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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Former SEC-registered adviser
C••••••••• V•••••••• L••
Latest filing May 22, 2018
First filing on the tape Sep 21, 2017 · 3 filings
RAUM
$49.3M
reported, Item 5.F
Discretionary
87%
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$43.1M gross assets
History
3 filings and snapshots on the tape
RAUM$49.3M as of May 22, 2018
Sep 21, 2017$37.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 22, 2018
Sep 21, 20170 then
Employees (5.A)2 as of May 22, 2018
Sep 21, 20171 then
Private funds1 as of May 22, 2018
Feb 22, 20182 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 22, 2018; 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
- $24.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $49.3M, 1 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$43.1M87%
- Corporations and businesses$6.2M13%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $49.3M for 1 clientsreported
- Compensation
- fixed, performancereported
- Class basis
- absent from the latest SEC rosterderived
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 |
|---|---|---|---|---|
| E••• S••••• L• | Venture Capital Fund | $647M | 3 | Dec 17, 2018 |
| E••• V•••••••• L••• | Venture Capital Fund | $178M | 1 | Apr 1, 2024 |
| C••••• S••• L•• | Venture Capital Fund | $29.5M | 39 | Mar 31, 2023 |
| N•••• G•••••• L•• | Venture Capital Fund | $20.5M | 15 | Mar 31, 2023 |
| N•••• C••••••••• L•• • I••••••••• S••••• 1• | Venture Capital Fund | $12.7M | 16 | Mar 31, 2022 |
| N•••• C••••••••• • I••••••••• S••••• 1• | Venture Capital Fund | $12.7M | 16 | Mar 31, 2023 |
| C••••••••• V•••••••• L• | Venture Capital Fund | $11.2M | 2 | Feb 22, 2018 |
| N•••• G••••• L•• | Other Private Fund | $10.2M | 11 | Feb 22, 2018 |
| N•••• C••••••••• L•• • I••••••••• S••••• 2• | Venture Capital Fund | $9.2M | 29 | Mar 31, 2022 |
| N•••• C••••••••• • I••••••••• S••••• 2• | Venture Capital Fund | $9.2M | 29 | Mar 31, 2023 |
| C••••• S•• I•• L•• | Venture Capital Fund | $6.5M | 12 | Mar 31, 2023 |
| N•••• G••••• I•• L•• | Venture Capital Fund | $4.8M | 7 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- O••••• N•••• Y••••• · Owner And Ccocontrolsince 06/2013 · owns 75% or more
- O••••• N•••• Y••••• · Managing Membercontrolsince 06/2013 · owns 75% or more of C••••••••• Ventures, Gp, LLC
Entity owners
- C••••••••• V•••••••• G•• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 3 to 2Feb 22, 2018 to May 22, 2018
- Pooled vehicle clients · 2 to 1Feb 22, 2018 to May 22, 2018
- Assets in custody · unset to 49349742.0Feb 22, 2018 to May 22, 2018
- Custody of client assets · false to trueFeb 22, 2018 to May 22, 2018
- Private funds · 2 to 1Feb 22, 2018 to May 22, 2018
- Discretionary RAUM · $53.4M to $43.1MFeb 22, 2018 to May 22, 2018
- Pooled vehicle RAUM · $53.4M to $43.1MFeb 22, 2018 to May 22, 2018
- RAUM · $59.6M to $49.3MFeb 22, 2018 to May 22, 2018
- Related adviser · true to falseFeb 22, 2018 to May 22, 2018
- Accounts · 1 to 3Sep 21, 2017 to Feb 22, 2018
- Advisory employees · 1 to 2Sep 21, 2017 to Feb 22, 2018
- Corporate clients · unset to 1.0Sep 21, 2017 to Feb 22, 2018
- Pooled vehicle clients · unset to 2.0Sep 21, 2017 to Feb 22, 2018
- Assets in custody · 37500000.0 to unsetSep 21, 2017 to Feb 22, 2018
- Custody of client assets · true to falseSep 21, 2017 to Feb 22, 2018
- Employees · 1 to 2Sep 21, 2017 to Feb 22, 2018
- HQ city · unset to NEW YORKSep 21, 2017 to Feb 22, 2018
- HQ state · unset to NYSep 21, 2017 to Feb 22, 2018
- Other offices · unset to 0.0Sep 21, 2017 to Feb 22, 2018
- Private funds · unset to 2Sep 21, 2017 to Feb 22, 2018
- Discretionary RAUM · $37.5M to $53.4MSep 21, 2017 to Feb 22, 2018
- Non-discretionary RAUM · $0 to $6.2MSep 21, 2017 to Feb 22, 2018
- Pooled vehicle RAUM · unset to 53385946.0Sep 21, 2017 to Feb 22, 2018
- RAUM · $37.5M to $59.6MSep 21, 2017 to Feb 22, 2018
Signals
1 dated events
- C••••••••• V•••••••• L•• filed its initial SEC registration (Form ADV)Sep 21, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C••••••••• V•••••••• L•• · Venture Capitalshared crd · organization
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
- Former SEC-registered adviserderiveda 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