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•••••• G••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jan 10, 2017 · 21 filings
SEC status approved since Jan 23, 2017
RAUM
$626M
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
16
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
20
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$626M as of Mar 31, 2026
Mar 30, 2017$86.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20170 then
Employees (5.A)16 as of Mar 31, 2026
Mar 30, 20175 then
Private funds20 as of Mar 31, 2026
Mar 30, 20171 then
RAUM -18% over the last fiscal year-4.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $31.3MderivedRAUM 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
- -18%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, fixed fees, 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)
- 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$626M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 20reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
17 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| X• T••••• C••••••••• V•••••• Q•• L• | Private Equity Fund | $172M | 122 | Mar 29, 2022 |
| C••••••••• O••••••••• F••• I• Q•• L• | Private Equity Fund | $71.2M | 127 | Mar 29, 2022 |
| X• B••••••• C••••••••• V•••••• Q•• L• | Private Equity Fund | $66.5M | 109 | Mar 22, 2024 |
| C••••••••• O••••••••• F••• Q•• L• | Private Equity Fund | $57.3M | 109 | Nov 10, 2017 |
| X• I••• B• L• | Venture Capital Fund | $47.1M | 21 | Mar 29, 2022 |
| X• B••••••• C••••••••• V••••••• L• | Private Equity Fund | $11.5M | 55 | Mar 22, 2024 |
| X• U••••• C••••••••• L• | Private Equity Fund | $10.4M | 20 | Nov 10, 2017 |
| X• T••••• C••••••••• V••••••• L• | Private Equity Fund | $9.9M | 24 | Mar 29, 2022 |
| C••••••••• V•••••••• L• | Venture Capital Fund | $9.8M | 12 | Mar 29, 2019 |
| C••••••••• V••••••• I••• L• | Venture Capital Fund | $8.9M | 18 | Mar 30, 2023 |
| X• T••••••• C••••••••• I•• L• | Private Equity Fund | $8.1M | 30 | Mar 22, 2024 |
| X• I••• B• I•• L• | Venture Capital Fund | $7.2M | 3 | Mar 30, 2023 |
| X• T••••••• C••••••••• L• | Private Equity Fund | $6.9M | 11 | Mar 30, 2023 |
| C••••••••• O••••••••• F••• I•• L• | Private Equity Fund | $6.6M | 41 | Mar 29, 2022 |
| C••••••••• V••••••• I•• L• | Venture Capital Fund | $6.3M | 17 | Mar 29, 2022 |
| C••••••••• O••••••••• F•••• L• | Private Equity Fund | $4.8M | 26 | Dec 5, 2016 |
| X• T••••• C••••••••• L•no longer reported | Private Equity Fund | $0 | 18 | Mar 30, 2020 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• A•••••• D••••• · Chief Compliance Officer / Chief Financial Officercontrolsince 03/2022 · owns less than 5%
- H•••••• D••••• L••••• · Managercontrolsince 11/2016 · owns less than 5%
- M•••••••• M••••• R•••••• · Partnercontrolsince 06/2018 · owns less than 5%
- B••••• T•••••• J•• · Membercontrolsince 01/2011 · owns 75% or more of T••••••••• A•••••••• L••
- H•••••• D••••• L••••• · Membercontrolsince 03/2009 · owns 75% or more of D•• A•••••••• L••
Entity owners
- D•• A•••••••• L•• · Memberdirect · owns 50% to 75%
- T••••••••• A•••••••• L•• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- C••••••••• O••••••••• F••• G•• L•pooled vehicle sponsorn
- C••••••••• O••••••••• F••• I• G•• L•pooled vehicle sponsorn
- C••••••••• V••••••• G•• L•pooled vehicle sponsorn
- C••••••••• V••••••• I• G• L•pooled vehicle sponsorn
- C••••••••• V••••••• I•• G• L•pooled vehicle sponsorn
- X• B••••••• C••••••••• V•••••• G•• L•pooled vehicle sponsorn
- X• F••• L••pooled vehicle sponsory
- X• I••• B• G•• L•pooled vehicle sponsorn
