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.

Former SEC-registered adviser

C••• P••••••• G•••• L••

Former SEC-registered adviserNew York, New YorkCRD 282709SEC 801-107425IAPD
Latest filing Mar 26, 2021
First filing on the tape Mar 8, 2016 · 8 filings
RAUM
$1.1B
reported, Item 5.F
Discretionary
0.0%
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
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$1.1B as of Mar 26, 2021
Mar 28, 2017$551M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2021
Mar 28, 20170 then
Employees (5.A)7 as of Mar 26, 2021
Mar 28, 20179 then
Private funds: no history
RAUM +5.8% over the last fiscal year+22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2021; 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
$528MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
+5.8%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$999M, 2 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
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.1B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$999M for 2 clientsreported
Compensation
fixed, 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F••••••• T•••••• D•••• · Partnercontrol
        since 03/2016 · owns less than 5%
      • H••• K••••• A•••••••• · Managing Partnercontrol
        since 11/2015 · owns less than 5%
      • P••••• A•••• J•• · Chief Operating Officer / Chief Compliance Officer / Partnercontrol
        since 11/2015 · owns less than 5%
      • F••••••• T•••••• D•••• · Membercontrol
        since 03/2016 · owns 25% to 50% of T• F•••••• • C•• L••
      • H••• K••••• A•••••••• · Membercontrol
        since 11/2015 · owns 50% to 75% of I••••••• H••••••• L••
      • H••• K••••• A•••••••• · Membercontrol
        since 01/2019 · owns 25% to 50% of C••• 2• R••••• P••••••••• L••
      • P••••• A•••• J•• · Membercontrol
        since 11/2015 · owns F of E•••• C•••• H•••••••• L••
      Entity owners
      • C••• P••••••• G•••• L• · Member
        direct · owns 75% or more
      • E•••• C•••• H•••••••• L•• · Member
        indirect · owns F of C••• P••••••• G•••• L•
      • I••••••• H••••••• L•• · Member
        indirect · owns 50% to 75% of C••• P••••••• G•••• L•
      • T• F•••••• • C•• L•• · Member
        indirect · owns 25% to 50% of C••• P••••••• G•••• L•
      • T• F•••••• • C•• L•• · Member
        indirect · owns 25% to 50% of C••• P• G• L••
      • C••• 2• R••••• P••••••••• L•• · Member
        direct · owns less than 5%
      • C••• 4•• N•••• A•• P••••••••• L•• · Member
        direct · owns less than 5%
      • C••• P• G• L•• · Member
        direct · owns 5% to 10%
      • C••• P••••••• G•••• G• L•• · Member
        direct · owns 5% to 10%
      • B••• I••••••••• P•• L•••••• · Member
        indirect · owns 25% to 50% of C••• 4•• N•••• A•• P••••••••• L••
      • B••• I••••••••• P•• L•••••• · Member
        indirect · owns 25% to 50% of C••• 2• R••••• P••••••••• L••
      • B••• I••••••••• P•• L•••••• · Member
        indirect · owns 25% to 50% of C••• P••••••• G•••• G• L••
      • I••••••• 4•• N•••• A••••• I•••••••• L•• · Member
        indirect · owns 25% to 50% of C••• P••••••• G•••• G• L••
      • I••••••• 4•• N•••• A••••• I•••••••• L•• · Member
        indirect · owns 25% to 50% of C••• 4•• N•••• A•• P••••••••• L••
      • I••••••• 4•• N•••• A••••• I•••••••• L•• · Member
        indirect · owns 25% to 50% of C••• P• G• L••
