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•• A•••••••• L••
Latest filing Jul 21, 2026
First filing on the tape Jun 10, 2017 · 15 filings
SEC status approved since Jun 30, 2017
RAUM
$703M
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
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
14
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$703M as of Jul 21, 2026
Mar 30, 2018$307M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Jul 21, 2026
Mar 30, 20182 then
Employees (5.A)14 as of Jul 21, 2026
Mar 30, 20189 then
Private funds14 as of Jul 21, 2026
Mar 30, 20184 then
RAUM +12% over the last fiscal year+26% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 21, 2026; every figure names its basis
- RAUM per advisor
- $352MderivedRAUM 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
- $50.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$703M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 14reported
- 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
13 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••• C•••• C•••••• P••••••• I••• L• | Private Equity Fund | $170M | 60 | Sep 28, 2017 |
| C••••• C•••• C•••••• P••••••• I•• L••• | Private Equity Fund | $161M | 35 | Mar 31, 2022 |
| C••••• C•••• C•••••• P••••••• I•• L••• | Private Equity Fund | $81.0M | 74 | Jul 16, 2012 |
| R• A••••••••• C••••••••• L••• | Private Equity Fund | $12.8M | 2 | Jan 16, 2015 |
| S••••••• 1••• C••••••••• L• | Private Equity Fund | $12.3M | 2 | Mar 31, 2022 |
| S••••••• 1••• B••• L• | Private Equity Fund | $12.2M | 2 | Mar 31, 2022 |
| S••••••• 1••• H•• L• | Private Equity Fund | $8.2M | 2 | Mar 31, 2022 |
| C•••••••• C••••••••• L••• | Private Equity Fund | $6.7M | 2 | Mar 26, 2021 |
| S••••••• 1••• B••••• L• | Private Equity Fund | $6.1M | 2 | Mar 31, 2022 |
| C• C••••••••• L••• | Private Equity Fund | $4.8M | 2 | Jan 16, 2015 |
| S••••••• 1••• S••• L• | Private Equity Fund | $4.3M | 14 | Mar 31, 2022 |
| Y•••• C••••••••• L••• | Private Equity Fund | $3.2M | 2 | Mar 26, 2020 |
| C•••••••• B••••• L••• | Private Equity Fund | $1.3M | 2 | Mar 26, 2021 |
Owners and control persons
Schedule A and B, latest filing
- D••••••••• A••••••• J••••• · Managing Partnercontrolsince 06/2017 · owns less than 5%
- D••••••••• A••••••• J••••• · Sole Ownercontrolsince 06/2017 · owns 75% or more of L•• A•••••••• L••
- B••••••• S••••••• F•••••• · Chief Financial Officer & Chief Compliance Officersince 07/2017 · owns less than 5%
Entity owners
- L•• A•••••••• L•• · Sole Memberdirect · owns 75% or more
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
- Discretionary RAUM · $625M to $703MMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $625M to $703MMar 28, 2025 to Mar 30, 2026
- RAUM · $625M to $703MMar 28, 2025 to Mar 30, 2026
- Accounts · 13 to 14Mar 28, 2024 to Mar 28, 2025
- Advisory employees · 10 to 11Mar 28, 2024 to Mar 28, 2025
- Pooled vehicle clients · 13 to 14Mar 28, 2024 to Mar 28, 2025
- Employees · 13 to 14Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Private funds · 13 to 14Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $484M to $625MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $484M to $625MMar 28, 2024 to Mar 28, 2025
- RAUM · $484M to $625MMar 28, 2024 to Mar 28, 2025
- Advisory employees · 9 to 10Mar 30, 2023 to Mar 28, 2024
- Employees · 12 to 13Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $349M to $484MMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $349M to $484MMar 30, 2023 to Mar 28, 2024
- RAUM · $349M to $484MMar 30, 2023 to Mar 28, 2024
- Employees · 11 to 12Apr 26, 2022 to Mar 30, 2023
- Discretionary RAUM · $349M to $349MApr 26, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $349M to $349MApr 26, 2022 to Mar 30, 2023
- RAUM · $349M to $349MApr 26, 2022 to Mar 30, 2023
- Discretionary RAUM · $317M to $349MMar 31, 2022 to Apr 26, 2022
- Pooled vehicle RAUM · $317M to $349MMar 31, 2022 to Apr 26, 2022
- RAUM · $317M to $349MMar 31, 2022 to Apr 26, 2022
- Accounts · 7 to 13Mar 26, 2021 to Mar 31, 2022
- Advisory employees · 12 to 9Mar 26, 2021 to Mar 31, 2022
- Pooled vehicle clients · 7 to 13Mar 26, 2021 to Mar 31, 2022
- Employees · 14 to 11Mar 26, 2021 to Mar 31, 2022
- Private funds · 7 to 13Mar 26, 2021 to Mar 31, 2022
- Discretionary RAUM · $426M to $317MMar 26, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $426M to $317MMar 26, 2021 to Mar 31, 2022
- RAUM · $426M to $317MMar 26, 2021 to Mar 31, 2022
- Accounts · 5 to 7Apr 22, 2020 to Mar 26, 2021
- Advisory employees · 10 to 12Apr 22, 2020 to Mar 26, 2021
- Pooled vehicle clients · 5 to 7Apr 22, 2020 to Mar 26, 2021
- Employees · 12 to 14Apr 22, 2020 to Mar 26, 2021
- Private funds · 5 to 7Apr 22, 2020 to Mar 26, 2021
- Discretionary RAUM · $381M to $426MApr 22, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $381M to $426MApr 22, 2020 to Mar 26, 2021
- RAUM · $381M to $426MApr 22, 2020 to Mar 26, 2021
Signals
5 dated events
- C•• A•••••••• L•• reported RAUM $625.2M, up 29% from $484.3M (2024-03-28 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- C•• A•••••••• L•• reported RAUM $484.3M, up 39% from $348.6M (2023-03-30 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- C•• A•••••••• L•• reported RAUM $317.0M, down 26% from $425.9M (2021-03-26 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- C•• A•••••••• L•• reported RAUM $307.2M, up 97% from $156.2M (2017-09-28 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
- C•• A•••••••• L•• filed its initial SEC registration (Form ADV)Jun 10, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- C•• A•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- C•••••C••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 512-412-3300reportedpublic record, Form ADV, Jul 21, 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