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•••••• C•••••••••
Latest filing Aug 4, 2026
First filing on the tape Nov 23, 2015 · 20 filings
SEC status approved since Jan 4, 2016
RAUM
$172M
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
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$172M as of Aug 4, 2026
Mar 14, 2017$68.0M then
HNW client RAUM: $4.8M
State-registered IARs (5.B.3)0 as of Aug 4, 2026
Mar 14, 20170 then
Employees (5.A)6 as of Aug 4, 2026
Mar 14, 201714 then
Private funds1 as of Mar 26, 2024
Mar 14, 20172 then
RAUM -14% over the last fiscal year-1.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 4, 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
- $43.0MderivedRAUM 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
- -14%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 individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$165M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.96 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••••• P••• F••• L• L• C• | Hedge Fund | $80.7M | 43 | Nov 23, 2015 |
| C••••••••• F••• L• L• C•no longer reported | Hedge Fund | $10.9M | 5 | Nov 23, 2015 |
| C••••••••• L••• S•••• F••• L• L• C•no longer reported | Hedge Fund | $6.9M | 2 | Nov 23, 2015 |
Owners and control persons
Schedule A and B, latest filing
- I•••• M••••••• L•• · Director Of Researchcontrolsince 06/1991 · owns less than 5%
- L••••• A••••••••• G••••••• · President And Chief Compliance Officercontrolsince 05/2020 · owns less than 5%
- P•••••• R••••• J•••• · Chairman And Chief Executive Officercontrolsince 02/1988 · owns less than 5%
- P•••••• R••••• J•••• · Shareholdercontrolsince 02/1988 · owns 75% or more of C••••••••• H•••••• C••••••
Entity owners
- C••••••••• H•••••• C•••••• · Shareholderdirect · owns 75% or more
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 · $201M to $172MMar 31, 2025 to Mar 17, 2026
- RAUM · $201M to $172MMar 31, 2025 to Mar 17, 2026
- Advisory employees · 6 to 5Sep 25, 2024 to Mar 31, 2025
- Employees · 8 to 6Sep 25, 2024 to Mar 31, 2025
- Financial planning clients · unset to Sep 25, 2024 to Mar 31, 2025
- Discretionary RAUM · $209M to $201MSep 25, 2024 to Mar 31, 2025
- RAUM · $209M to $201MSep 25, 2024 to Mar 31, 2025
- Advisory activities · 4 to 3Mar 26, 2024 to Sep 25, 2024
- Pooled vehicle clients · 1.0 to unsetMar 26, 2024 to Sep 25, 2024
- Assets in custody · 80703743.0 to unsetMar 26, 2024 to Sep 25, 2024
- Custody of client assets · true to falseMar 26, 2024 to Sep 25, 2024
- Private funds · 1 to unsetMar 26, 2024 to Sep 25, 2024
- Discretionary RAUM · $202M to $209MMar 26, 2024 to Sep 25, 2024
- Pooled vehicle RAUM · 80703743.0 to unsetMar 26, 2024 to Sep 25, 2024
- RAUM · $202M to $209MMar 26, 2024 to Sep 25, 2024
- Assets in custody · $106M to $80.7MMar 28, 2023 to Mar 26, 2024
- Employees · 7 to 8Mar 28, 2023 to Mar 26, 2024
- Discretionary RAUM · $181M to $202MMar 28, 2023 to Mar 26, 2024
- HNW RAUM · 4800687.0 to unsetMar 28, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $106M to $80.7MMar 28, 2023 to Mar 26, 2024
- RAUM · $181M to $202MMar 28, 2023 to Mar 26, 2024
- Accounts · 3 to 4Dec 8, 2022 to Mar 28, 2023
- Advisory activities · 3 to 4Dec 8, 2022 to Mar 28, 2023
- Assets in custody · $93.5M to $106MDec 8, 2022 to Mar 28, 2023
- Employees · 8 to 7Dec 8, 2022 to Mar 28, 2023
- Discretionary RAUM · $124M to $181MDec 8, 2022 to Mar 28, 2023
- HNW RAUM · unset to 4800687.0Dec 8, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $93.5M to $106MDec 8, 2022 to Mar 28, 2023
- RAUM · $124M to $181MDec 8, 2022 to Mar 28, 2023
- HQ city · RICHMOND to TAMPAMar 16, 2022 to Dec 8, 2022
- HQ state · VA to FLMar 16, 2022 to Dec 8, 2022
- Accounts · 2 to 3Mar 23, 2021 to Mar 16, 2022
- Advisory employees · 5 to 6Mar 23, 2021 to Mar 16, 2022
- Advisory activities · 2 to 3Mar 23, 2021 to Mar 16, 2022
- Assets in custody · $73.4M to $93.5MMar 23, 2021 to Mar 16, 2022
- Employees · 7 to 8Mar 23, 2021 to Mar 16, 2022
- Discretionary RAUM · $89.4M to $124MMar 23, 2021 to Mar 16, 2022
- Pooled vehicle RAUM · $73.4M to $93.5MMar 23, 2021 to Mar 16, 2022
- RAUM · $89.4M to $124MMar 23, 2021 to Mar 16, 2022
- Accounts · 3 to 2Dec 8, 2020 to Mar 23, 2021
Signals
3 dated events
- Russell Sean Stickler (Chief Compliance Officer And Director Of Finance) no longer on Schedule A of C••••••••• C•••••• C••••••••• (listed 2020-03-28, absent 2020-05-20)May 20, 2020 · Control person left · inference
- C••••••••• C•••••• C••••••••• reported RAUM $173.4M, up 155% from $68.0M (2017-03-14 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- C••••••••• C•••••• C••••••••• filed its initial SEC registration (Form ADV)Nov 23, 2015 · 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
- C•••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 804-836-1617reportedpublic record, Form ADV, Aug 4, 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