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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Former SEC-registered adviser
C•••••• L••
Latest filing Mar 31, 2018
First filing on the tape Oct 28, 2015 · 5 filings
RAUM
$65.8M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$93.9M gross assets
History
5 filings and snapshots on the tape
RAUM$65.8M as of Mar 31, 2018
Mar 21, 2016$54.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2018
Mar 21, 20160 then
Employees (5.A)1 as of Mar 31, 2018
Mar 21, 20161 then
Private funds4 as of Mar 31, 2018
Mar 21, 20165 then
RAUM +10% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2018; 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
- $16.4MderivedRAUM 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
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $65.6M, 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
- 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$65.8M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $65.6M for 4 clientsreported
- Compensation
- performancereported
- Class basis
- absent from the latest SEC rosterderived
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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••••• L• | Private Equity Fund | $82,375 | 17 | Oct 28, 2015 |
| M••••••••• I••••••••• L••• | Private Equity Fund | $75,000 | 12 | Oct 28, 2015 |
Owners and control persons
Schedule A and B, latest filing
- N•••••••• L•••••••• A••• · Chief Compliance Officer, Manager And Member Of C•••••• L••controlsince 05/2005 · owns 75% or more
- P•••••• S••••• M•••••• · Member (C•••••• L••)since 06/2005 · owns 5% to 10%
Related persons
Schedule D 7.A
- Q••••••• Capital Partners Management, LLCinvestment advisernRAUM $4.3B
- Q••••••• U••• I••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5 to 4Mar 31, 2017 to Mar 31, 2018
- Pooled vehicle clients · unset to 4.0Mar 31, 2017 to Mar 31, 2018
- Assets in custody · $59.4M to $65.6MMar 31, 2017 to Mar 31, 2018
- Other offices · unset to 0.0Mar 31, 2017 to Mar 31, 2018
- Private funds · 5 to 4Mar 31, 2017 to Mar 31, 2018
- Discretionary RAUM · $59.6M to $65.8MMar 31, 2017 to Mar 31, 2018
- Pooled vehicle RAUM · unset to 65791543.0Mar 31, 2017 to Mar 31, 2018
- RAUM · $59.6M to $65.8MMar 31, 2017 to Mar 31, 2018
- Assets in custody · $54.2M to $59.4MMay 2, 2016 to Mar 31, 2017
- Discretionary RAUM · $54.5M to $59.6MMay 2, 2016 to Mar 31, 2017
- RAUM · $54.5M to $59.6MMay 2, 2016 to Mar 31, 2017
- Assets in custody · $53.8M to $54.2MMar 21, 2016 to May 2, 2016
- Discretionary RAUM · $54.1M to $54.5MMar 21, 2016 to May 2, 2016
- RAUM · $54.1M to $54.5MMar 21, 2016 to May 2, 2016
- Assets in custody · $52.9M to $53.8MOct 28, 2015 to Mar 21, 2016
- Discretionary RAUM · $53.2M to $54.1MOct 28, 2015 to Mar 21, 2016
- RAUM · $53.2M to $54.1MOct 28, 2015 to Mar 21, 2016
Signals
1 dated events
- C•••••• L•• filed its initial SEC registration (Form ADV)Oct 28, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••••• L•• · Private Equityshared crd · organization
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
- Former SEC-registered adviserderiveda 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