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•••• O•••• P••••••• M••••••••• L•
Latest filing Aug 28, 2026
First filing on the tape Sep 29, 2016 · 25 filings
SEC status approved since Oct 17, 2016
RAUM
$7.0B
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
39
16 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
18
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$7.0B as of Aug 28, 2026
Mar 31, 2017$157M then
HNW client RAUM$0 as of Aug 28, 2026
Mar 31, 2018$0 then
State-registered IARs (5.B.3)0 as of Aug 28, 2026
Mar 31, 20170 then
Employees (5.A)39 as of Aug 28, 2026
Mar 31, 201714 then
Private funds18 as of Aug 28, 2026
Mar 31, 20173 then
RAUM +44% over the last fiscal year+33% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 28, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- 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
- $176MderivedRAUM 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
- +28%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 pooled vehicles, otherreportedItem 5.G
- Custody
- yesreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- controlled by a public reporting company (10.A)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$7.0B100%
- Insurance companies$7,2540.0%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 40reported
- 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=1.0 institutional_share=0.0 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
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••• O•••• G••••• S•• •• L••• | Hedge Fund | $1.2B | 1 | Sep 5, 2019 |
| C•••• O•••• G•• M••••• F••• L• | Hedge Fund | $621M | 110 | Mar 30, 2019 |
| C•••• O•••• G••••• S•• •• L••• | Hedge Fund | $509M | 1 | Mar 31, 2021 |
| C•••• O•••• U••• M••••• F••• I• •• L• | Hedge Fund | $400M | 134 | Feb 3, 2022 |
| C•••• O•••• U••• F••• I• •• L• | Hedge Fund | $278M | 130 | Jan 5, 2017 |
| C•••• O•••• U••• M••••• F••• I• •• L• | Hedge Fund | $275M | 134 | Feb 3, 2022 |
| C•••• O•••• A••••••• F••• I• ••••• M••••• L• | Hedge Fund | $208M | 97 | Mar 31, 2017 |
| C•••• O•••• G•• M••••• F••• I• •• L• | Hedge Fund | $73.7M | 11 | Nov 11, 2020 |
| C•••• O•••• A••••••• F••• I• ••• M••••• L•no longer reported | Hedge Fund | $35.7M | 7 | Mar 31, 2017 |
| C•••• O•••• U••• S•• I• L• | Hedge Fund | $22.5M | 1 | Mar 31, 2018 |
| C•••• O•••• A••••••• F••• I• ••• M••••• L• | Hedge Fund | $2.4M | 97 | Mar 31, 2018 |
| C•••• O•••• G•• M••••• F••• I• •• L• | Hedge Fund | $738,692 | 11 | Mar 31, 2021 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• A•••••• J••••••• · Global Chief Operating Officer And Chief Financial Officer And L•••••• Partnercontrolsince 08/2016 · owns less than 5%
- G••••••••• G•••••• C••••••• · Ceo And Chief Investment Officercontrolsince 08/2016 · owns less than 5%
- Z•••••• C••••••••• S••••• · Head Of C•••• O•••• Europe, Co-Chief Investment Officer And L•••••• Partnercontrolsince 11/2016 · owns 5% to 10%
- G••••••••• G•••••• C••••••• · Managing Membercontrolsince 05/2015 · owns 75% or more of G• M••••••• L••
- R••••••• N•••••••• C•••••••• · Senior Portfolio Manager, Head Of Research - U.S. And L•••••• Partnersince 11/2016 · owns 10% to 25%
- R••••• M••••••• I•• · U.S. Chief Operating Officer, General Counsel And Chief Compliance Officersince 12/2016 · owns less than 5%
Entity owners
- C•••• O•••• P••••••• M••••••••• G• L•• · General Partnerdirect · owns less than 5%
- G• M••••••• L•• · L•••••• Partnerdirect · owns 25% to 50%
- T•••••• C••• H••••••• L•• · L•••••• Partnerdirect · owns 25% to 50%
- G• M••••••• L•• · Memberindirect · owns 75% or more of C•••• O•••• P••••••• M••••••••• G• L••
- T••• C• H••••••• L• · Memberindirect · owns 25% to 50% of T•••••• C••• H••••••• L••
- T••• P•• C• H••••••• L• · Memberindirect · owns 75% or more of T•••••• C••• I••••••••• L••
- T•••••• C•••••• V•• L••• · General Partnerindirect · owns F of T•••••• V•• L•••
- T•••••• C•••••• V•• L• · General Partnerindirect · owns F of T•••••• V• P••••••• F•••• L•••
- T•••••• C••• I••••••••• L•• · Memberindirect · owns 25% to 50% of T•••••• C••• H••••••• L••
- T•••••• V• P••••••• F•••• L••• · L•••••• Partnerindirect · owns 75% or more of T••• P•• C• H••••••• L•
- T•••••• V•• L••• · L•••••• Partnerindirect · owns 75% or more of T••• C• H••••••• L•
Related persons
Schedule D 7.A
- C•••• O•••• A•••••• •••••••• L••••••investment advisern
