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•••••• S•• L••
Latest filing Mar 27, 2026
First filing on the tape Nov 17, 2023 · 6 filings
SEC status approved since Dec 14, 2023
RAUM
$197M
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
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$197M as of Mar 27, 2026
Mar 29, 2024$178M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 29, 20240 then
Employees (5.A)4 as of Mar 27, 2026
Mar 29, 20244 then
Private funds8 as of Mar 27, 2026
Mar 29, 202410 then
RAUM -7.5% over the last fiscal yearIARs 0 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
- $24.6MderivedRAUM 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
- -7.5%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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 discretionary authority over which securities are bought or sold (8.C.1)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$197M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- 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
11 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C• U••• L• | Private Equity Fund | $81.8M | 25 | Mar 21, 2022 |
| C••••• C•••••• T••••••••• O••••••••• I• L• | Private Equity Fund | $26.4M | 18 | May 16, 2016 |
| C•••• W•••• L• | Private Equity Fund | $22.9M | 6 | Mar 18, 2019 |
| C•••• L•••••••• L• | Private Equity Fund | $17.5M | 41 | Mar 18, 2019 |
| C••• R••• L• | Private Equity Fund | $11.0M | 3 | Mar 5, 2021 |
| C••• W••• L• | Private Equity Fund | $8.8M | 23 | Mar 5, 2021 |
| C••• R••• L• | Private Equity Fund | $5.4M | 8 | Mar 5, 2021 |
| C•••• L•no longer reported | Private Equity Fund | $4.4M | 3 | Mar 16, 2018 |
| C•••• U•••• L• | Private Equity Fund | $2.9M | 7 | Mar 18, 2019 |
| C••••• M••••• L• | Private Equity Fund | $1.3M | 6 | Mar 16, 2018 |
| C•••• A•• L• | Private Equity Fund | $274,883 | 6 | Mar 5, 2021 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• J•••• T•••• · Manager, Member, Chief Executive Officer And Chief Investment Officercontrolsince 11/2015 · owns 75% or more
- R••••••• J•••• B•••••• · Chief Operating Officer, Chief Compliance Officercontrolsince 03/2017 · owns less than 5%
Related persons
Schedule D 7.A
- C••••• C•••••• T••••••••• O••••••••• I• G•• L••pooled vehicle sponsorn
- D••••••• C•••••• P••••••• L••investment advisery
Advisers that list C••••• C•••••• S•• L•• as a related person
- 329842 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · to 0Nov 3, 2025 to Mar 27, 2026
- Private funds · 7 to 8Nov 3, 2025 to Mar 27, 2026
- Discretionary RAUM · $213M to $197MNov 3, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $213M to $197MNov 3, 2025 to Mar 27, 2026
- RAUM · $213M to $197MNov 3, 2025 to Mar 27, 2026
- Private funds · 8 to 7Mar 27, 2025 to Nov 3, 2025
- Accounts · 10 to 8Jun 7, 2024 to Mar 27, 2025
- Pooled vehicle clients · 10 to 8Jun 7, 2024 to Mar 27, 2025
- Financial planning clients · unset to Jun 7, 2024 to Mar 27, 2025
- Private funds · 10 to 8Jun 7, 2024 to Mar 27, 2025
- Discretionary RAUM · $178M to $213MJun 7, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $178M to $213MJun 7, 2024 to Mar 27, 2025
- RAUM · $178M to $213MJun 7, 2024 to Mar 27, 2025
- Related adviser · false to trueMar 29, 2024 to Jun 7, 2024
- Discretionary RAUM · $178M to $178MMar 29, 2024 to Jun 7, 2024
- Pooled vehicle RAUM · $178M to $178MMar 29, 2024 to Jun 7, 2024
- RAUM · $178M to $178MMar 29, 2024 to Jun 7, 2024
- Private funds · 20 to 10Nov 17, 2023 to Mar 29, 2024
- Discretionary RAUM · $180M to $178MNov 17, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $180M to $178MNov 17, 2023 to Mar 29, 2024
- RAUM · $180M to $178MNov 17, 2023 to Mar 29, 2024
Signals
1 dated events
- C••••• C•••••• S•• L•• filed its initial SEC registration (Form ADV)Nov 17, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C••••• C•••••• S•• L•• · Independent Sponsorsshared crd · capital_provider
- C••••• C•••••• S•• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/connor-capital-sb-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 805.324.4073reportedpublic 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