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•••••• N•• L••
Latest filing Mar 27, 2026
First filing on the tape Jul 22, 2015 · 22 filings
SEC status approved since Jul 24, 2015
RAUM
$76.6M
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
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$76.6M as of Mar 27, 2026
Mar 22, 2016$89.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 22, 20160 then
Employees (5.A)6 as of Mar 27, 2026
Mar 22, 201625 then
Private funds3 as of Mar 27, 2026
Mar 22, 20161 then
RAUM -27% over the last fiscal year-16% 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
- $12.8MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -27%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$76.6M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 6reported
- 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••• C•••••• N•••• A••••••••• F••• ••••••••• L• | Private Equity Fund | $105M | 30 | Mar 22, 2016 |
| C••••• C•••••• N•••• A••••••••• F••• •• L•no longer reported | Private Equity Fund | $84.9M | 16 | Nov 20, 2015 |
| C••••• M•••••••• L• | Private Equity Fund | $19.2M | 7 | Mar 31, 2023 |
| C••••• C•••••• N•••• A••••••••• F••• •• L•no longer reported | Private Equity Fund | $4.4M | 6 | Nov 20, 2015 |
Owners and control persons
Schedule A and B, latest filing
- C••• M••••• · President, Chief Executive Officer, Treasurer, Secretarycontrolsince 06/2006 · owns less than 5%
- P••••• A•••• · Partner, Chief Compliance Officercontrolsince 02/2018 · owns 5% to 10%
- W••••• M•••• M••••• · Partnercontrolsince 02/2018 · owns 10% to 25%
- C••• M••••• · Shareholdercontrolsince 06/2011 · owns 50% to 75% of C••••• C•••••• E••••• S•••••••
Entity owners
- C••••• C•••••• P•••••• E••••• L•• · Memberdirect · owns 75% or more
- C••••• C•••••• E••••• S••••••• · Shareholderindirect · owns 75% or more of C••••• Capital P•••••• Equity, LLC
Related persons
Schedule D 7.A
- C••••• C•••••• E••••• S•••••••pooled vehicle sponsory
- C••••• C•••••• N•••• A••••••••• F••• G•• L•pooled vehicle sponsory
- C••••• C•••••• P•••••• E••••• S••pooled vehicle sponsorn
- C••••• M••••••• G•• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Pudong Shanghai, China2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- p•••••• fund count surgeChange between filings · filing Mar 27, 2026private funds (Schedule D 7.B.1) moved from 2.0 to 3.0 (+50.0%) between the annual amendments of 2025-03-19 and 2026-03-27; the peer median change was 0.0% (70 comparable advisers, 96.0th percentile of changes)peers: asset managers, under $100M (70) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 3 to 6Dec 17, 2025 to Mar 27, 2026
- Pooled vehicle clients · 3 to 6Dec 17, 2025 to Mar 27, 2026
- Discretionary RAUM · $68.5M to $76.6MDec 17, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $68.5M to $76.6MDec 17, 2025 to Mar 27, 2026
- RAUM · $68.5M to $76.6MDec 17, 2025 to Mar 27, 2026
- Employees · 4 to 6Mar 19, 2025 to Dec 17, 2025
- Private funds · 2 to 3Mar 19, 2025 to Dec 17, 2025
- Discretionary RAUM · $105M to $68.5MMar 19, 2025 to Dec 17, 2025
- Pooled vehicle RAUM · $105M to $68.5MMar 19, 2025 to Dec 17, 2025
- RAUM · $105M to $68.5MMar 19, 2025 to Dec 17, 2025
- Advisory employees · 6 to 4Mar 28, 2024 to Mar 19, 2025
- Employees · 7 to 4Mar 28, 2024 to Mar 19, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 19, 2025
- Discretionary RAUM · $125M to $105MMar 28, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · $125M to $105MMar 28, 2024 to Mar 19, 2025
- RAUM · $125M to $105MMar 28, 2024 to Mar 19, 2025
- Advisory employees · 7 to 6May 17, 2023 to Mar 28, 2024
- Employees · 9 to 7May 17, 2023 to Mar 28, 2024
- Discretionary RAUM · $128M to $125MMay 17, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $128M to $125MMay 17, 2023 to Mar 28, 2024
- RAUM · $128M to $125MMay 17, 2023 to Mar 28, 2024
- Accounts · 2 to 3Mar 30, 2022 to Mar 31, 2023
- Advisory employees · 8 to 7Mar 30, 2022 to Mar 31, 2023
- Pooled vehicle clients · 2 to 3Mar 30, 2022 to Mar 31, 2023
- Employees · 10 to 9Mar 30, 2022 to Mar 31, 2023
- Private funds · 1 to 2Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $125M to $128MMar 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $125M to $128MMar 30, 2022 to Mar 31, 2023
- RAUM · $125M to $128MMar 30, 2022 to Mar 31, 2023
- Advisory employees · 11 to 8Mar 26, 2021 to Mar 30, 2022
- Employees · 13 to 10Mar 26, 2021 to Mar 30, 2022
- Discretionary RAUM · $110M to $125MMar 26, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $110M to $125MMar 26, 2021 to Mar 30, 2022
- RAUM · $110M to $125MMar 26, 2021 to Mar 30, 2022
- Advisory employees · 14 to 11Jun 3, 2020 to Mar 26, 2021
- Assets in custody · 112686049.0 to unsetJun 3, 2020 to Mar 26, 2021
- Custody of client assets · true to falseJun 3, 2020 to Mar 26, 2021
- Employees · 14 to 13Jun 3, 2020 to Mar 26, 2021
- Discretionary RAUM · $126M to $110MJun 3, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $126M to $110MJun 3, 2020 to Mar 26, 2021
Signals
3 dated events
- Lanchun Duan (Managing Partner) no longer on Schedule A of C••••• C•••••• N•• L•• (listed 2019-03-29, absent 2020-03-24)Mar 24, 2020 · Control person left · inference
- Gordon David Hoffman (Senior Advisor/ Member) no longer on Schedule A of C••••• C•••••• N•• L•• (listed 2018-08-22, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- C••••• C•••••• N•• L•• filed its initial SEC registration (Form ADV)Jul 22, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C••••• C•••••• N•• L•• · Independent Sponsorsshared crd · capital_provider
- C••••• C•••••• N•• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-858-9020reportedpublic 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