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••••••
Legal name C•••••• C•••••• L••
Latest filing Mar 27, 2026
First filing on the tape May 21, 2015 · 23 filings
SEC status approved since Jun 2, 2015
RAUM
$5.4B
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
26
19 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
16
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$5.4B as of Mar 27, 2026
Mar 7, 2016$363M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 7, 20160 then
Employees (5.A)26 as of Mar 27, 2026
Mar 7, 20162 then
Private funds16 as of Mar 27, 2026
Mar 7, 20161 then
RAUM +2.2% over the last fiscal year-7.0% 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
- $269MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.2%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
- 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)
- 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$5.4B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 20reported
- 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
19 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C• K•• C•••••••• L• | Private Equity Fund | $1.3B | 58 | Mar 29, 2019 |
| C•••••• C•••••• P••••••• L• | Private Equity Fund | $1.1B | 33 | Mar 31, 2017 |
| C•••••• C•••••• P••••••• I• P••••••• L• | Private Equity Fund | $551M | 18 | Mar 31, 2021 |
| C•••••• C•••••• P••••••• I• L• | Private Equity Fund | $546M | 53 | Mar 31, 2021 |
| C• I•• C•••••••• I• L• | Private Equity Fund | $454M | 16 | Mar 31, 2022 |
| C• P• C•••••••• I• L• | Private Equity Fund | $418M | 18 | Mar 29, 2019 |
| C• V• C•••••••• L• | Private Equity Fund | $412M | 17 | Mar 31, 2022 |
| C•••••• C•••••• S•••••• S••••••••• P••••••• I• L• | Private Equity Fund | $366M | 11 | Jun 23, 2015 |
| C• A•• C•••••••• L• | Private Equity Fund | $321M | 15 | Mar 31, 2023 |
| C• L• C•••••••• L• | Private Equity Fund | $251M | 7 | Mar 31, 2023 |
| C•••••• C•••••• P••••••• I• C•• L• | Private Equity Fund | $247M | 8 | Mar 31, 2022 |
| C• W•• C•••••••• L• | Private Equity Fund | $229M | 5 | Mar 31, 2023 |
| C• S•• C•••••••• L• | Private Equity Fund | $160M | 3 | Mar 30, 2020 |
| C•••••• C•••••• P••••••• C••••••••• L• | Private Equity Fund | $58.9M | 1 | Mar 30, 2020 |
| C• I•• D••• C•••••••• L• | Private Equity Fund | $41.6M | 13 | Mar 28, 2024 |
| C•••••• C•••••• P••••••• I• C••••••••• L• | Private Equity Fund | $31.9M | 1 | Mar 31, 2023 |
| C• H• C•••••••• I• L•no longer reported | Private Equity Fund | $843,074 | 6 | Mar 30, 2018 |
| C• H• C•••••••• I• L•no longer reported | Private Equity Fund | $177,385 | 2 | Mar 29, 2019 |
| C• C• C•••••••• I• L• | Private Equity Fund | $0 | 7 | Mar 30, 2020 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• J•••••••• M••••• · Chief Compliance Officer And Chief Operating Officercontrolsince 05/2022 · owns less than 5%
- C••••••• H••••• N•• · Chief Executive Officer/Membercontrolsince 03/2013 · owns 75% or more
- D••••••• R••••••• A•••• · General Counselcontrolsince 01/2018 · owns less than 5%
- L••••• S•••••• D••••• · Chief Financial Officercontrolsince 11/2016 · owns less than 5%
- C••••••• H•••• · Ownercontrolsince 12/2016 · owns 75% or more of C•••••• C•••••• H••••••• L••
Entity owners
- C•••••• C•••••• L• · Memberdirect · owns 75% or more
- C•••••• C•••••• H••••••• L•• · Memberindirect · owns 75% or more of C•••••• C•••••• L•
Related persons
Schedule D 7.A
- C• C•••••••• G• I• L••pooled vehicle sponsorn
- C• C•••••••• G• L••pooled vehicle sponsorn
- C•••••• C•••••• G• I• L•pooled vehicle sponsorn
- C•••••• C•••••• G• L•pooled vehicle sponsorn
- C•••••• C•••••• S•••••• S••••••••• G• I• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Central, Hong Kong7 employees
What changed
consecutive filings, newest first
- Accounts · 21 to 20Apr 30, 2025 to Mar 27, 2026
- Advisory employees · 24 to 19Apr 30, 2025 to Mar 27, 2026
- Pooled vehicle clients · 21 to 20Apr 30, 2025 to Mar 27, 2026
