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••••••• P•••••• A•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape May 20, 2016 · 25 filings
SEC status approved since Jun 16, 2016
RAUM
$505M
reported, Item 5.F
Discretionary
89%
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
16
14 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
4
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$505M as of Mar 27, 2026
Mar 31, 2017$218M then
HNW client RAUM$0 as of Mar 27, 2026
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 31, 20170 then
Employees (5.A)16 as of Mar 27, 2026
Mar 31, 201722 then
Private funds4 as of Mar 27, 2026
Mar 31, 20172 then
RAUM +2.3% over the last fiscal year+3.1% a year over threeIARs 0 to 0offices 1 to 2
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
- $42.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.3%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 businesses and institutions, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$448M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 12reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.89 institutional_share=0.0 related_bd=false related_bank=false bd_reps=5.0derived
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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••••• S••• F••• I•• L••• | Private Equity Fund | $194M | 52 | Mar 30, 2016 |
| C••••••• S••• F••• V•• L••• | Private Equity Fund | $171M | 84 | May 14, 2021 |
| C••••••••• P••••••• F••• I••• L••• | Private Equity Fund | $24.0M | 97 | Mar 30, 2018 |
| C••••••• P•••••• C••••• F••• V• L••• | Private Equity Fund | $10.3M | 9 | Oct 11, 2016 |
Owners and control persons
Schedule A and B, latest filing
- A••••• J•••••• B•••• · Ceocontrolsince 04/2016 · owns less than 5%
- A•••••• S•••• · President & Chief Operating Officercontrolsince 10/2019 · owns less than 5%
- B•••••••• M••••••• H••• · Partnercontrolsince 04/2016 · owns less than 5%
- K•••••• K•••• · Ccocontrolsince 03/2023 · owns less than 5%
- B•••••••• M••••••• H••• · Managercontrolsince 12/2013 · owns F of A•••• C••••••• I••••••••• L••
Entity owners
- C••••••• I••••••••• A•••••••• L•• · Memberdirect · owns 75% or more
- A•••• C••••••• I••••••••• L•• · Memberindirect · owns 75% or more of C••••••• I••••••••• A•••••••• L••
- C••••••• T•••• · Ownerindirect · owns 75% or more of A•••• C••••••• I••••••••• L••
Related persons
Schedule D 7.A
- C••••••• P•• V• L••pooled vehicle sponsorn
- C••••••• S••• F•••• L••pooled vehicle sponsorn
- C••••••••• P••••••• F••••• L••pooled vehicle sponsorn
- C••••••••• S••• F•••• L••pooled vehicle sponsorn
Advisers that list C••••••• P•••••• A•••••••• L•• as a related person
- 166301 y
Offices
Schedule D 1.F, the 25 largest
- Atlanta, GA1 employees
What changed
consecutive filings, newest first
- Accounts · 9 to 12Apr 17, 2025 to Mar 27, 2026
- Advisory employees · 15 to 14Apr 17, 2025 to Mar 27, 2026
- BD registered reps · 3 to 5Apr 17, 2025 to Mar 27, 2026
- Employees · 17 to 16Apr 17, 2025 to Mar 27, 2026
- Other offices · 1 to 2Apr 17, 2025 to Mar 27, 2026
- Discretionary RAUM · $432M to $448MApr 17, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $61.8M to $57.0MApr 17, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $432M to $448MApr 17, 2025 to Mar 27, 2026
- RAUM · $494M to $505MApr 17, 2025 to Mar 27, 2026
- Accounts · 6 to 9Dec 18, 2024 to Apr 17, 2025
- Assets in custody · unset to 0.0Dec 18, 2024 to Apr 17, 2025
- Custody of client assets · false to trueDec 18, 2024 to Apr 17, 2025
- Financial planning clients · unset to Dec 18, 2024 to Apr 17, 2025
- Discretionary RAUM · $399M to $432MDec 18, 2024 to Apr 17, 2025
- Non-discretionary RAUM · $75.2M to $61.8MDec 18, 2024 to Apr 17, 2025
- Pooled vehicle RAUM · $399M to $432MDec 18, 2024 to Apr 17, 2025
- RAUM · $474M to $494MDec 18, 2024 to Apr 17, 2025
- Advisory employees · 16 to 15Mar 27, 2024 to Dec 18, 2024
- Advisory activities · 1 to 2Mar 27, 2024 to Dec 18, 2024
- BD registered reps · 4 to 3Mar 27, 2024 to Dec 18, 2024
- Employees · 19 to 17Mar 27, 2024 to Dec 18, 2024
- Employees · 18 to 19Apr 18, 2023 to Mar 27, 2024
- Discretionary RAUM · $350M to $399MApr 18, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $111M to $75.2MApr 18, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $350M to $399MApr 18, 2023 to Mar 27, 2024
- RAUM · $461M to $474MApr 18, 2023 to Mar 27, 2024
- Advisory employees · 17 to 16Sep 6, 2022 to Mar 27, 2023
- Other offices · 3 to 1Sep 6, 2022 to Mar 27, 2023
- Discretionary RAUM · $303M to $350MSep 6, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $147M to $111MSep 6, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $303M to $350MSep 6, 2022 to Mar 27, 2023
- RAUM · $450M to $461MSep 6, 2022 to Mar 27, 2023
- Advisory employees · 19 to 17Jun 24, 2022 to Sep 6, 2022
- BD registered reps · 0 to 4Jun 24, 2022 to Sep 6, 2022
- Employees · 20 to 18Jun 24, 2022 to Sep 6, 2022
- Other offices · 4 to 3Jun 24, 2022 to Sep 6, 2022
- Discretionary RAUM · $292M to $303MJul 30, 2021 to Mar 28, 2022
- Non-discretionary RAUM · $205M to $147MJul 30, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $292M to $303MJul 30, 2021 to Mar 28, 2022
- RAUM · $497M to $450MJul 30, 2021 to Mar 28, 2022
Signals
7 dated events
- Nicole Ianthe Vipperman (Chief Compliance Officer) no longer on Schedule A of C••••••• P•••••• A•••••••• L•• (listed 2022-09-06, absent 2023-03-27)Mar 27, 2023 · Control person left · inference
- Nicole Ianthe Vipperman (Chief Compliance Officer) appeared on Schedule A of C••••••• P•••••• A•••••••• L••Jul 30, 2021 · Control person joined · fact
- Francis John Mcglinn (Chief Operating Officer) no longer on Schedule A of C••••••• P•••••• A•••••••• L•• (listed 2019-04-09, absent 2019-11-07)Nov 7, 2019 · Control person left · inference
- Kevin Koonts (Chief Compliance Officer) appeared on Schedule A of C••••••• P•••••• A•••••••• L••Nov 7, 2019 · Control person joined · fact
- Steve Arnall (Chief Operating Officer) appeared on Schedule A of C••••••• P•••••• A•••••••• L••Nov 7, 2019 · Control person joined · fact
- C••••••• P•••••• A•••••••• L•• reported RAUM $332.6M, up 52% from $218.5M (2018-03-30 to 2019-04-09)Apr 9, 2019 · RAUM change · derived
- C••••••• P•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)May 20, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C••••••• P•••••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- C••••••• P•••••• A•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/C•••••••-INVESTMENT-ADVISORSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- C•••••••GROUP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 704-376-5502reportedpublic 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