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•••••• L••
Latest filing Jun 19, 2026
First filing on the tape Apr 6, 2017 · 16 filings
SEC status approved since Apr 19, 2017
RAUM
$1.8B
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
18
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$1.8B as of Jun 19, 2026
Jun 29, 2018$357M then
HNW client RAUM$0 as of Jun 19, 2026
Jun 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Jun 19, 2026
Jun 29, 20180 then
Employees (5.A)18 as of Jun 19, 2026
Jun 29, 201810 then
Private funds1 as of Jun 19, 2026
Jun 29, 20181 then
RAUM +59% over the last fiscal year+7.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 19, 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
- $250MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.6%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
- +50%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
- 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)
- 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$1.5B87%
- Charitable organizations$151M8.6%
- Other investment advisers$75.0M4.3%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 7reported
- Financial planning clients
- reported
- 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=0.91 institutional_share=0.09 related_bd=false related_bank=true 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••• C•••••• M••••• F••• | Hedge Fund | $1.4B | 118 | Apr 27, 2018 |
| C•••• C•••••• I••••••••• F•••no longer reported | Hedge Fund | $293M | 22 | Apr 6, 2017 |
| C•••• C•••••• F••••••••• M••••• F••• | Hedge Fund | $1.6M | 3 | Feb 19, 2020 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• A••••••• N•• · Chief Investment Officercontrolsince 09/2016 · owns 50% to 75%
- D••••••• W••••••• P••••• · Ceocontrolsince 09/2016 · owns less than 5%
- B••••••• A••••••• N•• · Ownercontrolsince 12/2016 · owns 75% or more of C•••• C•••••• L••••••
Entity owners
- C•••• C•••••• S••••••• L•••••• · Ownerdirect · owns 25% to 50%
- C•••• C•••••• L•••••• · Ownerindirect · owns 75% or more of C•••• C•••••• S••••••• L••••••
Related persons
Schedule D 7.A
- C•••• C•••••• G• L••bankpooled vehicle sponsorn
- C•••• C•••••• L••••••bankpooled vehicle sponsory
- C•••• C•••••• U• I• L••y
- C•••• C•••••• U• I• L••y
- C•••• C•••••• U• L•investment advisernRAUM $1.7B
Advisers that list C•••• C•••••• L•• as a related person
- 322911 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 6 to 7Jun 25, 2025 to Jun 19, 2026
- Advisory employees · 10 to 9Jun 25, 2025 to Jun 19, 2026
- Pooled vehicle clients · 3 to 5Jun 25, 2025 to Jun 19, 2026
- Discretionary RAUM · $1.8B to $1.8BJun 25, 2025 to Jun 19, 2026
- Non-discretionary RAUM · $7.1M to $0Jun 25, 2025 to Jun 19, 2026
- Pooled vehicle RAUM · $1.6B to $1.5BJun 25, 2025 to Jun 19, 2026
- RAUM · $1.8B to $1.8BJun 25, 2025 to Jun 19, 2026
- Advisory employees · 7 to 10Jan 15, 2025 to Jun 25, 2025
- Employees · 16 to 18Jan 15, 2025 to Jun 25, 2025
- Financial planning clients · unset to Jan 15, 2025 to Jun 25, 2025
- Discretionary RAUM · $1.6B to $1.8BJan 15, 2025 to Jun 25, 2025
- Non-discretionary RAUM · $12.7M to $7.1MJan 15, 2025 to Jun 25, 2025
- Pooled vehicle RAUM · $1.4B to $1.6BJan 15, 2025 to Jun 25, 2025
- RAUM · $1.7B to $1.8BJan 15, 2025 to Jun 25, 2025
- HQ state · unset to Jun 27, 2024 to Jan 15, 2025
- Accounts · 8 to 6Jun 27, 2023 to Jun 27, 2024
- Advisory employees · 6 to 7Jun 27, 2023 to Jun 27, 2024
- Pooled vehicle clients · 5 to 3Jun 27, 2023 to Jun 27, 2024
- Employees · 13 to 16Jun 27, 2023 to Jun 27, 2024
- Private funds · 2 to 1Jun 27, 2023 to Jun 27, 2024
- Discretionary RAUM · $1.1B to $1.6BJun 27, 2023 to Jun 27, 2024
- Non-discretionary RAUM · $6.1M to $12.7MJun 27, 2023 to Jun 27, 2024
- Pooled vehicle RAUM · $944M to $1.4BJun 27, 2023 to Jun 27, 2024
- RAUM · $1.1B to $1.7BJun 27, 2023 to Jun 27, 2024
- Accounts · 7 to 8Jun 29, 2022 to Jun 27, 2023
- Advisory employees · 8 to 6Jun 29, 2022 to Jun 27, 2023
- Charity clients · unset to 1.0Jun 29, 2022 to Jun 27, 2023
- Pooled vehicle clients · 6 to 5Jun 29, 2022 to Jun 27, 2023
- Employees · 15 to 13Jun 29, 2022 to Jun 27, 2023
- Discretionary RAUM · $1.3B to $1.1BJun 29, 2022 to Jun 27, 2023
- Non-discretionary RAUM · $0 to $6.1MJun 29, 2022 to Jun 27, 2023
- Pooled vehicle RAUM · $1.2B to $944MJun 29, 2022 to Jun 27, 2023
- RAUM · $1.3B to $1.1BJun 29, 2022 to Jun 27, 2023
- Related adviser · false to trueJun 29, 2022 to Jun 27, 2023
- Advisory employees · 5 to 8May 26, 2021 to Jun 29, 2022
- Employees · 12 to 15May 26, 2021 to Jun 29, 2022
- Discretionary RAUM · $1.4B to $1.3BMay 26, 2021 to Jun 29, 2022
- Pooled vehicle RAUM · $1.3B to $1.2BMay 26, 2021 to Jun 29, 2022
- RAUM · $1.4B to $1.3BMay 26, 2021 to Jun 29, 2022
- Advisory employees · 6 to 5Nov 17, 2020 to May 26, 2021
Signals
5 dated events
- C•••• C•••••• L•• reported RAUM $1.7B, up 50% from $1.1B (2023-06-27 to 2024-06-27)Jun 27, 2024 · RAUM change · derived
- C•••• C•••••• L•• reported RAUM $1.1B, up 45% from $760.5M (2019-06-28 to 2020-02-19)Feb 19, 2020 · RAUM change · derived
- C•••• C•••••• L•• reported RAUM $760.5M, up 113% from $357.4M (2018-06-29 to 2019-06-28)Jun 28, 2019 · RAUM change · derived
- C•••• C•••••• L•• reported RAUM $345.0M, up 336% from $79.0M (2017-04-18 to 2018-04-27)Apr 27, 2018 · RAUM change · derived
- C•••• C•••••• L•• filed its initial SEC registration (Form ADV)Apr 6, 2017 · 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/caius-capital-llpreportedpublic record, Form ADV, Sep 19, 2026
- Website
- C••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- +442071907940reportedpublic record, Form ADV, Jun 19, 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