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 27, 2026
First filing on the tape Mar 16, 2015 · 28 filings
SEC status approved since Mar 23, 2015
RAUM
$203M
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
5
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$203M as of Mar 27, 2026
Mar 29, 2016$275M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 29, 20160 then
Employees (5.A)4 as of Mar 27, 2026
Mar 29, 20164 then
Private funds5 as of Mar 27, 2026
Mar 29, 20164 then
RAUM +9.2% over the last fiscal year+7.3% 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
- $33.8MderivedRAUM 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
- +9.2%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
- $203M, 7 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$203M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $203M for 7 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••• C•••••• M••••••••• L••• | Hedge Fund | $104M | 75 | Mar 16, 2015 |
| C•••••• C•••••• M••••• F•••• L••• | Hedge Fund | $72.9M | 2 | Mar 16, 2015 |
| C•••••• C•••••• O••••••• F•••• L••• | Hedge Fund | $67.2M | 18 | Mar 16, 2015 |
| H•••• P•••••••• L• | Hedge Fund | $14.5M | 17 | Mar 31, 2019 |
| C•••••• C•••••• O•••••• F•••• L•• | Hedge Fund | $5.7M | 16 | Mar 16, 2015 |
Owners and control persons
Schedule A and B, latest filing
- B•••• M•••••• G• · Chief Financial Officer & Chief Compliance Officercontrolsince 05/2021 · owns less than 5%
- G•••••• S•••••• R••••• · Founder And Ciocontrolsince 09/1997 · owns 75% or more
Related persons
Schedule D 7.A
- H•••• M••••••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $186M to $203MSep 16, 2025 to Mar 27, 2026
- Employees · 5 to 4Sep 16, 2025 to Mar 27, 2026
- Discretionary RAUM · $186M to $203MSep 16, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $186M to $203MSep 16, 2025 to Mar 27, 2026
- RAUM · $186M to $203MSep 16, 2025 to Mar 27, 2026
- Assets in custody · $121M to $186MMar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $121M to $186MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $121M to $186MMar 28, 2024 to Mar 28, 2025
- RAUM · $121M to $186MMar 28, 2024 to Mar 28, 2025
- Accounts · 7 to 6Mar 31, 2023 to Mar 28, 2024
- Advisory activities · 2 to 1Mar 31, 2023 to Mar 28, 2024
- Assets in custody · $101M to $121MMar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $164M to $121MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $145M to $121MMar 31, 2023 to Mar 28, 2024
- RAUM · $164M to $121MMar 31, 2023 to Mar 28, 2024
- Assets in custody · $110M to $101MMar 30, 2022 to Mar 31, 2023
- Employees · 4 to 5Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $231M to $164MMar 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $210M to $145MMar 30, 2022 to Mar 31, 2023
- RAUM · $231M to $164MMar 30, 2022 to Mar 31, 2023
- Advisory employees · 2 to 3May 7, 2021 to Mar 30, 2022
- Employees · 3 to 4May 7, 2021 to Mar 30, 2022
- Discretionary RAUM · $154M to $231MMay 7, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $132M to $210MMay 7, 2021 to Mar 30, 2022
- RAUM · $154M to $231MMay 7, 2021 to Mar 30, 2022
- Assets in custody · $94.1M to $110MAug 26, 2020 to Mar 29, 2021
- Discretionary RAUM · $196M to $154MAug 26, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $122M to $132MAug 26, 2020 to Mar 29, 2021
- RAUM · $196M to $154MAug 26, 2020 to Mar 29, 2021
- Advisory employees · 3 to 2Apr 28, 2020 to Jul 24, 2020
- Employees · 4 to 3Apr 28, 2020 to Jul 24, 2020
- Assets in custody · $123M to $94.1MMar 31, 2019 to Mar 26, 2020
- Discretionary RAUM · $256M to $196MMar 31, 2019 to Mar 26, 2020
- Pooled vehicle RAUM · $163M to $122MMar 31, 2019 to Mar 26, 2020
- RAUM · $256M to $196MMar 31, 2019 to Mar 26, 2020
- Assets in custody · $99.8M to $123MMay 1, 2018 to Mar 31, 2019
- Private funds · 4 to 5May 1, 2018 to Mar 31, 2019
- Discretionary RAUM · $264M to $256MMay 1, 2018 to Mar 31, 2019
- Pooled vehicle RAUM · $177M to $163MMay 1, 2018 to Mar 31, 2019
Signals
3 dated events
- G Marvin Behm (Chief Financial Officer & Chief Compliance Officer) appeared on Schedule A of C•••••• C•••••• M••••••••• L••May 7, 2021 · Control person joined · fact
- John Daniel Lekan (Chief Financial Officer & Chief Compliance Officer) no longer on Schedule A of C•••••• C•••••• M••••••••• L•• (listed 2021-04-14, absent 2021-05-07)May 7, 2021 · Control person left · inference
- B•••• T•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 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.
How to reach
public business contact points only, each with its source
- Website
- C••••••CAPITALMANAGEMENT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 312-374-9000reportedpublic 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