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
G••• C••• C•••••• M••••••••• L••
Latest filing Mar 13, 2026
First filing on the tape Jul 20, 2017 · 11 filings
SEC status approved since Aug 21, 2017
RAUM
$254M
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
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$254M as of Mar 13, 2026
Mar 21, 2018$34.9M then
HNW client RAUM: $16.5M
State-registered IARs (5.B.3)0 as of Mar 13, 2026
Mar 21, 20180 then
Employees (5.A)4 as of Mar 13, 2026
Mar 21, 20183 then
Private funds1 as of Mar 13, 2026
Mar 21, 20181 then
RAUM +17% over the last fiscal year+21% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 13, 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
- $84.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 51%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
- +17%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 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$130M62%
- Pooled investment vehicles$80.1M38%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- 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=0.32 institutional_share=0.51 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G••• C••• C•••••• P•••••••• L•• | Hedge Fund | $61.3M | 82 | Jul 20, 2017 |
Owners and control persons
Schedule A and B, latest filing
- K••••••• C•••• M•••••• · Cfo, Coo, And Ccocontrolsince 08/2017 · owns less than 5%
- M••••• M••••••• T••••• · Managing Membercontrolsince 05/2014 · 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 · $216M to $254MMar 27, 2025 to Feb 13, 2026
- Pooled vehicle RAUM · $71.0M to $80.1MMar 27, 2025 to Feb 13, 2026
- RAUM · $216M to $254MMar 27, 2025 to Feb 13, 2026
- Financial planning clients · unset to Mar 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $196M to $216MMar 28, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $61.3M to $71.0MMar 28, 2024 to Mar 27, 2025
- RAUM · $196M to $216MMar 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $143M to $196MMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $43.3M to $61.3MMar 30, 2023 to Mar 28, 2024
- RAUM · $143M to $196MMar 30, 2023 to Mar 28, 2024
- Advisory employees · 3 to 4Mar 28, 2022 to Mar 30, 2023
- Employees · 3 to 4Mar 28, 2022 to Mar 30, 2023
- Discretionary RAUM · $121M to $143MMar 28, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $35.2M to $43.3MMar 28, 2022 to Mar 30, 2023
- RAUM · $121M to $143MMar 28, 2022 to Mar 30, 2023
- Accounts · 4 to 3Mar 10, 2021 to Mar 28, 2022
- Discretionary RAUM · $67.1M to $121MMar 10, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $21.2M to $35.2MMar 10, 2021 to Mar 28, 2022
- RAUM · $67.1M to $121MMar 10, 2021 to Mar 28, 2022
- Advisory activities · 3 to 2Apr 1, 2020 to Mar 10, 2021
- Discretionary RAUM · $58.4M to $67.1MApr 1, 2020 to Mar 10, 2021
- HNW RAUM · 16517445.0 to unsetApr 1, 2020 to Mar 10, 2021
- Pooled vehicle RAUM · $19.2M to $21.2MApr 1, 2020 to Mar 10, 2021
- RAUM · $58.4M to $67.1MApr 1, 2020 to Mar 10, 2021
- Discretionary RAUM · $44.6M to $58.4MMar 27, 2019 to Apr 1, 2020
- HNW RAUM · unset to 16517445.0Mar 27, 2019 to Apr 1, 2020
- Individual RAUM · 8802660.0 to unsetMar 27, 2019 to Apr 1, 2020
- Pooled vehicle RAUM · $16.0M to $19.2MMar 27, 2019 to Apr 1, 2020
- RAUM · $44.6M to $58.4MMar 27, 2019 to Apr 1, 2020
- Accounts · 3 to 4Mar 21, 2018 to Mar 27, 2019
- Discretionary RAUM · $34.9M to $44.6MMar 21, 2018 to Mar 27, 2019
- Individual RAUM · $6.4M to $8.8MMar 21, 2018 to Mar 27, 2019
- Pooled vehicle RAUM · $14.4M to $16.0MMar 21, 2018 to Mar 27, 2019
- RAUM · $34.9M to $44.6MMar 21, 2018 to Mar 27, 2019
- Advisory employees · 2 to 3Jul 20, 2017 to Mar 21, 2018
- Pooled vehicle clients · unset to 1.0Jul 20, 2017 to Mar 21, 2018
- Employees · 2 to 3Jul 20, 2017 to Mar 21, 2018
- Other offices · unset to 0.0Jul 20, 2017 to Mar 21, 2018
- Discretionary RAUM · $25.0M to $34.9MJul 20, 2017 to Mar 21, 2018
- Individual RAUM · unset to 6384390.0Jul 20, 2017 to Mar 21, 2018
Signals
1 dated events
- G••• C••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jul 20, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- G••• C••• C•••••• M••••••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Website
- G•••C•••CAP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 312-825-1228reportedpublic record, Form ADV, Mar 13, 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
- Other 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