      Related persons
      Schedule D 7.A
      • C••• 2• R••••• I•••••••• L••
        pooled vehicle sponsory
      • C••• 4•• N•••• A•• I•••••••• L••
        pooled vehicle sponsory
      • C••• P••••••• G•••• G• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 5 to 4
        Mar 27, 2020 to Mar 26, 2021
      • Employees · 9 to 7
        Mar 27, 2020 to Mar 26, 2021
      • Non-discretionary RAUM · $999M to $1.1B
        Mar 27, 2020 to Mar 26, 2021
      • Pooled vehicle RAUM · $999M to $1.1B
        Mar 27, 2020 to Mar 26, 2021
      • RAUM · $999M to $1.1B
        Mar 27, 2020 to Mar 26, 2021
      • Advisory employees · 6 to 5
        Sep 30, 2019 to Mar 27, 2020
      • Assets in custody · $582M to $999M
        Sep 30, 2019 to Mar 27, 2020
      • Employees · 10 to 9
        Sep 30, 2019 to Mar 27, 2020
      • Other offices · 1 to 0
        Sep 30, 2019 to Mar 27, 2020
      • Non-discretionary RAUM · $887M to $999M
        Sep 30, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $887M to $999M
        Sep 30, 2019 to Mar 27, 2020
      • RAUM · $887M to $999M
        Sep 30, 2019 to Mar 27, 2020
      • Advisory activities · 2 to 1
        Mar 8, 2018 to Mar 20, 2019
      • Non-discretionary RAUM · $582M to $887M
        Mar 8, 2018 to Mar 20, 2019
      • Pooled vehicle RAUM · $582M to $887M
        Mar 8, 2018 to Mar 20, 2019
      • RAUM · $582M to $887M
        Mar 8, 2018 to Mar 20, 2019
      • Related adviser · true to false
        Mar 8, 2018 to Mar 20, 2019
      • Pooled vehicle clients · unset to 2.0
        Mar 28, 2017 to Mar 8, 2018
      • Assets in custody · $1.0M to $582M
        Mar 28, 2017 to Mar 8, 2018
      • Employees · 9 to 10
        Mar 28, 2017 to Mar 8, 2018
      • Other offices · unset to 1.0
        Mar 28, 2017 to Mar 8, 2018
      • Non-discretionary RAUM · $551M to $582M
        Mar 28, 2017 to Mar 8, 2018
      • Pooled vehicle RAUM · unset to 582000000.0
        Mar 28, 2017 to Mar 8, 2018
      • RAUM · $551M to $582M
        Mar 28, 2017 to Mar 8, 2018
      • Advisory activities · 3 to 2
        Jun 7, 2016 to Mar 28, 2017
      • Employees · 6 to 9
        Jun 7, 2016 to Mar 28, 2017
      • Non-discretionary RAUM · $221M to $551M
        Jun 7, 2016 to Mar 28, 2017
      • RAUM · $221M to $551M
        Jun 7, 2016 to Mar 28, 2017
      • Accounts · unset to 2.0
        Mar 8, 2016 to Jun 7, 2016
      • Advisory employees · 4 to 6
        Mar 8, 2016 to Jun 7, 2016
      • Advisory activities · 2 to 3
        Mar 8, 2016 to Jun 7, 2016
      • Assets in custody · unset to 1000000.0
        Mar 8, 2016 to Jun 7, 2016
      • Custody of client assets · false to true
        Mar 8, 2016 to Jun 7, 2016
      • Employees · 4 to 6
        Mar 8, 2016 to Jun 7, 2016
      • Discretionary RAUM · unset to 0.0
        Mar 8, 2016 to Jun 7, 2016
      • Non-discretionary RAUM · unset to 221000000.0
        Mar 8, 2016 to Jun 7, 2016
      • RAUM · unset to 221000000.0
        Mar 8, 2016 to Jun 7, 2016
      Signals
      2 dated events
      • C••• P••••••• G•••• L•• reported RAUM $887.0M, up 52% from $582.0M (2018-03-08 to 2019-03-20)
        Mar 20, 2019 · RAUM change · derived
      • C••• P••••••• G•••• L•• filed its initial SEC registration (Form ADV)
        Mar 8, 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.
      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