DFX Intelligence

RIA Intelligence

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SEC-registered adviser

C••••••••• P••••••• I••••••••• M••••••••• L•

Asset manager (funds and pooled vehicles)New York, New YorkCRD 285361SEC 801-118130website IAPD

Latest filing Mar 31, 2026

First filing on the tape Jan 28, 2020 · 10 filings

SEC status approved since Feb 28, 2020

RAUM

$428M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

6 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

10 filings and snapshots on the tape

RAUM$428M as of Mar 31, 2026

Mar 31, 2021$1.0B then

HNW client RAUM$8.3M as of Mar 31, 2023

Mar 31, 2021$50.9M then

State-registered IARs (5.B.3)0 as of Mar 31, 2026

Mar 31, 20210 then

Employees (5.A)6 as of Mar 31, 2026

Mar 31, 20218 then

Private funds4 as of Mar 31, 2026

Mar 31, 20212 then

RAUM +31% over the last fiscal year+40% 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: $71.4MderivedRAUM 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: unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year: +31%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 vehiclesreportedItem 5.G
Custody: $426M, 5 clientsreportedItem 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
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$428M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 6reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $426M for 5 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

Every departure Every arrival

Private funds

7 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
C••••••••• G••••• O••••••••• F••• L•	Hedge Fund	$152M	17	Mar 31, 2023
C••••••••• E••••••• M•••••• M••••• F•••• L•	Hedge Fund	$57.2M	29	Mar 29, 2019
C••••••••• G••••• S••••• E••••• M••••• F•••• L•no longer reported	Hedge Fund	$51.3M	22	Dec 2, 2016
N•• H••• • C••••••••• G••••• O••••••••• H••••••• I•• L••	Private Equity Fund	$29.1M	2	Mar 31, 2022
N•• H••• • C••••••••• G••••• O••••••••• H•••••••• L••	Private Equity Fund	$24.0M	2	Jun 22, 2017
C••••••••• S•••••• S••••••••• F••• I• L••no longer reported	Hedge Fund	$10.1M	3	Mar 29, 2019
C••••••••• C•••• G••••• O••••••••• F••• L•	Hedge Fund	$927,048	3	Mar 31, 2023

Owners and control persons

Schedule A and B, latest filing

G••• H••• N•• · Limited Partnercontrol
since 07/2016 · owns less than 5%
L••• Y•••••• N•• · Limited Partnercontrol
since 07/2016 · owns 5% to 10%
Y•• Q•••• · Chief Compliance Officer/Controllercontrol
since 07/2023 · owns less than 5%
G••• H••• N•• · Managing Membercontrol
since 07/2016 · owns 75% or more of C••• G•• L•••
G••• L•••••••• N•• · Trusteecontrol
since 01/2020 · owns F of G•• F••••• G••••••••• T••••

Entity owners

C••• G•• L••• · General Partner
direct · owns less than 5%
H••• I••••••••• L•• · Limited Partner
direct · owns 50% to 75%
H••• I••••••••• T•••• · Shareholder
indirect · owns 75% or more of H••• I••••••••• L••
W••••••••• S•••••• F••• S••••••• F•• · Trustee
indirect · owns F of H••• I••••••••• T••••
G•• F••••• G••••••••• T•••• · Limited Partner
direct · owns 10% to 25%

