, 11 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.4B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1B for 11 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=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
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| 1••• C••••••• L••• | Private Equity Fund | $295M | 70 | Mar 18, 2015 |
| 1••• C•••••• I•• L••• | Private Equity Fund | $282M | 77 | Mar 23, 2018 |
| 1••• C•••••• I••• L••• | Private Equity Fund | $267M | 60 | Mar 31, 2023 |
| 1••• C•••••• E••••••• G••••• • B•••••• L••• | Private Equity Fund | $119M | 59 | Mar 31, 2023 |
| 1••• C•••••• I•• P•••••••• L••• | Private Equity Fund | $113M | 41 | Mar 31, 2023 |
| 1••• C•••••• E••••••• G••••• • B••••• P•••••••• L••• | Private Equity Fund | $55.6M | 36 | Mar 31, 2023 |
| 1••• C•••••• A•• I•• L••• | Private Equity Fund | $3.0M | 36 | Mar 31, 2023 |
| 1••• C•••••• A••• L••• | Private Equity Fund | $842,667 | 19 | Mar 27, 2019 |
Owners and control persons
Schedule A and B, latest filing
- K•••• M• M•••••• · Partnercontrolsince 02/2015 · owns less than 5%
- O••••• A••••• C••••• · Managercontrolsince 02/2015 · owns 75% or more
- S••••••• B••••• R•••••• · Cco & Cfocontrolsince 02/2015 · owns less than 5%
Related persons
Schedule D 7.A
- 1••• C•••••• M••••••••• E••••••• G••••• • B•••••• L••pooled vehicle sponsorn
- 1••• C•••••• M••••••••• I•• L••pooled vehicle sponsorn
- 1••• C•••••• M••••••••• I••• L••pooled vehicle sponsorn
- 1••• C•••••• M••••••••• L••pooled vehicle sponsorn
- Q••••• B••••••••• C•••••• I•• L•pooled vehicle sponsorn
- Q••••• P••••••• M••••••••• L•••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 9 to 11Mar 30, 2025 to Mar 24, 2026
- Advisory employees · 10 to 12Mar 30, 2025 to Mar 24, 2026
- Pooled vehicle clients · 9 to 11Mar 30, 2025 to Mar 24, 2026
- Assets in custody · $865M to $1.1BMar 30, 2025 to Mar 24, 2026
- Employees · 14 to 17Mar 30, 2025 to Mar 24, 2026
- Private funds · 9 to 11Mar 30, 2025 to Mar 24, 2026
- Discretionary RAUM · $1.3B to $1.4BMar 30, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $1.3B to $1.4BMar 30, 2025 to Mar 24, 2026
- RAUM · $1.3B to $1.4BMar 30, 2025 to Mar 24, 2026
- Related adviser · true to falseMar 30, 2025 to Mar 24, 2026
- Accounts · 8 to 9Mar 25, 2024 to Mar 30, 2025
- Advisory employees · 11 to 10Mar 25, 2024 to Mar 30, 2025
- Pooled vehicle clients · 8 to 9Mar 25, 2024 to Mar 30, 2025
- Assets in custody · $665M to $865MMar 25, 2024 to Mar 30, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 30, 2025
- Private funds · 8 to 9Mar 25, 2024 to Mar 30, 2025
- Discretionary RAUM · $1.1B to $1.3BMar 25, 2024 to Mar 30, 2025
- Pooled vehicle RAUM · $1.1B to $1.3BMar 25, 2024 to Mar 30, 2025
- RAUM · $1.1B to $1.3BMar 25, 2024 to Mar 30, 2025
- Assets in custody · $612M to $665MMar 31, 2023 to Mar 25, 2024
- Discretionary RAUM · $1.1B to $1.1BMar 31, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $1.1B to $1.1BMar 31, 2023 to Mar 25, 2024
- RAUM · $1.1B to $1.1BMar 31, 2023 to Mar 25, 2024
- Accounts · 3 to 8Mar 29, 2022 to Mar 31, 2023
- Advisory employees · 10 to 11Mar 29, 2022 to Mar 31, 2023
- Pooled vehicle clients · 3 to 8Mar 29, 2022 to Mar 31, 2023
- Assets in custody · $541M to $612MMar 29, 2022 to Mar 31, 2023
- Employees · 13 to 14Mar 29, 2022 to Mar 31, 2023
- Private funds · 3 to 8Mar 29, 2022 to Mar 31, 2023
- Discretionary RAUM · $650M to $1.1BMar 29, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $650M to $1.1BMar 29, 2022 to Mar 31, 2023
- RAUM · $650M to $1.1BMar 29, 2022 to Mar 31, 2023
- Advisory employees · 9 to 10Apr 30, 2021 to Mar 29, 2022
- Assets in custody · $330M to $541MApr 30, 2021 to Mar 29, 2022
- Employees · 12 to 13Apr 30, 2021 to Mar 29, 2022
- Discretionary RAUM · $541M to $650MApr 30, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $541M to $650MApr 30, 2021 to Mar 29, 2022
- RAUM · $541M to $650MApr 30, 2021 to Mar 29, 2022
- Advisory employees · 8 to 9Feb 20, 2020 to Mar 26, 2021
- Assets in custody · $273M to $330MFeb 20, 2020 to Mar 26, 2021
Signals
2 dated events
- 1••• C•••••• reported RAUM $1.1B, up 69% from $650.0M (2022-03-29 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- 1••• C•••••• filed its initial SEC registration (Form ADV)Feb 20, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- 1••• C•••••• · Independent Sponsorsshared crd · capital_provider
- 1••• C•••••• · Private Equityshared crd · organization
- 1••• C•••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/9386449/adminreportedpublic record, Form ADV, Sep 19, 2026
- Website
- w••.1•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (267)2888441reportedpublic record, Form ADV, Mar 24, 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