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•••••• G•••• L••
Latest filing Mar 24, 2026
First filing on the tape Oct 12, 2021 · 10 filings
SEC status approved since Nov 12, 2021
RAUM
$331M
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
14
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$331M as of Mar 24, 2026
Mar 31, 2022$300M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 31, 20220 then
Employees (5.A)14 as of Mar 24, 2026
Mar 31, 202214 then
Private funds6 as of Mar 24, 2026
Mar 31, 20226 then
RAUM +44% over the last fiscal year+10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 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
- $55.2MderivedRAUM 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
- +44%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
- 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 testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$331M100%
- 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
- noreported
- Compensation
- % of AUM, 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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••• C•••••• I•• L• | Venture Capital Fund | $105M | 85 | Mar 31, 2022 |
| C•••••• C•••••• I• L• | Venture Capital Fund | $69.3M | 44 | Nov 8, 2016 |
| C•••••• C•••••• I• A•••• C••••••• V• L• | Venture Capital Fund | $39.5M | 51 | Mar 26, 2019 |
| C•••••• M••••••• L• | Venture Capital Fund | $33.0M | 85 | Mar 31, 2022 |
| R••• S•••• L• | Other Private Fund | $6.0M | 8 | Jan 10, 2018 |
| R••• S•••• I• L• | Other Private Fund | $4.9M | 13 | Mar 31, 2022 |
| C•••••• C•••••• I• A•••• C••••••• I• L•no longer reported | Venture Capital Fund | $0 | 0 | Mar 26, 2019 |
Owners and control persons
Schedule A and B, latest filing
- F•••••• S•••••• M•••••• · Trusteecontrolsince 05/2002 · owns F of S••••• M• F••••• R•••••••• T•••• D•••• 5••••••••
- Y••••• S••• D••••• · Trusteecontrolsince 12/2011 · owns F of S•• D••••• Y•••• R•••••••• T•••• U•• 1•••••••••
- B••••• T•••••• D••••• · Chief Compliance Officersince 09/2021 · owns less than 5%
Entity owners
- S•• D••••• Y•••• R•••••••• T•••• U•• 1••••••••• · Memberdirect · owns 50% to 75%
- S••••• M• F••••• R•••••••• T•••• D•••• 5•••••••• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- C•••••• C•••••• I• A•••• C••••••• G• L••pooled vehicle sponsorn
- C•••••• C•••••• I• G• L••pooled vehicle sponsorn
- C•••••• C•••••• I•• G• L••pooled vehicle sponsorn
- C•••••• M••••••• G• L••pooled vehicle sponsorn
- R••• S•••• I• L••pooled vehicle sponsorn
- R••• S•••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5 to 6Mar 20, 2025 to Mar 24, 2026
- Pooled vehicle clients · 5 to 6Mar 20, 2025 to Mar 24, 2026
- Private funds · 5 to 6Mar 20, 2025 to Mar 24, 2026
- Discretionary RAUM · $231M to $331MMar 20, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $231M to $331MMar 20, 2025 to Mar 24, 2026
- RAUM · $231M to $331MMar 20, 2025 to Mar 24, 2026
- Accounts · 6 to 5Mar 27, 2024 to Mar 20, 2025
- Advisory employees · 11 to 12Mar 27, 2024 to Mar 20, 2025
- Pooled vehicle clients · 6 to 5Mar 27, 2024 to Mar 20, 2025
- Assets in custody · 0.0 to unsetMar 27, 2024 to Mar 20, 2025
- Custody of client assets · true to falseMar 27, 2024 to Mar 20, 2025
- Employees · 13 to 14Mar 27, 2024 to Mar 20, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 20, 2025
- Private funds · 6 to 5Mar 27, 2024 to Mar 20, 2025
- Discretionary RAUM · $258M to $231MMar 27, 2024 to Mar 20, 2025
- Pooled vehicle RAUM · $258M to $231MMar 27, 2024 to Mar 20, 2025
- RAUM · $258M to $231MMar 27, 2024 to Mar 20, 2025
- Advisory employees · 12 to 11Apr 27, 2023 to Mar 27, 2024
- Employees · 14 to 13Apr 27, 2023 to Mar 27, 2024
- Discretionary RAUM · $247M to $258MApr 27, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $247M to $258MApr 27, 2023 to Mar 27, 2024
- RAUM · $247M to $258MApr 27, 2023 to Mar 27, 2024
- Discretionary RAUM · $284M to $247MAug 29, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $284M to $247MAug 29, 2022 to Mar 30, 2023
- RAUM · $284M to $247MAug 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $300M to $284MMar 31, 2022 to May 11, 2022
- Pooled vehicle RAUM · $300M to $284MMar 31, 2022 to May 11, 2022
- RAUM · $300M to $284MMar 31, 2022 to May 11, 2022
- Accounts · 3 to 6Oct 15, 2021 to Mar 31, 2022
- Advisory employees · 7 to 12Oct 15, 2021 to Mar 31, 2022
- Pooled vehicle clients · 3 to 6Oct 15, 2021 to Mar 31, 2022
- Employees · 8 to 14Oct 15, 2021 to Mar 31, 2022
- Private funds · 3 to 6Oct 15, 2021 to Mar 31, 2022
- Discretionary RAUM · $151M to $300MOct 15, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $151M to $300MOct 15, 2021 to Mar 31, 2022
- RAUM · $151M to $300MOct 15, 2021 to Mar 31, 2022
- Private funds · 6 to 3Oct 12, 2021 to Oct 15, 2021
Signals
3 dated events
- C•••••• G•••• L•• reported RAUM $331.5M, up 44% from $230.7M (2025-03-20 to 2026-03-24)Mar 24, 2026 · RAUM change · derived
- C•••••• G•••• L•• reported RAUM $300.1M, up 99% from $150.9M (2021-10-15 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- C•••••• G•••• L•• filed its initial SEC registration (Form ADV)Oct 12, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••••• G•••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/4810890reportedpublic record, Form ADV, Sep 18, 2026
- Website
- C••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-952-1654reportedpublic record, Form ADV, Mar 24, 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