Related persons

Schedule D 7.A

C••••••••• P••••••• G• G• L••
bankpooled vehicle sponsorn
N•• H••• • C••••••••• G•• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 8 to 6
Feb 13, 2026 to Mar 31, 2026
Assets in custody · $325M to $426M
Feb 13, 2026 to Mar 31, 2026
Employees · 8 to 6
Feb 13, 2026 to Mar 31, 2026
Private funds · 3 to 4
Feb 13, 2026 to Mar 31, 2026
Discretionary RAUM · $327M to $428M
Feb 13, 2026 to Mar 31, 2026
Pooled vehicle RAUM · $327M to $428M
Feb 13, 2026 to Mar 31, 2026
RAUM · $327M to $428M
Feb 13, 2026 to Mar 31, 2026
Assets in custody · $205M to $325M
Mar 29, 2024 to Mar 30, 2025
Financial planning clients · unset to
Mar 29, 2024 to Mar 30, 2025
Other offices · 0 to 1
Mar 29, 2024 to Mar 30, 2025
Discretionary RAUM · $206M to $327M
Mar 29, 2024 to Mar 30, 2025
Pooled vehicle RAUM · $206M to $327M
Mar 29, 2024 to Mar 30, 2025
RAUM · $206M to $327M
Mar 29, 2024 to Mar 30, 2025
Accounts · 11 to 6
Jul 5, 2023 to Mar 29, 2024
Advisory employees · 9 to 8
Jul 5, 2023 to Mar 29, 2024
Advisory activities · 2 to 1
Jul 5, 2023 to Mar 29, 2024
Pooled vehicle clients · 9 to 6
Jul 5, 2023 to Mar 29, 2024
Assets in custody · $148M to $205M
Jul 5, 2023 to Mar 29, 2024
Employees · 9 to 8
Jul 5, 2023 to Mar 29, 2024
Private funds · 5 to 3
Jul 5, 2023 to Mar 29, 2024
Discretionary RAUM · $157M to $206M
Jul 5, 2023 to Mar 29, 2024
HNW RAUM · 8304883.0 to unset
Jul 5, 2023 to Mar 29, 2024
Pooled vehicle RAUM · $148M to $206M
Jul 5, 2023 to Mar 29, 2024
RAUM · $157M to $206M
Jul 5, 2023 to Mar 29, 2024
Accounts · 9 to 11
Mar 31, 2022 to Mar 31, 2023
Pooled vehicle clients · 7 to 9
Mar 31, 2022 to Mar 31, 2023
Assets in custody · $130M to $148M
Mar 31, 2022 to Mar 31, 2023
Other offices · 1 to 0
Mar 31, 2022 to Mar 31, 2023
Private funds · 3 to 5
Mar 31, 2022 to Mar 31, 2023
Discretionary RAUM · $141M to $157M
Mar 31, 2022 to Mar 31, 2023
HNW RAUM · $11.6M to $8.3M
Mar 31, 2022 to Mar 31, 2023
Pooled vehicle RAUM · $130M to $148M
Mar 31, 2022 to Mar 31, 2023
RAUM · $141M to $157M
Mar 31, 2022 to Mar 31, 2023
Accounts · 7 to 9
Apr 27, 2021 to Mar 31, 2022
Advisory employees · 8 to 9
Apr 27, 2021 to Mar 31, 2022
Advisory activities · 3 to 2
Apr 27, 2021 to Mar 31, 2022
HNW clients · 1.0 to unset
Apr 27, 2021 to Mar 31, 2022
Pooled vehicle clients · 5 to 7
Apr 27, 2021 to Mar 31, 2022
Assets in custody · $229M to $130M
Apr 27, 2021 to Mar 31, 2022
Employees · 8 to 9
Apr 27, 2021 to Mar 31, 2022

Signals

14 dated events

C••••••••• P••••••• I••••••••• M••••••••• L• reported RAUM $428.4M, up 31% from $326.6M (2026-02-13 to 2026-03-31)
Mar 31, 2026 · ria raum c••••e · derived
C••••••••• P••••••• I••••••••• M••••••••• L• reported RAUM $326.6M, up 58% from $206.4M (2024-03-29 to 2025-03-30)
Mar 30, 2025 · ria raum c••••e · derived
Nmn J•••••• J•••• (President/Ceo/Secretary) no longer on Schedule A of C••••••••• P••••••• I••••••••• M••••••••• L• (listed 2023-07-05, absent 2024-03-29)
Mar 29, 2024 · Control person left · inference
Nmn Chang Liu (Shareholder) no longer on Schedule A of C••••••••• P••••••• I••••••••• M••••••••• L• (listed 2023-07-05, absent 2024-03-29)
Mar 29, 2024 · Control person left · inference
Nmn Yonghao Liu (Shareholder) no longer on Schedule A of C••••••••• P••••••• I••••••••• M••••••••• L• (listed 2023-07-05, absent 2024-03-29)
Mar 29, 2024 · Control person left · inference
Nmn Wei Li (President/Ceo/Secretary) no longer on Schedule A of C••••••••• P••••••• I••••••••• M••••••••• L• (listed 2023-07-05, absent 2024-03-29)
Mar 29, 2024 · Control person left · inference
Qijie Yu (Chief Compliance Officer/Controller) appeared on Schedule A of C••••••••• P••••••• I••••••••• M••••••••• L•
Jul 5, 2023 · Control person joined · fact
C••••••••• P••••••• I••••••••• M••••••••• L• reported RAUM $141.3M, down 86% from $1.0B (2021-04-27 to 2022-03-31)
Mar 31, 2022 · ria raum c••••e · derived
Nmn Chang Liu (Shareholder) appeared on Schedule A of C••••••••• P••••••• I••••••••• M••••••••• L•
Mar 31, 2021 · Control person joined · fact
J•••••• J•••• (President/Ceo/Secretary) appeared on Schedule A of C••••••••• P••••••• I••••••••• M••••••••• L•
Mar 31, 2021 · Control person joined · fact
C••••••••• P••••••• I••••••••• M••••••••• L• reported RAUM $1.0B, up 1096% from $85.5M (2020-01-28 to 2021-03-31)
Mar 31, 2021 · ria raum c••••e · derived
Nmn Yonghao Liu (Shareholder) appeared on Schedule A of C••••••••• P••••••• I••••••••• M••••••••• L•
Mar 31, 2021 · Control person joined · fact
Wei Li (President/Ceo/Secretary) appeared on Schedule A of C••••••••• P••••••• I••••••••• M••••••••• L•
Mar 31, 2021 · Control person joined · fact
C••••••••• P••••••• I••••••••• M••••••••• L• filed its initial SEC registration (Form ADV)
Jan 28, 2020 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

C••••••••• P••••••• I••••••••• M••••••••• L• · Independent Sponsors
shared crd · capital_provider
C••••••••• P••••••• I••••••••• M••••••••• L• · Private Equity
shared crd · organization

How to reach

public business contact points only, each with its source

Website: w••.c••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 212-603-9860reportedpublic 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