DFX Intelligence
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SEC-registered adviser
C•••• C•••••• M••••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Sep 4, 2017 · 16 filings
SEC status approved since Sep 26, 2017
RAUM
$103M
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
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$103M as of Mar 31, 2026
Jan 26, 2018$33.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Jan 26, 20180 then
Employees (5.A)4 as of Mar 31, 2026
Jan 26, 20184 then
Private funds2 as of Mar 31, 2026
Jan 26, 20182 then
RAUM -18% over the last fiscal year-6.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $17.1MderivedRAUM 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
- -18%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
- Custody
- $103M, 6 clientsreportedItem 9.A
- 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
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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 hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$103M100%
- 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
- $103M for 6 clientsreported
- 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••• C•••••• E•••••• M••••• F•••• L• | Hedge Fund | $50.0M | 2 | Jan 26, 2018 |
| C•••• C•••••• M•••• M••••• F•••• L• | Hedge Fund | $18.8M | 2 | Mar 31, 2021 |
| C•••• C•••••• M•••••• F••• G•• L•• | Hedge Fund | $1.5M | 3 | Jan 26, 2018 |
Owners and control persons
Schedule A and B, latest filing
- R•••••• A•••• J•••• · Chief Investment Officer/Chief Compliance Officer/Partnercontrolsince 01/2017 · owns 75% or more
- S••••• A•••••••• N•• · Partnercontrolsince 01/2023 · owns 5% to 10%
- T••••••••• C•••• L••••••• · Partnercontrolsince 01/2019 · owns 10% to 25%
- R•••••• A•••• J•••• · Ownercontrolsince 07/2017 · owns 75% or more of C•••• C•••••• M••••••••• G•• L••
Entity owners
- C•••• C•••••• M••••••••• G•• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- C•••• C•••••• F••• G•• L••pooled vehicle sponsorn
- C•••• C•••••• M••••••••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 10 to 6Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 3 to 2Mar 31, 2025 to Mar 31, 2026
- Advisory activities · 2 to 1Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $72.3M to $103MMar 31, 2025 to Mar 31, 2026
- Employees · 5 to 4Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $124M to $103MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $72.3M to $103MMar 31, 2025 to Mar 31, 2026
- RAUM · $124M to $103MMar 31, 2025 to Mar 31, 2026
- Assets in custody · $68.8M to $72.3MMar 27, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $115M to $124MMar 27, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $68.8M to $72.3MMar 27, 2024 to Mar 31, 2025
- RAUM · $115M to $124MMar 27, 2024 to Mar 31, 2025
- Related adviser · false to trueMar 27, 2024 to Mar 31, 2025
- Related bank · true to falseMar 27, 2024 to Mar 31, 2025
- Accounts · 9 to 10Oct 9, 2023 to Mar 27, 2024
- Pooled vehicle clients · 7 to 6Oct 9, 2023 to Mar 27, 2024
- Assets in custody · $62.0M to $68.8MOct 9, 2023 to Mar 27, 2024
- Employees · 6 to 5Oct 9, 2023 to Mar 27, 2024
- Private funds · 3 to 2Oct 9, 2023 to Mar 27, 2024
- Discretionary RAUM · $104M to $115MOct 9, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $19.3M to $0Oct 9, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $62.0M to $68.8MOct 9, 2023 to Mar 27, 2024
- RAUM · $123M to $115MOct 9, 2023 to Mar 27, 2024
- Accounts · 10 to 9Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $315M to $62.0MMar 31, 2022 to Mar 31, 2023
- Employees · 5 to 6Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $315M to $104MMar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $0 to $19.3MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $83.2M to $62.0MMar 31, 2022 to Mar 31, 2023
- RAUM · $315M to $123MMar 31, 2022 to Mar 31, 2023
- Advisory employees · 5 to 3Mar 31, 2021 to Mar 31, 2022
- Pooled vehicle clients · 8 to 7Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $10.7M to $315MMar 31, 2021 to Mar 31, 2022
- Employees · 7 to 5Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $233M to $315MMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $78.2M to $83.2MMar 31, 2021 to Mar 31, 2022
- RAUM · $233M to $315MMar 31, 2021 to Mar 31, 2022
- Accounts · 6 to 10Sep 23, 2020 to Mar 31, 2021
- Advisory employees · 4 to 5Sep 23, 2020 to Mar 31, 2021
Signals
5 dated events
- Nmn Amitaabh Sahai (Partner) appeared on Schedule A of C•••• C•••••• M••••••••• L•Mar 27, 2024 · Control person joined · fact
- C•••• C•••••• M••••••••• L• reported RAUM $123.3M, down 61% from $315.4M (2022-03-31 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- C•••• C•••••• M••••••••• L• reported RAUM $233.1M, up 105% from $113.9M (2020-09-23 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Laurence Chad Tappendorf (Partner, Limited Partner) appeared on Schedule A of C•••• C•••••• M••••••••• L•Mar 30, 2020 · Control person joined · fact
- A••••••••• A•••• M•••••• filed its initial SEC registration (Form ADV)Sep 4, 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.
How to reach
public business contact points only, each with its source
- Website
- C••••CAPITALLLC.COMreportedpublic record, Form ADV, Mar 31, 2026
- Principal office phone
- 212-388-9833reportedpublic record, Form ADV, Mar 31, 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