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•••••• C•••••• M•••••••••
Legal name C•••••• C•••••• M••••••••• L••
Latest filing Feb 18, 2022
First filing on the tape Aug 10, 2017 · 9 filings
RAUM
$28.9M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$28.9M as of Mar 31, 2021
Mar 30, 2018$30.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Mar 30, 20180 then
Employees (5.A)1 as of Mar 31, 2021
Mar 30, 20184 then
Private funds: no history
RAUM +10% over the last fiscal year-1.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 18, 2022; 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
- $14.5MderivedRAUM 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
- +10%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 businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 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$28.9M100%
- 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
- noreported
- Compensation
- % of AUM, 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••••• D••••• S•••••• · Ceo, President, Cco, And Managing Membercontrolsince 05/2017 · owns less than 5%
- F••••••••• K••••••• M• · 100% Owner, Member, And Managing Membercontrolsince 04/2016 · owns 75% or more of C•••••• Capital N••••••, LLC
Entity owners
- C•••••• C•••••• N•••••• L•• · 100% Owner & Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- C•••••• C•••••• S•••••••• L••investment advisern
- C•••••• F•••••••• G••••• L••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $26.3M to $28.9MMar 23, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $26.3M to $28.9MMar 23, 2020 to Mar 31, 2021
- RAUM · $26.3M to $28.9MMar 23, 2020 to Mar 31, 2021
- Advisory employees · 3 to 1Jun 27, 2019 to Mar 23, 2020
- Employees · 4 to 1Jun 27, 2019 to Mar 23, 2020
- Discretionary RAUM · $29.6M to $26.3MJun 27, 2019 to Mar 23, 2020
- Pooled vehicle RAUM · $29.6M to $26.3MJun 27, 2019 to Mar 23, 2020
- RAUM · $29.6M to $26.3MJun 27, 2019 to Mar 23, 2020
- Assets in custody · 29646101.0 to unsetMar 30, 2019 to Jun 27, 2019
- Custody of client assets · true to falseMar 30, 2019 to Jun 27, 2019
- Assets in custody · $30.4M to $29.6MMar 30, 2018 to Mar 30, 2019
- Discretionary RAUM · $30.4M to $29.6MMar 30, 2018 to Mar 30, 2019
- Pooled vehicle RAUM · $30.4M to $29.6MMar 30, 2018 to Mar 30, 2019
- RAUM · $30.4M to $29.6MMar 30, 2018 to Mar 30, 2019
- Pooled vehicle clients · unset to 2.0Sep 6, 2017 to Jan 5, 2018
- Other offices · unset to 0.0Sep 6, 2017 to Jan 5, 2018
- Private funds · 2 to unsetSep 6, 2017 to Jan 5, 2018
- Pooled vehicle RAUM · unset to 30404900.0Sep 6, 2017 to Jan 5, 2018
Signals
1 dated events
- C•••••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)Aug 10, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Across the graphs
C•••••• C•••••• M••••••••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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