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•••••• G••••••••• P••••••• L••
Latest filing May 5, 2026
First filing on the tape Jan 13, 2016 · 21 filings
SEC status approved since Jan 27, 2016
RAUM
$4.1B
reported, Item 5.F
Discretionary
29%
of RAUM
Private clients
0.2%
$7.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
46
26 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$4.1B as of May 5, 2026
Feb 24, 2017$2.2B then
HNW client RAUM$7.1M as of May 5, 2026
Mar 18, 2022$62.7M then
State-registered IARs (5.B.3)0 as of May 5, 2026
Feb 24, 20170 then
Employees (5.A)46 as of May 5, 2026
Feb 24, 201723 then
Private funds: no history
RAUM +38% over the last fiscal year+10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 5, 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
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $137MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 29%derivedof RAUM
- Institutional
- 1.1%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
- +38%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$3.6B94%
- Pooled investment vehicles$176M4.6%
- Charitable organizations$45.7M1.2%
- High-net-worth individuals$7.1M0.2%
- Individual clients
- n/areported
- HNW clients
- 3reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 30reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.04 institutional_share=0.01 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• R••••••• J••• · Chief Operations Officer, Chief Compliance Officer, Membercontrolsince 04/2020 · owns less than 5%
- B••••••• I••• C•••• · Chief Executive Officer, Membercontrolsince 11/2007 · owns 25% to 50%
- C•••••••• S•••••• A•• · Membercontrolsince 04/2020 · owns less than 5%
- D•••••• R•••• O•••• · Membercontrolsince 06/2019 · owns less than 5%
- F•••••••• C••••• E•••••••• · Membercontrolsince 04/2020 · owns less than 5%
- S•••• K•••••• R••• · Managing Partner, Membercontrolsince 10/2007 · owns less than 5%
- S••••• R•••••• P•••• N••••• · Membercontrolsince 06/2017 · owns less than 5%
- T•••••• C••••••••• L••••• · Membercontrolsince 10/2007 · owns 10% to 25%
- B••••••• I••• C•••• · Membercontrolsince 12/2016 · owns 25% to 50% of C•••••• G••••••••• H••••••• L••
- S•••• K•••••• R••• · Shareholdercontrolsince 12/2015 · owns 75% or more of Capital G••••••••• Capital L••••••
Entity owners
- C•••••• G••••••••• H••••••• L•• · Memberdirect · owns 75% or more
- G••••• L•••••• · Memberindirect · owns 25% to 50% of C•••••• G••••••••• H••••••• L••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 27 to 30Feb 9, 2026 to Mar 4, 2026
- Advisory employees · 27 to 26Feb 9, 2026 to Mar 4, 2026
- Charity clients · 2 to 1Feb 9, 2026 to Mar 4, 2026
- Corporate clients · 16 to 19Feb 9, 2026 to Mar 4, 2026
- Employees · 47 to 46Feb 9, 2026 to Mar 4, 2026
- Discretionary RAUM · $862M to $1.2BFeb 9, 2026 to Mar 4, 2026
- HNW RAUM · $3.4M to $7.1MFeb 9, 2026 to Mar 4, 2026
- Non-discretionary RAUM · $2.1B to $2.9BFeb 9, 2026 to Mar 4, 2026
- Pooled vehicle RAUM · $184M to $176MFeb 9, 2026 to Mar 4, 2026
- RAUM · $3.0B to $4.1BFeb 9, 2026 to Mar 4, 2026
- Accounts · 26 to 27Dec 17, 2024 to Mar 25, 2025
- Pooled vehicle clients · 1 to 2Dec 17, 2024 to Mar 25, 2025
- Employees · 46 to 47Dec 17, 2024 to Mar 25, 2025
- Financial planning clients · unset to Dec 17, 2024 to Mar 25, 2025
- HQ state · unset to Dec 17, 2024 to Mar 25, 2025
- Discretionary RAUM · $1.0B to $862MDec 17, 2024 to Mar 25, 2025
- HNW RAUM · $157M to $3.4MDec 17, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $2.0B to $2.1BDec 17, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $220M to $184MDec 17, 2024 to Mar 25, 2025
- RAUM · $3.1B to $3.0BDec 17, 2024 to Mar 25, 2025
- Accounts · 24 to 26Aug 18, 2023 to Mar 19, 2024
- Advisory employees · 24 to 27Aug 18, 2023 to Mar 19, 2024
- Corporate clients · 15 to 16Aug 18, 2023 to Mar 19, 2024
- HNW clients · 2 to 3Aug 18, 2023 to Mar 19, 2024
- Employees · 42 to 46Aug 18, 2023 to Mar 19, 2024
- Discretionary RAUM · $953M to $1.0BAug 18, 2023 to Mar 19, 2024
- HNW RAUM · $178M to $157MAug 18, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $2.1B to $2.0BAug 18, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · $179M to $220MAug 18, 2023 to Mar 19, 2024
- RAUM · $3.1B to $3.1BAug 18, 2023 to Mar 19, 2024
- Accounts · 20 to 24Mar 18, 2022 to Mar 31, 2023
- Advisory employees · 20 to 24Mar 18, 2022 to Mar 31, 2023
- Corporate clients · 12 to 15Mar 18, 2022 to Mar 31, 2023
- Employees · 43 to 42Mar 18, 2022 to Mar 31, 2023
- Discretionary RAUM · $771M to $953MMar 18, 2022 to Mar 31, 2023
- HNW RAUM · $62.7M to $178MMar 18, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $2.6B to $2.1BMar 18, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $120M to $179MMar 18, 2022 to Mar 31, 2023
- RAUM · $3.4B to $3.1BMar 18, 2022 to Mar 31, 2023
- Accounts · 19 to 20Apr 16, 2021 to Mar 18, 2022
Signals
8 dated events
- C•••••• G••••••••• P••••••• L•• reported RAUM $4.1B, up 38% from $3.0B (2026-02-09 to 2026-03-04)Mar 4, 2026 · RAUM change · derived
- Aaltje Hiroko Atherton (Chief Legal Officer, Member) no longer on Schedule A of C•••••• G••••••••• P••••••• L•• (listed 2023-08-18, absent 2024-03-19)Mar 19, 2024 · Control person left · inference
- C•••••• G••••••••• P••••••• L•• reported RAUM $3.4B, up 40% from $2.4B (2021-04-16 to 2022-03-18)Mar 18, 2022 · RAUM change · derived
- E•••••••• C•••• F••••••• (Member) appeared on Schedule A of C•••••• G••••••••• P••••••• L••Feb 16, 2021 · Control person joined · fact
- Ann S••••• C••••••• (Member) appeared on Schedule A of C•••••• G••••••••• P••••••• L••Feb 16, 2021 · Control person joined · fact
- G••••••• D••••••• (Member) no longer on Schedule A of C•••••• G••••••••• P••••••• L•• (listed 2019-03-18, absent 2020-03-12)Mar 12, 2020 · Control person left · inference
- O•••• R••• D••••• (Member) appeared on Schedule A of C•••••• G••••••••• P••••••• L••Mar 12, 2020 · Control person joined · fact
- C•••••• G••••••••• P••••••• L•• filed its initial SEC registration (Form ADV)Jan 13, 2016 · 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
- CAPGENPARTNERS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 44-207-543-1500reportedpublic record, Form ADV, May 5, 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
- Other 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