- Employees · 31 to 26Apr 30, 2025 to Mar 27, 2026
- Private funds · 17 to 16Apr 30, 2025 to Mar 27, 2026
- Discretionary RAUM · $5.3B to $5.4BApr 30, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $5.3B to $5.4BApr 30, 2025 to Mar 27, 2026
- RAUM · $5.3B to $5.4BApr 30, 2025 to Mar 27, 2026
- Advisory employees · 27 to 24Mar 28, 2024 to Apr 30, 2025
- Employees · 34 to 31Mar 28, 2024 to Apr 30, 2025
- Financial planning clients · unset to Mar 28, 2024 to Apr 30, 2025
- Discretionary RAUM · $6.0B to $5.3BMar 28, 2024 to Apr 30, 2025
- Pooled vehicle RAUM · $6.0B to $5.3BMar 28, 2024 to Apr 30, 2025
- RAUM · $6.0B to $5.3BMar 28, 2024 to Apr 30, 2025
- Accounts · 20 to 21Apr 28, 2023 to Mar 28, 2024
- Advisory employees · 24 to 27Apr 28, 2023 to Mar 28, 2024
- Pooled vehicle clients · 20 to 21Apr 28, 2023 to Mar 28, 2024
- Employees · 32 to 34Apr 28, 2023 to Mar 28, 2024
- Private funds · 16 to 17Apr 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $6.7B to $6.0BApr 28, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $6.7B to $6.0BApr 28, 2023 to Mar 28, 2024
- RAUM · $6.7B to $6.0BApr 28, 2023 to Mar 28, 2024
- Accounts · 19 to 20May 19, 2022 to Mar 31, 2023
- Advisory employees · 23 to 24May 19, 2022 to Mar 31, 2023
- Pooled vehicle clients · 19 to 20May 19, 2022 to Mar 31, 2023
- Employees · 28 to 32May 19, 2022 to Mar 31, 2023
- Private funds · 14 to 16May 19, 2022 to Mar 31, 2023
- Discretionary RAUM · $3.9B to $6.7BMay 19, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $2.2B to $0May 19, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $6.1B to $6.7BMay 19, 2022 to Mar 31, 2023
- RAUM · $6.1B to $6.7BMay 19, 2022 to Mar 31, 2023
- Accounts · 14 to 19Dec 2, 2021 to Mar 31, 2022
- Advisory employees · 20 to 23Dec 2, 2021 to Mar 31, 2022
- Pooled vehicle clients · 14 to 19Dec 2, 2021 to Mar 31, 2022
- Employees · 26 to 28Dec 2, 2021 to Mar 31, 2022
- Private funds · 11 to 14Dec 2, 2021 to Mar 31, 2022
- Discretionary RAUM · $2.7B to $3.9BDec 2, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $1.9B to $2.2BDec 2, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $4.6B to $6.1BDec 2, 2021 to Mar 31, 2022
- RAUM · $4.6B to $6.1BDec 2, 2021 to Mar 31, 2022
Signals
10 dated events
- Murphy Jennifer Cattier (Chief Compliance Officer And Chief Operating Officer) appeared on Schedule A of C•••••• C••••••May 19, 2022 · Control person joined · fact
- C•••••• C•••••• reported RAUM $6.1B, up 31% from $4.6B (2021-12-02 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Jeanne Catherine Cusack (Chief Operating Officer) no longer on Schedule A of C•••••• C•••••• (listed 2021-03-31, absent 2021-12-02)Dec 2, 2021 · Control person left · inference
- C•••••• C•••••• reported RAUM $4.6B, up 27% from $3.7B (2020-03-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Jeanne Catherine Cusack (Chief Operating Officer) appeared on Schedule A of C•••••• C••••••Mar 31, 2021 · Control person joined · fact
- Studer Elizabeth Wahab (Chief Operating Officer) no longer on Schedule A of C•••••• C•••••• (listed 2020-03-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Studer Elizabeth Wahab (Chief Operating Officer) appeared on Schedule A of C•••••• C••••••Mar 29, 2019 · Control person joined · fact
- C•••••• C•••••• reported RAUM $3.3B, up 60% from $2.0B (2018-12-10 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- C•••••• C•••••• reported RAUM $2.0B, up 56% from $1.3B (2017-03-31 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
- C•••••• C•••••• filed its initial SEC registration (Form ADV)May 21, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••••• C•••••• · Independent Sponsorsshared crd · capital_provider
- C•••••• C•••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- C•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-818-8980reportedpublic 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