- X• I••• B• I• G•• L•pooled vehicle sponsorn
- X• T••••••• C••••••••• G•• L•pooled vehicle sponsorn
- X• T••••••• C••••••••• I• G•• L•pooled vehicle sponsorn
- X• Y••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 18 to 20Mar 28, 2025 to Mar 31, 2026
- Advisory employees · 16 to 15Mar 28, 2025 to Mar 31, 2026
- Pooled vehicle clients · 18 to 20Mar 28, 2025 to Mar 31, 2026
- Employees · 17 to 16Mar 28, 2025 to Mar 31, 2026
- Private funds · 18 to 20Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $762M to $626MMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $762M to $626MMar 28, 2025 to Mar 31, 2026
- RAUM · $762M to $626MMar 28, 2025 to Mar 31, 2026
- Accounts · 16 to 18Mar 22, 2024 to Mar 28, 2025
- Advisory employees · 13 to 16Mar 22, 2024 to Mar 28, 2025
- Pooled vehicle clients · 16 to 18Mar 22, 2024 to Mar 28, 2025
- Employees · 14 to 17Mar 22, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 22, 2024 to Mar 28, 2025
- Private funds · 16 to 18Mar 22, 2024 to Mar 28, 2025
- Discretionary RAUM · $713M to $762MMar 22, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $713M to $762MMar 22, 2024 to Mar 28, 2025
- RAUM · $713M to $762MMar 22, 2024 to Mar 28, 2025
- Accounts · 13 to 16May 10, 2023 to Mar 22, 2024
- Advisory employees · 11 to 13May 10, 2023 to Mar 22, 2024
- Pooled vehicle clients · 13 to 16May 10, 2023 to Mar 22, 2024
- Employees · 12 to 14May 10, 2023 to Mar 22, 2024
- Other offices · 1 to 0May 10, 2023 to Mar 22, 2024
- Private funds · 13 to 16May 10, 2023 to Mar 22, 2024
- Discretionary RAUM · $714M to $713MMay 10, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $714M to $713MMay 10, 2023 to Mar 22, 2024
- RAUM · $714M to $713MMay 10, 2023 to Mar 22, 2024
- Related bank · true to falseMay 10, 2023 to Mar 22, 2024
- Accounts · 11 to 13May 30, 2022 to Mar 30, 2023
- Advisory employees · 10 to 11May 30, 2022 to Mar 30, 2023
- Pooled vehicle clients · 11 to 13May 30, 2022 to Mar 30, 2023
- Assets in custody · $485M to $0May 30, 2022 to Mar 30, 2023
- Custody of client assets · true to falseMay 30, 2022 to Mar 30, 2023
- Employees · 11 to 12May 30, 2022 to Mar 30, 2023
- Private funds · 11 to 13May 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $485M to $714MMay 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $485M to $714MMay 30, 2022 to Mar 30, 2023
- RAUM · $485M to $714MMay 30, 2022 to Mar 30, 2023
- Assets in custody · $458M to $485MMar 29, 2022 to May 30, 2022
- Discretionary RAUM · $458M to $485MMar 29, 2022 to May 30, 2022
- Pooled vehicle RAUM · $458M to $485MMar 29, 2022 to May 30, 2022
Signals
4 dated events
- C••••••••• C•••••• G••••• L•• reported RAUM $714.2M, up 47% from $485.4M (2022-05-30 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- C••••••••• C•••••• G••••• L•• reported RAUM $458.4M, up 174% from $167.4M (2021-05-10 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- Daniel Andrew Browning (Chief Compliance Officer) appeared on Schedule A of C••••••••• C•••••• G••••• L••Mar 29, 2022 · Control person joined · fact
- C••••••••• C•••••• G••••• L•• filed its initial SEC registration (Form ADV)Jan 10, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C••••••••• C•••••• G••••• L•• · Independent Sponsorsshared crd · capital_provider
- C••••••••• C•••••• G••••• L•• · Private Equityshared crd · organization
- C••••••••• C•••••• G••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- C•••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 832-487-0007reportedpublic record, Form ADV, Mar 31, 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