- C•••• O•••• A•••••• L••investment adviserbankn
- C•••• O•••• A••••••• F••• I• G• L•investment adviserbankpooled vehicle sponsorn
- C•••• O•••• E•• M••••••••• L••••••investment adviserbankn
- C•••• O•••• G••• I• G• L•investment adviserbankpooled vehicle sponsory
- C•••• O•••• G•• G• L•investment adviserbankpooled vehicle sponsory
- C•••• O•••• U••• G• L•investment adviserbankpooled vehicle sponsory
- C•••• O•••• U••• I• G• L•investment adviserbankpooled vehicle sponsory
- S•••• P•••• C•••••• L••investment adviseryRAUM $68B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 36 to 40Mar 31, 2026 to Aug 28, 2026
- Advisory employees · 14 to 16Mar 31, 2026 to Aug 28, 2026
- Pooled vehicle clients · 34 to 38Mar 31, 2026 to Aug 28, 2026
- Employees · 34 to 39Mar 31, 2026 to Aug 28, 2026
- Private funds · 16 to 18Mar 31, 2026 to Aug 28, 2026
- Discretionary RAUM · $6.3B to $7.0BMar 31, 2026 to Aug 28, 2026
- Pooled vehicle RAUM · $6.3B to $7.0BMar 31, 2026 to Aug 28, 2026
- RAUM · $6.3B to $7.0BMar 31, 2026 to Aug 28, 2026
- Accounts · 28 to 36Feb 26, 2026 to Mar 31, 2026
- Advisory employees · 13 to 14Feb 26, 2026 to Mar 31, 2026
- Pooled vehicle clients · 26 to 34Feb 26, 2026 to Mar 31, 2026
- Employees · 32 to 34Feb 26, 2026 to Mar 31, 2026
- Discretionary RAUM · $4.9B to $6.3BFeb 26, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $4.9B to $6.3BFeb 26, 2026 to Mar 31, 2026
- RAUM · $4.9B to $6.3BFeb 26, 2026 to Mar 31, 2026
- Private funds · 14 to 16Jan 30, 2026 to Feb 26, 2026
- Private funds · 12 to 14Mar 31, 2025 to Jan 30, 2026
- Accounts · 25 to 28Feb 27, 2025 to Mar 31, 2025
- Advisory employees · 11 to 13Feb 27, 2025 to Mar 31, 2025
- Pooled vehicle clients · 23 to 26Feb 27, 2025 to Mar 31, 2025
- Employees · 27 to 32Feb 27, 2025 to Mar 31, 2025
- Financial planning clients · unset to Feb 27, 2025 to Mar 31, 2025
- Private funds · 13 to 12Feb 27, 2025 to Mar 31, 2025
- Discretionary RAUM · $3.8B to $4.9BFeb 27, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $3.7B to $4.9BFeb 27, 2025 to Mar 31, 2025
- RAUM · $3.8B to $4.9BFeb 27, 2025 to Mar 31, 2025
- Private funds · 11 to 13Mar 28, 2024 to Feb 27, 2025
- Accounts · 24 to 25Mar 31, 2023 to Mar 28, 2024
- Advisory employees · 10 to 11Mar 31, 2023 to Mar 28, 2024
- Pooled vehicle clients · 22 to 23Mar 31, 2023 to Mar 28, 2024
- Employees · 26 to 27Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $3.0B to $3.8BMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $2.9B to $3.7BMar 31, 2023 to Mar 28, 2024
- RAUM · $3.0B to $3.8BMar 31, 2023 to Mar 28, 2024
- Employees · 24 to 26Feb 6, 2023 to Mar 31, 2023
- Discretionary RAUM · $2.9B to $3.0BFeb 6, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $2.8B to $2.9BFeb 6, 2023 to Mar 31, 2023
- RAUM · $2.9B to $3.0BFeb 6, 2023 to Mar 31, 2023
- Accounts · 20 to 24Feb 3, 2022 to Mar 31, 2022
- Advisory employees · 12 to 10Feb 3, 2022 to Mar 31, 2022
Signals
8 dated events
- C•••• O•••• P••••••• M••••••••• L• reported RAUM $6.3B, up 28% from $4.9B (2026-02-26 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- C•••• O•••• P••••••• M••••••••• L• reported RAUM $4.9B, up 29% from $3.8B (2025-02-27 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- C•••• O•••• P••••••• M••••••••• L• reported RAUM $3.8B, up 25% from $3.0B (2023-03-31 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Steven Christopher Zander (Head Of Cross Ocean Europe, Co-Chief Investment Officer And Limited Partner) appeared on Schedule A of C•••• O•••• P••••••• M••••••••• L•Feb 3, 2022 · Control person joined · fact
- C•••• O•••• P••••••• M••••••••• L• reported RAUM $2.1B, up 44% from $1.5B (2019-10-28 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- C•••• O•••• P••••••• M••••••••• L• reported RAUM $1.5B, up 132% from $638.7M (2018-03-31 to 2019-03-30)Mar 30, 2019 · RAUM change · derived
- C•••• O•••• P••••••• M••••••••• L• reported RAUM $638.7M, up 306% from $157.2M (2017-03-31 to 2018-03-31)Mar 31, 2018 · RAUM change · derived
- C•••• O•••• P••••••• M••••••••• L• filed its initial SEC registration (Form ADV)Sep 29, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••• O•••• P••••••• M••••••••• L• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/10075112reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 1-203-340-7850reportedpublic record, Form ADV, Aug 28, 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