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•••••• M••••••••• L•
Latest filing Jul 30, 2026
First filing on the tape Aug 10, 2015 · 25 filings
SEC status approved since Aug 19, 2015
RAUM
$2.5B
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
28
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
16
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$2.5B as of Jul 30, 2026
Mar 23, 2016$882M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 30, 2026
Mar 23, 20160 then
Employees (5.A)28 as of Jul 30, 2026
Mar 23, 20167 then
Private funds16 as of Jul 30, 2026
Mar 20, 20175 then
RAUM +7.3% over the last fiscal year+16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 30, 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
- $156MderivedRAUM 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
- +4.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1.8B, 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
- 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$2.5B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 16reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.8B for 16 clientsreported
- Compensation
- 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
22 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| K•••••• H••• I•••••• I• D•• | Private Equity Fund | $595M | 4 | Mar 31, 2021 |
| C••••••• P•••••••• S••••••••• F••• I•• L• | Private Equity Fund | $374M | 24 | Mar 29, 2024 |
| C••••••• P•••••••• S••••••••• F••• I• L• | Private Equity Fund | $222M | 34 | Mar 28, 2020 |
| C••••••• A••••• C•••••• I•••••• D•• | Private Equity Fund | $194M | 3 | Mar 28, 2020 |
| C••••••• P•••••••• S••••••••• P••••••• F••• I•• L• | Private Equity Fund | $149M | 18 | Mar 29, 2024 |
| C••••••• T••••••• I••••• F••• L• S••••• 2• | Private Equity Fund | $139M | 2 | Mar 31, 2023 |
| C••••••• T••••••• I••••• F••• L• | Private Equity Fund | $120M | 3 | Aug 2, 2021 |
| C••••••• C•••••••• F••• I• L• | Private Equity Fund | $80.1M | 20 | Mar 31, 2022 |
| C••••••• N• F••• L• | Private Equity Fund | $68.7M | 2 | Oct 16, 2017 |
| C••••••• P•••••••• S••••••••• P••••••• F••• I• L• | Private Equity Fund | $47.1M | 17 | Mar 28, 2020 |
| K•••••• H••• C•••••• I•••••• D•• | Private Equity Fund | $44.2M | 2 | Mar 20, 2017 |
| C••••••• C•••••••• F••• I•••• L• | Private Equity Fund | $18.5M | 3 | Mar 31, 2023 |
| S••••• G•• O••••••••• F••• L• | Private Equity Fund | $15.0M | 2 | Mar 31, 2021 |
| S••••• G•• O••••••••• P••••••• F••• L• | Private Equity Fund | $5.1M | 2 | Mar 31, 2021 |
| C••••••• C•••••••• F••• I•• L• | Private Equity Fund | $3.7M | 9 | Mar 31, 2023 |
| C••••••• C•••••••• F••• I• L• | Private Equity Fund | $805,000 | 10 | Mar 29, 2019 |
| C••••••• S••••••••• I••••• F••• L• | Private Equity Fund | $786,000 | 2 | Mar 28, 2020 |
| C••••••• S•••••••• O••••••••• F••• L•no longer reported | Private Equity Fund | $0 | 0 | Mar 20, 2017 |
| C••••••• P•••••••• S••••••••• P••••••• F••• L•no longer reported | Private Equity Fund | $0 | 0 | Mar 20, 2017 |
| C••••••• P•••••••• S••••••••• F••• L•no longer reported | Private Equity Fund | $0 | 0 | Mar 20, 2017 |
| C••••••• C•••••••• F••• I• L•no longer reported | Private Equity Fund | $0 | 0 | Mar 30, 2018 |
| C••••••• N••••••••• F••• L•no longer reported | Private Equity Fund | $0 | 0 | Mar 20, 2017 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• S••••• L• · Chief Operating Officercontrolsince 01/2021 · owns less than 5%
- E••••• J•••••• P••••• · Managing Partner And Limited Partnercontrolsince 07/2015 · owns 25% to 50%
- M•••••• C•••••• •••• · Managing Partner And Limited Partnercontrolsince 07/2015 · owns 25% to 50%
- S•••••• D••••• · General Counselcontrolsince 04/2022 · owns less than 5%
- T•••••• J•••••• G••••• · Chief Compliance Officer/Chief Financial Officercontrolsince 07/2015 · owns less than 5%
- E••••• J•••••• P••••• · Managing Membercontrolsince 07/2015 · owns 25% to 50% of C••••••• C•••••• G••••• L••
- M•••••• C•••••• •••• · Managing Membercontrolsince 07/2015 · owns 50% to 75% of C••••••• C•••••• G••••• L••
Entity owners
