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•• R••• C•••••• M••••••••• L•
Latest filing Mar 18, 2026
First filing on the tape Jun 19, 2015 · 20 filings
SEC status approved since Jun 25, 2015
RAUM
$968M
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
0
beyond the principal office
Private funds
2
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$968M as of Mar 18, 2026
Mar 15, 2016$296M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 18, 2026
Mar 15, 20160 then
Employees (5.A)6 as of Mar 18, 2026
Mar 15, 20166 then
Private funds2 as of Mar 18, 2026
Mar 15, 20161 then
RAUM -21% over the last fiscal year-14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 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
- $242MderivedRAUM 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
- -21%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
- $968M, 4 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$968M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $968M for 4 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•• R••• C•••••• M••••• F••• L• | Hedge Fund | $994M | 141 | Oct 12, 2015 |
| C•• R••• O••••••••• F••• I• L• | Hedge Fund | $450M | 28 | Nov 19, 2021 |
| C•• R••• O••••••••• F••• L• | Hedge Fund | $134M | 22 | Mar 27, 2020 |
| C•• R••• S•• L• | Hedge Fund | $93.3M | 18 | Feb 22, 2022 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• A••••••••• S•••• · Portfolio Manager; Limited Partner; Ceocontrolsince 02/2015 · owns 75% or more
- F••••• A•••••• J••••• · Chief Compliance Officer; Chief Financial Officer; Chief Operating Officercontrolsince 10/2017 · owns less than 5%
- C••••••• A••••••••• S•••• · Managing Membercontrolsince 02/2015 · owns 75% or more of C•• R••• C•••••• G• L••
Entity owners
- C•• R••• C•••••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- C•• R••• C•••••• L••investment adviserbankpooled vehicle sponsorn
- C•• R••• O••••••••• G• I• L••investment adviserbankpooled vehicle sponsorn
- C•• R••• O••••••••• G• L••investment adviserbankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $1.2B to $968MMar 28, 2025 to Mar 18, 2026
- Discretionary RAUM · $1.2B to $968MMar 28, 2025 to Mar 18, 2026
- Pooled vehicle RAUM · $1.2B to $968MMar 28, 2025 to Mar 18, 2026
- RAUM · $1.2B to $968MMar 28, 2025 to Mar 18, 2026
- Accounts · 5 to 4Mar 27, 2024 to Mar 28, 2025
- Advisory employees · 3 to 4Mar 27, 2024 to Mar 28, 2025
- Pooled vehicle clients · 5 to 4Mar 27, 2024 to Mar 28, 2025
- Assets in custody · $1.6B to $1.2BMar 27, 2024 to Mar 28, 2025
- Employees · 5 to 6Mar 27, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 28, 2025
- Private funds · 3 to 2Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.6B to $1.2BMar 27, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.6B to $1.2BMar 27, 2024 to Mar 28, 2025
- RAUM · $1.6B to $1.2BMar 27, 2024 to Mar 28, 2025
- Accounts · 6 to 5Mar 30, 2023 to Mar 27, 2024
- Pooled vehicle clients · 6 to 5Mar 30, 2023 to Mar 27, 2024
- Assets in custody · $1.5B to $1.6BMar 30, 2023 to Mar 27, 2024
- Employees · 6 to 5Mar 30, 2023 to Mar 27, 2024
- Private funds · 4 to 3Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.5B to $1.6BMar 30, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $1.5B to $1.6BMar 30, 2023 to Mar 27, 2024
- RAUM · $1.5B to $1.6BMar 30, 2023 to Mar 27, 2024
- Accounts · 7 to 6Nov 4, 2022 to Mar 30, 2023
- Advisory employees · 4 to 3Nov 4, 2022 to Mar 30, 2023
- Pooled vehicle clients · 7 to 6Nov 4, 2022 to Mar 30, 2023
- Assets in custody · $3.0B to $1.5BNov 4, 2022 to Mar 30, 2023
- Employees · 7 to 6Nov 4, 2022 to Mar 30, 2023
- Discretionary RAUM · $3.0B to $1.5BNov 4, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $3.0B to $1.5BNov 4, 2022 to Mar 30, 2023
- RAUM · $3.0B to $1.5BNov 4, 2022 to Mar 30, 2023
- Accounts · 5 to 7Nov 19, 2021 to Feb 22, 2022
- Pooled vehicle clients · 5 to 7Nov 19, 2021 to Feb 22, 2022
- Assets in custody · $3.0B to $3.0BNov 19, 2021 to Feb 22, 2022
- Private funds · 3 to 4Nov 19, 2021 to Feb 22, 2022
- Discretionary RAUM · $3.0B to $3.0BNov 19, 2021 to Feb 22, 2022
- Pooled vehicle RAUM · $3.0B to $3.0BNov 19, 2021 to Feb 22, 2022
- RAUM · $3.0B to $3.0BNov 19, 2021 to Feb 22, 2022
- Accounts · 4 to 5Mar 30, 2021 to Nov 19, 2021
- Advisory employees · 3 to 4Mar 30, 2021 to Nov 19, 2021
- Pooled vehicle clients · 4 to 5Mar 30, 2021 to Nov 19, 2021
Signals
5 dated events
- C•• R••• C•••••• M••••••••• L• reported RAUM $1.5B, down 49% from $3.0B (2022-11-04 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- C•• R••• C•••••• M••••••••• L• reported RAUM $2.6B, up 33% from $1.9B (2020-03-27 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- C•• R••• C•••••• M••••••••• L• reported RAUM $1.9B, up 110% from $912.1M (2019-03-08 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- C•• R••• C•••••• M••••••••• L• reported RAUM $913.1M, up 33% from $684.1M (2018-01-29 to 2018-11-29)Nov 29, 2018 · RAUM change · derived
- C•• R••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Jun 19, 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
- CATR•••CAP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-992-4630reportedpublic record, Form ADV, Mar 18, 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