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•••••••• I••••••••• M••••••••• L••
Latest filing Aug 28, 2026
First filing on the tape Aug 27, 2015 · 19 filings
SEC status approved since Sep 8, 2015
RAUM
$1.8B
reported, Item 5.F
Discretionary
45%
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
18
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
11
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$1.8B as of Aug 28, 2026
Mar 28, 2016$202M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 28, 2026
Mar 28, 20160 then
Employees (5.A)18 as of Aug 28, 2026
Mar 28, 20164 then
Private funds11 as of Aug 28, 2026
Mar 28, 20161 then
RAUM +16% over the last fiscal year+8.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 28, 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
- $141MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 45%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
- +16%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
- yesreportedItem 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)
- 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$1.8B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 13reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••••• S•••••••• ••••• C••••••• L••• | Private Equity Fund | $291M | 2 | Mar 25, 2022 |
| C•••••••• F••• I•• L• | Private Equity Fund | $206M | 102 | Mar 25, 2020 |
| C•••••••• S•••••••• L••• • S••••• A•••• | Private Equity Fund | $194M | 5 | Aug 27, 2015 |
| C•••••••• S•••••••• •••••• L••• | Private Equity Fund | $193M | 5 | Mar 26, 2021 |
| C••••••• S•••••••• ••••• I•• L••• | Private Equity Fund | $160M | 5 | Mar 28, 2023 |
| C••••••• F••• I••• L• | Private Equity Fund | $152M | 18 | Mar 28, 2023 |
| C•••••••• F••• I• L••• | Private Equity Fund | $134M | 137 | Mar 22, 2017 |
| C•••••••• D••••• A•••••• L• | Private Equity Fund | $55.1M | 39 | Mar 25, 2020 |
| C•••••••• F••• I• ••••••••• L• | Private Equity Fund | $36.2M | 9 | Mar 23, 2018 |
| C•••••••• S••••• A••••• S•• L••• | Private Equity Fund | $33.8M | 1 | Mar 26, 2021 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• J••••••• N•••••• · Manager Of C•••••••• P••••••• M••••••••• C••••••• L••controlsince 06/2015 · owns less than 5%
- C••••••• K•••••• H••• · Manager Of C•••••••• P••••••• M••••••••• C••••••• L••controlsince 01/2021 · owns less than 5%
- H•••••• O••• · Chief Financial Officer, Chief Compliance Officercontrolsince 10/2015 · owns less than 5%
- P••••••• C•••• S•••• · Manager Of C•••••••• P••••••• M••••••••• C••••••• L••controlsince 06/2015 · owns less than 5%
- R••••••••• C••••••••• · Manager Of C•••••••• P••••••• M••••••••• C••••••• L••controlsince 06/2015 · owns less than 5%
- C••••••• J••••••• N•••••• · Manager Of C•••••••• P••••••• M••••••••• C••••••• L••controlsince 06/2015 · owns 25% to 50% of C•••••••• P••••••• M••••••••• C••••••• L••
- P••••••• C•••• S•••• · Manager Of C•••••••• P••••••• M••••••••• C••••••• L••controlsince 06/2015 · owns F of C•••••••• P••••••• M••••••••• C••••••• L••
- R••••••••• C••••••••• · Manager Of C•••••••• P••••••• M••••••••• C••••••• L••controlsince 06/2015 · owns F of C•••••••• P••••••• M••••••••• C••••••• L••
Entity owners
- C•••••••• P••••••• M••••••••• C••••••• L•• · Parent Holding Company Of C•••••••• I••••••••• M••••••••• L••direct · owns 75% or more
Related persons
Schedule D 7.A
- C•••••••• B•••• G• I•• L••pooled vehicle sponsorn
- C•••••••• B•••• G•• L••pooled vehicle sponsorn
- C•••••••• G• I•• L••pooled vehicle sponsorn
- C•••••••• G• I••• L••pooled vehicle sponsorn
- C•••••••• G•• L••pooled vehicle sponsorn
- C•••••••• L•••• G•• L••pooled vehicle sponsorn
- C•••••••• S•••••••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 12 to 13Mar 27, 2025 to Mar 30, 2026