- C••••••• C•••••• G••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- C••••••• C••• P••••••• L••investment adviserpooled vehicle sponsory
- C••••••• P•••••••• S••••••••• P••••••• I• L••investment adviserpooled vehicle sponsory
- C••••••• P•••••••• S••••••••• P••••••• I•• L••investment adviserpooled vehicle sponsory
- C••••••• P•••••••• S••••••••• P••••••• L••investment adviserpooled vehicle sponsory
- C••••••• S••••• P••••••• L••investment adviserpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 15 to 16Mar 31, 2026 to Jul 30, 2026
- Pooled vehicle clients · 15 to 16Mar 31, 2026 to Jul 30, 2026
- Private funds · 15 to 16Mar 31, 2026 to Jul 30, 2026
- Discretionary RAUM · $2.4B to $2.5BMar 31, 2026 to Jul 30, 2026
- Pooled vehicle RAUM · $2.4B to $2.5BMar 31, 2026 to Jul 30, 2026
- RAUM · $2.4B to $2.5BMar 31, 2026 to Jul 30, 2026
- Accounts · 18 to 15Aug 1, 2025 to Mar 31, 2026
- Advisory employees · 19 to 13Aug 1, 2025 to Mar 31, 2026
- Pooled vehicle clients · 18 to 15Aug 1, 2025 to Mar 31, 2026
- Assets in custody · $2.3B to $1.8BAug 1, 2025 to Mar 31, 2026
- Employees · 29 to 28Aug 1, 2025 to Mar 31, 2026
- Private funds · 19 to 15Aug 1, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.3B to $2.4BAug 1, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $2.3B to $2.4BAug 1, 2025 to Mar 31, 2026
- RAUM · $2.3B to $2.4BAug 1, 2025 to Mar 31, 2026
- Accounts · 17 to 18Mar 29, 2024 to Mar 28, 2025
- Advisory employees · 16 to 19Mar 29, 2024 to Mar 28, 2025
- Pooled vehicle clients · 17 to 18Mar 29, 2024 to Mar 28, 2025
- Assets in custody · $1.1B to $2.3BMar 29, 2024 to Mar 28, 2025
- Employees · 26 to 29Mar 29, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 28, 2025
- Private funds · 17 to 19Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $2.1B to $2.3BMar 29, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $2.1B to $2.3BMar 29, 2024 to Mar 28, 2025
- RAUM · $2.1B to $2.3BMar 29, 2024 to Mar 28, 2025
- Accounts · 15 to 17Feb 16, 2024 to Mar 29, 2024
- Advisory employees · 12 to 16Feb 16, 2024 to Mar 29, 2024
- Pooled vehicle clients · 15 to 17Feb 16, 2024 to Mar 29, 2024
- Assets in custody · $953M to $1.1BFeb 16, 2024 to Mar 29, 2024
- Employees · 18 to 26Feb 16, 2024 to Mar 29, 2024
- Private funds · 15 to 17Feb 16, 2024 to Mar 29, 2024
- Discretionary RAUM · $1.6B to $2.1BFeb 16, 2024 to Mar 29, 2024
- Pooled vehicle RAUM · $1.6B to $2.1BFeb 16, 2024 to Mar 29, 2024
- RAUM · $1.6B to $2.1BFeb 16, 2024 to Mar 29, 2024
- Accounts · 12 to 15Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 10 to 12Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 12 to 15Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $1.0B to $953MMar 31, 2022 to Mar 31, 2023
- Employees · 16 to 18Mar 31, 2022 to Mar 31, 2023
- Private funds · 12 to 15Mar 31, 2022 to Mar 31, 2023
Signals
7 dated events
- C••••••• C•••••• M••••••••• L• reported RAUM $2.1B, up 28% from $1.6B (2024-02-16 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- D••••• S••••• (General Counsel) appeared on Schedule A of C••••••• C•••••• M••••••••• L•Mar 31, 2023 · Control person joined · fact
- C••••••• C•••••• M••••••••• L• reported RAUM $1.5B, up 72% from $878.4M (2021-03-31 to 2021-08-02)Aug 2, 2021 · RAUM change · derived
- L Scott Beardsley (Chief Operating Officer) appeared on Schedule A of C••••••• C•••••• M••••••••• L•Mar 31, 2021 · Control person joined · fact
- C••••••• C•••••• M••••••••• L• reported RAUM $731.0M, up 57% from $467.1M (2019-07-22 to 2020-03-28)Mar 28, 2020 · RAUM change · derived
- C••••••• C•••••• M••••••••• L• reported RAUM $374.7M, down 31% from $539.2M (2017-10-16 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
- C••••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Aug 10, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C••••••• C•••••• M••••••••• L• · Independent Sponsorsshared crd · capital_provider
- C••••••• C•••••• M••••••••• 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) 634-3250reportedpublic record, Form ADV, Jul 30, 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