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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Former SEC-registered adviser
C•• T••• A•••••••• L••
Latest filing Mar 30, 2018
First filing on the tape Aug 5, 2016 · 6 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
494
181 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM: $0
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Mar 30, 20170 then
Employees (5.A)494 as of Mar 30, 2018
Mar 30, 2017507 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2018; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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
- otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• T•••••• J••••• · Chairman Of Registrant; Chairman Of C••••• C•••••• I••••••••• A•••••••• L••; Executive Chairman Of C••••• N••••••••• I•••controlsince 01/2017 · owns less than 5%
- F•••••• S•••••• M•••••• · Chief Compliance Officercontrolsince 01/2017 · owns less than 5%
- H•••••••• M•••• M••••• · Vp Of Registrant; Vp Of C••••• C•••••• I••••••••• A•••••••• L•• And Chief O•••••••• Officer Of C••••• N••••••••• I•••controlsince 01/2017 · owns less than 5%
- S•••••••• R••••••• B•••• · Chief Executive Officer Of Registrantcontrolsince 01/2017 · owns less than 5%
- S••••••• R•••••• M••• · Vp Of Registrant; Vice President Of C••••• C•••••• I••••••••• A•••••••• L•• And Chief Legal Officer Of C••••• N••••••••• I•••controlsince 01/2017 · owns less than 5%
- T•••••• D•••••• J•••• · Vp Of Registrant; Vp Of C••••• C•••••• I••••••••• A•••••••• L•• And Chief Financial Officer Of C••••• N••••••••• I•••controlsince 01/2017 · owns less than 5%
Entity owners
- C•• A•••••• H•••••••• L•• · Memberdirect · owns 75% or more
- C••••• C•••••• I••••••••• A•••••••• L•• · Memberindirect · owns 75% or more of C•• A•••••• H•••••••• L••
- C••••• C•••••• I••••••••• H•••••• L•• · Memberindirect · owns 75% or more of C••••• C•••••• I••••••••• A•••••••• L••
- C••••• C•••••• O• S••••••••• L•• · Memberindirect · owns 75% or more of C••••• C•••••• I••••••••• H•••••• L••
- C••••• C•••••• O•••••••• C••••••• L•• · Memberindirect · owns 75% or more of C••••• C•••••• O• S••••••••• L••
- C••••• N••••••••• I••• · Memberindirect · owns 75% or more of C••••• C•••••• O•••••••• C••••••• L•• · public reporting company
Related persons
Schedule D 7.A
- Capra Credit Management, LLCinvestment advisernRAUM $45.1M
- C••• I• I••••••••• A••••••• L••investment advisern
- C••• M••••••• L••investment advisernRAUM $6.2B
- C•• F••• A•••••••• L••investment advisern
- C•• N•• A•••••••• L••investment advisernRAUM $1.4B
- C•• N••••• A•••••••• L••investment advisernRAUM $51.4M
- C•• N••• A•••••••• L••investment advisernRAUM $1.4B
- C•• N•• A•••••••• L••investment advisernRAUM $33.6M
- C•• O•• C•• P•••• G•• L••pooled vehicle sponsorn
- C•• O•• C•• P•••• I••••••••• A••••••• L••investment advisern
- C•• R••• A•••••••• L••investment advisernRAUM $30.2M
- C•• I••••• I•••• S•••••investment adviserpooled vehicle sponsorn
- C••••••••• G•• L••pooled vehicle sponsorn
- C•••••• S•••••••• P••••••• I••• L••pooled vehicle sponsorn
- C•••••• S•••••••• P•••••••• L••pooled vehicle sponsorn
- C••••• C••••• G•••••• P••••••• L••pooled vehicle sponsorn
- C•••••• S•••••••• P•••••••• L••pooled vehicle sponsorn
- C••••• 2••• A•• C••••••••• G•••••• L••pooled vehicle sponsorn
- C••••• A••• C••••••••• G•••••• L••pooled vehicle sponsorn
- C••••• B•••• C••••••••• G•••••• L••pooled vehicle sponsorn
- C••••• C•••••• ••••••••• N•••• V•••• L••pooled vehicle sponsorn
- C••••• C•••••• ••••••••• V•••• L••pooled vehicle sponsorn
- C••••• C•••••• ••• V•••• L••pooled vehicle sponsorn
- C••••• C•••••• C••••• I•• L•••pooled vehicle sponsorn
- C••••• C•••••• C••••• I••• L•••pooled vehicle sponsorn
- C••••• C•••••• C••••• I•• L••pooled vehicle sponsorn
- C••••• C•••••• C•••••• L•••pooled vehicle sponsorn
- C••••• C•••••• I••• L•••pooled vehicle sponsorn
- C••••• C•••••• I••••••••• A•••••••• L••investment adviseryRAUM $336M
- C••••• C•••••• I•• L•••pooled vehicle sponsorn
Advisers that list C•• T••• A•••••••• L•• as a related person
- 292300 n
Offices
Schedule D 1.F, the 25 largest
- New York, NY39 employees
- Dallas, TX33 employees
- Boston, MA9 employees
- Irvine, CA2 employees
What changed
consecutive filings, newest first
- Accounts · unset to 0.0Aug 10, 2017 to Mar 30, 2018
- Advisory employees · 201 to 181Aug 10, 2017 to Mar 30, 2018
- Assets in custody · unset to 0.0Aug 10, 2017 to Mar 30, 2018
- Employees · 507 to 494Aug 10, 2017 to Mar 30, 2018
- Financial planning clients · unset to 0Aug 10, 2017 to Mar 30, 2018
- Other offices · unset to 4.0Aug 10, 2017 to Mar 30, 2018
- Discretionary RAUM · unset to 0.0Aug 10, 2017 to Mar 30, 2018
- Non-discretionary RAUM · unset to 0.0Aug 10, 2017 to Mar 30, 2018
- RAUM · unset to 0.0Aug 10, 2017 to Mar 30, 2018
- Related bank · true to falseAug 10, 2017 to Mar 30, 2018
- Succession · true to falseJun 19, 2017 to Aug 10, 2017
- Business name · N••••••••• N•••••••• A•••• M••••••••• G•••• to C•• T••• A•••••••• L••Mar 30, 2017 to Jun 19, 2017
- Succession · false to trueMar 30, 2017 to Jun 19, 2017
- Advisory employees · 5 to 201Feb 6, 2017 to Mar 30, 2017
- BD registered reps · 6 to 4Feb 6, 2017 to Mar 30, 2017
- Employees · 93 to 507Feb 6, 2017 to Mar 30, 2017
- Legal name · N••• B••••• L••• to C•• T••• A•••••••• L••Feb 6, 2017 to Mar 30, 2017
- Business name · N••• B••••• L••• to N••••••••• N•••••••• A•••• M••••••••• G••••Aug 5, 2016 to Feb 6, 2017
- HQ city · PEMBROKE to LOS ANGELESAug 5, 2016 to Feb 6, 2017
- HQ state · unset to CAAug 5, 2016 to Feb 6, 2017
- Organization form · Other (specify) to Limited Liability CompanyAug 5, 2016 to Feb 6, 2017
Signals
2 dated events
- C•• T••• A•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jun 19, 2017 · Succession (Item 4) · fact
- N••• B••••• L••• filed its initial SEC registration (Form ADV)Aug 5, 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