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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C••••••• R•••••••• M••••••••• L•
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2016 · 17 filings
SEC status approved since Apr 1, 2016
RAUM
$221M
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
9
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
11
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$221M as of Mar 30, 2026
Mar 30, 2017$166M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 30, 20170 then
Employees (5.A)9 as of Mar 30, 2026
Mar 30, 20176 then
Private funds11 as of Mar 30, 2026
Mar 30, 20175 then
RAUM +4.1% over the last fiscal year+2.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 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
- $20.1MderivedRAUM 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
- +4.1%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 pooled vehiclesreportedItem 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)
- 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$221M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- 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=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
11 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••• R•••••••• 2••• L• | Private Equity Fund | $43.9M | 50 | Mar 30, 2016 |
| C••••••• R•••••••• 2••• L• | Private Equity Fund | $36.2M | 45 | Mar 30, 2016 |
| C••••••• H••••••••• 2••• L• | Private Equity Fund | $31.5M | 67 | Mar 30, 2022 |
| C••••••• R•••••••• 2••• L• | Private Equity Fund | $27.4M | 33 | May 21, 2018 |
| C••••••• R•••••••• 2••• L• | Private Equity Fund | $22.5M | 39 | Nov 26, 2024 |
| C••••••• R••••••••• L• | Private Equity Fund | $13.7M | 69 | Mar 30, 2016 |
| O•••••• R••••••• L••• | Private Equity Fund | $13.2M | 30 | Mar 30, 2016 |
| C••••••• • L•• O•••••• L•• | Private Equity Fund | $12.2M | 22 | Nov 26, 2024 |
| E•••••••• M••••••• L• | Private Equity Fund | $10.0M | 13 | Mar 30, 2016 |
| C••••••• • S•••••••• L•• | Private Equity Fund | $2.1M | 8 | Nov 26, 2024 |
| C••••••• • O•••• R•••••• L•• | Private Equity Fund | $2.0M | 19 | Nov 26, 2024 |
Owners and control persons
Schedule A and B, latest filing
- L••••• C•••••••• C•••• · Manager, Partner & Ccocontrolsince 06/2012 · owns 50% to 75%
- L••••• J•••• M•••••• · Manager & Partnercontrolsince 06/2012 · owns 25% to 50%
Entity owners
- C••••••• R•••••••• M••••••••• G•• L•• · General Partnerdirect · owns less than 5%
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
- Discretionary RAUM · $212M to $221MMar 26, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $212M to $221MMar 26, 2025 to Mar 30, 2026
- RAUM · $212M to $221MMar 26, 2025 to Mar 30, 2026
- Financial planning clients · unset to Nov 26, 2024 to Mar 26, 2025
- Discretionary RAUM · $215M to $212MNov 26, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $215M to $212MNov 26, 2024 to Mar 26, 2025
- RAUM · $215M to $212MNov 26, 2024 to Mar 26, 2025
- Accounts · 7 to 11Mar 27, 2024 to Nov 26, 2024
- Pooled vehicle clients · 7 to 11Mar 27, 2024 to Nov 26, 2024
- Private funds · 7 to 11Mar 27, 2024 to Nov 26, 2024
- Discretionary RAUM · $187M to $215MMar 27, 2024 to Nov 26, 2024
- Pooled vehicle RAUM · $187M to $215MMar 27, 2024 to Nov 26, 2024
- RAUM · $187M to $215MMar 27, 2024 to Nov 26, 2024
- Discretionary RAUM · $204M to $187MMar 30, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $204M to $187MMar 30, 2023 to Mar 27, 2024
- RAUM · $204M to $187MMar 30, 2023 to Mar 27, 2024
- Employees · 8 to 9Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $182M to $204MMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $182M to $204MMar 30, 2022 to Mar 30, 2023
- RAUM · $182M to $204MMar 30, 2022 to Mar 30, 2023
- Accounts · 6 to 7Mar 26, 2021 to Mar 30, 2022
- Pooled vehicle clients · 6 to 7Mar 26, 2021 to Mar 30, 2022
- Employees · 9 to 8Mar 26, 2021 to Mar 30, 2022
- Private funds · 6 to 7Mar 26, 2021 to Mar 30, 2022
- Discretionary RAUM · $173M to $182MMar 26, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $173M to $182MMar 26, 2021 to Mar 30, 2022
- RAUM · $173M to $182MMar 26, 2021 to Mar 30, 2022
- Employees · 7 to 9Oct 30, 2020 to Mar 26, 2021
- Discretionary RAUM · $178M to $173MOct 30, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $178M to $173MOct 30, 2020 to Mar 26, 2021
- RAUM · $178M to $173MOct 30, 2020 to Mar 26, 2021
- Accounts · 7 to 6Mar 30, 2020 to Oct 30, 2020
- Advisory activities · 2 to 1Mar 30, 2020 to Oct 30, 2020
- Non-discretionary RAUM · $4.7M to $0Mar 30, 2020 to Oct 30, 2020
- RAUM · $183M to $178MMar 30, 2020 to Oct 30, 2020
- Accounts · 6 to 7Mar 29, 2019 to Mar 30, 2020
- Advisory activities · 1 to 2Mar 29, 2019 to Mar 30, 2020
- Employees · 4 to 7Mar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $181M to $178MMar 29, 2019 to Mar 30, 2020
- Non-discretionary RAUM · $0 to $4.7MMar 29, 2019 to Mar 30, 2020
Signals
1 dated events
- C••••••• R•••••••• filed its initial SEC registration (Form ADV)Mar 30, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C••••••• R•••••••• M••••••••• L• · Independent Sponsorsshared crd · capital_provider
- C••••••• R•••••••• M••••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- C•••••••-R••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 214-651-6245reportedpublic record, Form ADV, Mar 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