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
A•••• I••••••••• L•
Latest filing Sep 15, 2026
First filing on the tape Jun 15, 2015 · 45 filings
SEC status approved since Jul 15, 2015
RAUM
$3.0B
reported, Item 5.F
Discretionary
97%
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
180
34 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$3.0B as of Jul 30, 2026
Mar 30, 2016$308M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 30, 2026
Mar 30, 20160 then
Employees (5.A)180 as of Jul 30, 2026
Mar 30, 201630 then
Private funds14 as of Jul 30, 2026
Mar 30, 20161 then
RAUM +12% over the last fiscal year-4.7% a year over threeIARs 0 to 0offices 7 to 6
Practice profile
derived from the filing of Sep 15, 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
- $96.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 22%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $829M, 16 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.1B75%
- Insurance companies$643M23%
- Other investment advisers$56.4M2.0%
- Pension and profit-sharing plans$11.5M0.4%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 31reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $829M for 16 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.73 institutional_share=0.22 related_bd=true related_bank=false bd_reps=2.0derived
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
12 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- C•••••• L•••••••• D•••• · Coocontrolsince 06/2015 · owns less than 5%
- L•••• T••••••• L•••••• · Ccocontrolsince 09/2023 · owns less than 5%
- Z••••• D•••••• B•••••• · Ceo & Ciocontrolsince 06/2015 · owns less than 5%
- Z••••• D•••••• B•••••• · Member Managercontrolsince 06/2015 · owns 75% or more of B•••••• P•••••••• L•
- N•••••••• T••••••• R••• · Cfosince 05/2022 · owns less than 5%
Entity owners
- A•••• I•••••••• G•• L•• · General Partnerdirect · owns less than 5%
- A•••• I•••••••• G•••• H•••••••• L•• · Ownerdirect · owns 75% or more
- A•••• I•••••••• G•••• H•••••••• L•• · Holding Companyindirect · owns 75% or more of A•••• I•••••••• G•• L••
- T•• W•••••• C••••••••• · Ownerindirect · owns 75% or more of T•• W•••••• C••••••••• O• A••••••
- T•• W•••••• C••••••••• O• A•••••• · Owner & Member Of A•••• I•••••••• G•••• H•••••••• L••indirect · owns 50% to 75% of A•••• I•••••••• G•••• H•••••••• L••
- B•••••• P•••••••• L• · Ownerindirect · owns 25% to 50% of A•••• I•••••••• G•••• H•••••••• L••
Related persons
Schedule D 7.A
- A•••• F•••••••• S•••••••• L••broker-dealern
- A•••• I••••••••• M••••••••• ••••••••• P••• L•••investment advisern
- A•••• I•••••••• U• L••••••investment advisern
- A•••• N•• Z•••••• R••• E••••• C••••• F••• I•• G• L••pooled vehicle sponsorn
- A•••• S•••••• O••••••••• F••• ••••••••• G•• L••pooled vehicle sponsorn
- A•••• S•••••• O••••••••• F••• ••••••••• I• G•• L•pooled vehicle sponsorn
- A•••• S•••••• O••••••••• F••• •••••••• G•• L••pooled vehicle sponsorn
- A•••• S•••••• O••••••••• P••••••• ••••••••• G• I•• L••pooled vehicle sponsorn
- A•••• S•••••• O••••••••• P••••••• ••••••••• G•• L••pooled vehicle sponsorn
- A•••• S•••••• O••••••••• P••••••• •••••••• G• I•• L••pooled vehicle sponsorn
- A•••• S•••••• O••••••••• P••••••• •••••••• G• I••• L••pooled vehicle sponsorn
- A•••• S•••••• O••••••••• P••••••• •••••••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- New York, NY9 employees
- London, United Kingdom5 employees
- S••••••••, Singapore4 employees
- Auckland, New Zealand
- Jacksonville, FL
- Bengaluru, Karnataka, India
- Dublin, Ireland
What changed
consecutive filings, newest first
- Business name · A•••• I••••••••• L• to C•••••••• A•••• M••••••••• L•Jul 30, 2026 to Sep 15, 2026
- Financial planning clients · to unsetJul 30, 2026 to Sep 15, 2026
- Legal name · A•••• I••••••••• L• to C•••••••• A•••• M••••••••• L•Jul 30, 2026 to Sep 15, 2026
- Private funds · 14 to unsetJul 30, 2026 to Sep 15, 2026