- Pooled vehicle clients · 11 to 13Mar 27, 2025 to Mar 30, 2026
- Private funds · 10 to 11Mar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $806M to $818MMar 27, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $767M to $1.0BMar 27, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.6B to $1.8BMar 27, 2025 to Mar 30, 2026
- RAUM · $1.6B to $1.8BMar 27, 2025 to Mar 30, 2026
- Advisory employees · 9 to 10Jan 24, 2025 to Mar 27, 2025
- Employees · 16 to 18Jan 24, 2025 to Mar 27, 2025
- Financial planning clients · unset to Jan 24, 2025 to Mar 27, 2025
- Discretionary RAUM · $811M to $806MJan 24, 2025 to Mar 27, 2025
- Non-discretionary RAUM · $661M to $767MJan 24, 2025 to Mar 27, 2025
- Pooled vehicle RAUM · $1.5B to $1.6BJan 24, 2025 to Mar 27, 2025
- RAUM · $1.5B to $1.6BJan 24, 2025 to Mar 27, 2025
- Employees · 15 to 16Jul 21, 2023 to Mar 25, 2024
- Discretionary RAUM · $732M to $811MJul 21, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $688M to $661MJul 21, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $1.4B to $1.5BJul 21, 2023 to Mar 25, 2024
- RAUM · $1.4B to $1.5BJul 21, 2023 to Mar 25, 2024
- Advisory employees · 8 to 9Dec 20, 2022 to Mar 28, 2023
- Accounts · 10 to 12Dec 20, 2022 to Mar 28, 2023
- Pooled vehicle clients · 9 to 11Dec 20, 2022 to Mar 28, 2023
- Employees · 13 to 15Dec 20, 2022 to Mar 28, 2023
- Private funds · 8 to 10Dec 20, 2022 to Mar 28, 2023
- Discretionary RAUM · $589M to $732MDec 20, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $447M to $688MDec 20, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $1.0B to $1.4BDec 20, 2022 to Mar 28, 2023
- RAUM · $1.0B to $1.4BDec 20, 2022 to Mar 28, 2023
- Accounts · 8 to 10Mar 26, 2021 to Mar 25, 2022
- Pooled vehicle clients · 7 to 9Mar 26, 2021 to Mar 25, 2022
- Employees · 12 to 13Mar 26, 2021 to Mar 25, 2022
- Private funds · 7 to 8Mar 26, 2021 to Mar 25, 2022
- Discretionary RAUM · $553M to $589MMar 26, 2021 to Mar 25, 2022
- Non-discretionary RAUM · $168M to $447MMar 26, 2021 to Mar 25, 2022
- Pooled vehicle RAUM · $704M to $1.0BMar 26, 2021 to Mar 25, 2022
- RAUM · $721M to $1.0BMar 26, 2021 to Mar 25, 2022
- Accounts · 6 to 8Mar 25, 2020 to Mar 26, 2021
- Advisory employees · 7 to 8Mar 25, 2020 to Mar 26, 2021
- Pooled vehicle clients · 5 to 7Mar 25, 2020 to Mar 26, 2021
- Employees · 11 to 12Mar 25, 2020 to Mar 26, 2021
Signals
6 dated events
- C•••••••• I••••••••• M••••••••• L•• reported RAUM $1.4B, up 37% from $1.0B (2022-12-20 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- Hass Kendra Corbett (Manager Of C•••••••• P••••••• M••••••••• C••••••• L••) appeared on Schedule A of C•••••••• I••••••••• M••••••••• L••Mar 28, 2023 · Control person joined · fact
- C•••••••• I••••••••• M••••••••• L•• reported RAUM $1.0B, up 44% from $720.8M (2021-03-26 to 2022-03-25)Mar 25, 2022 · RAUM change · derived
- C•••••••• I••••••••• M••••••••• L•• reported RAUM $720.8M, up 39% from $516.9M (2020-03-25 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- C•••••••• I••••••••• M••••••••• L•• reported RAUM $516.9M, up 42% from $364.3M (2019-03-26 to 2020-03-25)Mar 25, 2020 · RAUM change · derived
- C•••••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 27, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••••••• I••••••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- C•••••••• I••••••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/C••••••••reportedpublic record, Form ADV, Sep 19, 2026
- Website
- C••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (484) 262-5020reportedpublic record, Form ADV, Aug 28, 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