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••••••
Legal name C•••••••• A•••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jan 18, 2017 · 22 filings
SEC status approved since Jan 25, 2017
RAUM
$793M
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
8
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$793M as of Mar 27, 2026
Mar 28, 2018$819M then
HNW client RAUM$0 as of Mar 30, 2022
Mar 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 28, 20180 then
Employees (5.A)8 as of Mar 27, 2026
Mar 28, 201820 then
Private funds5 as of Mar 27, 2026
Mar 28, 20184 then
RAUM -34% over the last fiscal year-18% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Mar 27, 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
- $113MderivedRAUM 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
- -34%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 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$793M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- 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=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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••••• R••• E••••• C••••• F••• I•• L• | Real Estate Fund | $396M | 28 | Mar 30, 2022 |
| U••• R••• E••••• C••••• F••• I••• L• | Real Estate Fund | $182M | 20 | Jan 18, 2017 |
| U••• R••• E••••• C••••• M••••••••• F••• I••• L• | Real Estate Fund | $181M | 18 | Jan 18, 2017 |
| C•••••••• R••• E••••• C••••• F••• I• •••• L• | Real Estate Fund | $48.8M | 2 | Mar 30, 2022 |
| C•••••••• R••• E••••• C••••• F••• I•• L•no longer reported | Real Estate Fund | $45.9M | 4 | Jan 18, 2017 |
| C•••••••• C•••••• 3• L•• | Real Estate Fund | $19.4M | 1 | Jan 18, 2017 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• M••••• R••• · Chief Compliance Officercontrolsince 10/2022 · owns less than 5%
- C••••• D•••• K•• · Principal/General Counselcontrolsince 03/2018 · owns 5% to 10%
- C••••• D••••• A••••• · Chairmancontrolsince 01/2017 · owns less than 5%
- G•••••••• L••••• W•••••• · Managing Principalcontrolsince 04/2015 · owns 10% to 25%
- S•••• M•••• H••••••• · Chief Financial Officercontrolsince 01/2023 · owns less than 5%
- C••••• D••••• A••••• · Trusteecontrolsince 01/2017 · owns F of T•• C•• T••••
Entity owners
- C•• H••••••• M••••••••• L•• · Memberdirect · owns 75% or more
- T•• C•• T•••• · Memberindirect · owns 50% to 75% of C•• H••••••• M••••••••• L••
Related persons
Schedule D 7.A
- C•••••••• M••••••••• I•••pooled vehicle sponsorn
- C•••••••• R••• E••••• C••••• F••• I• G•• L••pooled vehicle sponsorn
- K••••• A•••• M••••••••• I•••investment advisern
- U••• R••• E••••• C••••• F••• I•• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Middletown, NJ1 employees
- New York, NY1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Mar 27, 2026employees (Item 5.A) moved from 13.0 to 8.0 (-38.0%) between the annual amendments of 2025-03-24 and 2026-03-27; the peer median change was 0.0% (394 comparable advisers, 3.0th percentile of changes)peers: asset managers, $500M to $1B (394) · 2.5% percentile
- RAUM down 25 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $1,207,165,882 to $792,519,211 (-34.0%) between the annual amendments of 2025-03-24 and 2026-03-27; the peer median change was +8.0% (672 comparable advisers, 5.0th percentile of changes)peers: asset managers, $500M to $1B (672) · 4.8% percentile
What changed
consecutive filings, newest first
- Advisory employees · 11 to 7Dec 22, 2025 to Mar 27, 2026
- Employees · 13 to 8Dec 22, 2025 to Mar 27, 2026
- Other offices · 1 to 0Dec 22, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.2B to $793MDec 22, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $1.2B to $793MDec 22, 2025 to Mar 27, 2026
- RAUM · $1.2B to $793MDec 22, 2025 to Mar 27, 2026
- Financial planning clients · unset to Mar 24, 2025 to Jul 17, 2025
- Employees · 14 to 13Oct 29, 2024 to Mar 24, 2025
- Other offices · 2 to 1Oct 29, 2024 to Mar 24, 2025
- Discretionary RAUM · $1.1B to $1.2BOct 29, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $1.1B to $1.2BOct 29, 2024 to Mar 24, 2025
- RAUM · $1.1B to $1.2BOct 29, 2024 to Mar 24, 2025
- Advisory employees · 10 to 11Jan 26, 2024 to Mar 28, 2024
- Employees · 17 to 14Jan 26, 2024 to Mar 28, 2024
- Discretionary RAUM · $1.4B to $1.1BJan 26, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $1.4B to $1.1BJan 26, 2024 to Mar 28, 2024
- RAUM · $1.4B to $1.1BJan 26, 2024 to Mar 28, 2024
- Advisory employees · 11 to 10Nov 18, 2022 to Mar 31, 2023
- Charity clients · 0.0 to unsetNov 18, 2022 to Mar 31, 2023
- Corporate clients · 0.0 to unsetNov 18, 2022 to Mar 31, 2023
- HNW clients · 0.0 to unsetNov 18, 2022 to Mar 31, 2023
- Individual clients · 0.0 to unsetNov 18, 2022 to Mar 31, 2023
- Pension plan clients · 0.0 to unsetNov 18, 2022 to Mar 31, 2023
- Employees · 20 to 17Nov 18, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.3B to $1.4BNov 18, 2022 to Mar 31, 2023
- HNW RAUM · 0.0 to unsetNov 18, 2022 to Mar 31, 2023
- Individual RAUM · 0.0 to unsetNov 18, 2022 to Mar 31, 2023
- Pension RAUM · 0.0 to unsetNov 18, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.3B to $1.4BNov 18, 2022 to Mar 31, 2023
- RAUM · $1.3B to $1.4BNov 18, 2022 to Mar 31, 2023
- HQ city · LOS ANGELES to EL SEGUNDOMar 30, 2022 to Nov 18, 2022
- Accounts · 5 to 7Apr 30, 2021 to Mar 30, 2022
- Pooled vehicle clients · 5 to 7Apr 30, 2021 to Mar 30, 2022
- Private funds · 3 to 5Apr 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $1.0B to $1.3BApr 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $1.0B to $1.3BApr 30, 2021 to Mar 30, 2022
- RAUM · $1.0B to $1.3BApr 30, 2021 to Mar 30, 2022
- Advisory employees · 13 to 11Jul 13, 2020 to Mar 18, 2021
- Employees · 22 to 20Jul 13, 2020 to Mar 18, 2021
- Discretionary RAUM · $978M to $1.0BJul 13, 2020 to Mar 18, 2021
Signals
5 dated events
- C•••••••• C•••••• reported RAUM $792.5M, down 34% from $1.2B (2025-12-22 to 2026-03-27)Mar 27, 2026 · ria raum c••••e · derived
- Hiroichi Mark Sato (Chief Financial Officer) appeared on Schedule A of C•••••••• C••••••Mar 31, 2023 · Control person joined · fact
- Reid Myles Blechner (Chief Compliance Officer) appeared on Schedule A of C•••••••• C••••••Nov 18, 2022 · Control person joined · fact
- C•••••••• C•••••• reported RAUM $1.3B, up 34% from $1.0B (2021-04-30 to 2022-03-30)Mar 30, 2022 · ria raum c••••e · derived
- C•••••••• C•••••• filed its initial SEC registration (Form ADV)Jan 18, 2017 · 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
- Firm profile
- LINKEDIN.COM/COMPANY/C••••••••-CAPITALreportedpublic record, Form ADV, Sep 19, 2026
- Website
- C••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 310-806-9770reportedpublic record, Form ADV, Mar 27, 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
Across the graphs
C•••••••• C•••••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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