- Succession · false to unsetJul 30, 2026 to Sep 15, 2026
- BD registered reps · 1 to 2May 4, 2026 to Jul 30, 2026
- Accounts · 25 to 31Feb 25, 2026 to Mar 31, 2026
- Advisory employees · 31 to 34Feb 25, 2026 to Mar 31, 2026
- BD registered reps · 3 to 1Feb 25, 2026 to Mar 31, 2026
- Charity clients · 1.0 to unsetFeb 25, 2026 to Mar 31, 2026
- Pooled vehicle clients · 11 to 14Feb 25, 2026 to Mar 31, 2026
- Assets in custody · $543M to $829MFeb 25, 2026 to Mar 31, 2026
- HQ city · PURCHASE to NEW YORKFeb 25, 2026 to Mar 31, 2026
- Other offices · 7 to 6Feb 25, 2026 to Mar 31, 2026
- Private funds · 13 to 14Feb 25, 2026 to Mar 31, 2026
- Discretionary RAUM · $2.6B to $2.9BFeb 25, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $86.5M to $101MFeb 25, 2026 to Mar 31, 2026
- Pension RAUM · $7.7M to $11.5MFeb 25, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $2.1B to $2.1BFeb 25, 2026 to Mar 31, 2026
- RAUM · $2.7B to $3.0BFeb 25, 2026 to Mar 31, 2026
- Private funds · 12 to 13Aug 26, 2025 to Feb 25, 2026
- Private funds · 11 to 12May 5, 2025 to Aug 26, 2025
- Financial planning clients · unset to Apr 11, 2025 to May 5, 2025
- Accounts · 22 to 25Aug 30, 2024 to Apr 11, 2025
- Advisory employees · 27 to 31Aug 30, 2024 to Apr 11, 2025
- Pooled vehicle clients · 8 to 11Aug 30, 2024 to Apr 11, 2025
- Assets in custody · $794M to $543MAug 30, 2024 to Apr 11, 2025
- Employees · 156 to 180Aug 30, 2024 to Apr 11, 2025
- Private funds · 10 to 11Aug 30, 2024 to Apr 11, 2025
- Discretionary RAUM · $2.7B to $2.6BAug 30, 2024 to Apr 11, 2025
- Non-discretionary RAUM · $935M to $86.5MAug 30, 2024 to Apr 11, 2025
- Pension RAUM · $466M to $7.7MAug 30, 2024 to Apr 11, 2025
- Pooled vehicle RAUM · $2.1B to $2.1BAug 30, 2024 to Apr 11, 2025
- RAUM · $3.7B to $2.7BAug 30, 2024 to Apr 11, 2025
- Private funds · 9 to 10Jun 10, 2024 to Aug 26, 2024
- Private funds · 8 to 9May 2, 2024 to Jun 10, 2024
- Accounts · 31 to 22Oct 6, 2023 to Mar 28, 2024
- Advisory employees · 24 to 27Oct 6, 2023 to Mar 28, 2024
- BD registered reps · 11 to 3Oct 6, 2023 to Mar 28, 2024
- Charity clients · unset to 1.0Oct 6, 2023 to Mar 28, 2024
Signals
10 dated events
- A•••• I••••••••• L• reported RAUM $2.7B, down 28% from $3.7B (2024-08-30 to 2025-04-11)Apr 11, 2025 · RAUM change · derived
- L•••••• T•••••• L••• (Managing Director, Chief Compliance Officer) appeared on Schedule A of A•••• I••••••••• L•Oct 6, 2023 · Control person joined · fact
- A•••• I••••••••• L• reported RAUM $3.5B, up 25% from $2.8B (2022-06-03 to 2022-06-17)Jun 17, 2022 · RAUM change · derived
- Paul Sealy (Cfo) no longer on Schedule A of A•••• I••••••••• L• (listed 2022-04-14, absent 2022-06-03)Jun 3, 2022 · Control person left · inference
- A•••• I••••••••• L• reported RAUM $2.8B, up 35% from $2.1B (2021-07-19 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- Renee Kristan Gregory (Cco) no longer on Schedule A of A•••• I••••••••• L• (listed 2021-03-31, absent 2021-07-19)Jul 19, 2021 · Control person left · inference
- A•••• I••••••••• L• reported RAUM $2.1B, up 65% from $1.3B (2020-06-19 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Renee Kristan Gregory (Cco) appeared on Schedule A of A•••• I••••••••• L•Oct 25, 2019 · Control person joined · fact
- Anthony James Hartmann (Cco) no longer on Schedule A of A•••• I••••••••• L• (listed 2019-05-14, absent 2019-10-25)Oct 25, 2019 · Control person left · inference
- A•••• I••••••••• L• filed its initial SEC registration (Form ADV)Jun 15, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A•••• I••••••••• L• · Independent Sponsorsshared crd · capital_provider
- A•••• I••••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/ccaventusreportedpublic record, Form ADV, Sep 18, 2026
- Website
- ccaventus.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-612-3205reportedpublic record, Form ADV, Sep 15, 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