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••• I••••••••• A••••••• L••••••
Latest filing Mar 31, 2026
First filing on the tape Feb 1, 2018 · 17 filings
SEC status approved since Mar 6, 2018
RAUM
$2.8B
reported, Item 5.F
Discretionary
17%
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
92
76 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$2.8B as of Mar 31, 2026
Mar 29, 2019$0 then
HNW client RAUM$0 as of Mar 31, 2026
Mar 29, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20190 then
Employees (5.A)92 as of Mar 31, 2026
Mar 29, 201932 then
Private funds: 1
RAUM -41% over the last fiscal year+10% 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
- $347MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 17%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -41%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, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $476M, 1 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)
- 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
- Corporations and businesses$2.2B79%
- Pooled investment vehicles$577M21%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $476M for 1 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.21 institutional_share=0.0 related_bd=true 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• E••••••••• C••••• · Chief Compliance Officercontrolsince 01/2018 · owns less than 5%
- G••••••••• J•••••••• S•••• · Chief Executive Officercontrolsince 11/2016 · owns less than 5%
- G••••••••• P••••• G••••• · Chief Financial Officercontrolsince 11/2016 · owns less than 5%
- B•••••• T•••• L••••••• · Managing Membercontrolsince 11/2014 · owns 75% or more of N•• C••••••• L••
- G••••••••• J•••••••• S•••• · Shareholdercontrolsince 12/2015 · owns 75% or more of H•••• I••••••••• L••••••
Entity owners
- C• A• U• H••••••• L•••••• · Shareholderdirect · owns 75% or more
- C••• I••••••••• I• L• · L•••••• Partnerindirect · owns 75% or more of C• A• L•
- C• A• G• L•• · General Partnerindirect · owns F of C• A• L•
- C• A• L• · Memberindirect · owns 75% or more of C• A• U• H••••••• L••••••
- E••••••• C• G• L•• · General Partnerindirect · owns F of C••• I••••••••• I• L•
- E••••••• C• H••••••• L•• · Memberindirect · owns 75% or more of E••••••• C• L• L••
- E••••••• C• L• L•• · L•••••• Partnerindirect · owns 75% or more of C••• I••••••••• I• L•
- E••••••• I••••••••• L•• · Managing Memberindirect · owns 75% or more of E••••••• C• H••••••• L••
- H•••• I••••••••• L•••••• · L•••••• Partnerindirect · owns 25% to 50% of C••• I••••••••• I• L•
- N•• C••••••• L•• · Memberindirect · owns 75% or more of S•• I•••••••• L••
- S•• I•••••••• L•• · Memberindirect · owns 75% or more of E••••••• I••••••••• L••
Related persons
Schedule D 7.A
- C••• I••••••••• E••••••• R••• E••••• O••••••••• F••• I• G• L••••••pooled vehicle sponsorn
- C••• I••••••••• M••••••••• L••••••investment advisern
- C••••••••• I•••real estaten
- C••••••••• I•••••••• C••••••real estaten
- E••••• L••• I•••••••• C••••••real estaten
- F•••• S••••••• B•••••• L••• I•••••••• A•• A•••••• C•••••• O• N•• Y•••real estaten
- J•••••••• B•••••••• S•••••••• L••broker-dealern
- E••••••• Credit A••••••S, LLCinvestment advisernRAUM $8.5B
- P••••••• C•••••• C••••••••• A••••••• L••investment advisernRAUM $263M
- E••••••• S••••••••• Credit A••••••S, LLCinvestment advisernRAUM $11B
- S••••••• B•••••• L••• I•••••••• C••••••real estaten
- S••••••• D••••••••• L••broker-dealern
- S•••• A••••• R••••••••• C•••••••••real estaten
Advisers that list C••• I••••••••• A••••••• L•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- New Y•••, NY21 employees
- Be••••• Hills, CA3 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 31, 2026discretionary share of RAUM moved from 0.0% to 17.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: other advisers, $1B to $5B (247)
- institutional asset share shiftChange between filings · filing Mar 31, 2026institutional share of RAUM moved from 97.0% to 79.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: other advisers, $1B to $5B (247)
- RAUM down 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $4,668,317,721 to $2,774,884,712 (-41.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +11.0% (231 comparable advisers, 3.0th percentile of changes)peers: other advisers, $1B to $5B (231) · 2.6% percentile
What changed
consecutive filings, newest first
- Accounts · 9 to 8Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 75 to 76Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 1 to 2Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $0 to $476MMar 31, 2025 to Mar 31, 2026
- Employees · 107 to 92Mar 31, 2025 to Mar 31, 2026
- Private funds · unset to 1Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $0 to $476MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $4.7B to $2.3BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $157M to $577MMar 31, 2025 to Mar 31, 2026
- RAUM · $4.7B to $2.8BMar 31, 2025 to Mar 31, 2026
- Accounts · 7 to 9Apr 25, 2024 to Mar 31, 2025
- Advisory employees · 69 to 75Apr 25, 2024 to Mar 31, 2025
- Corporate clients · 4 to 6Apr 25, 2024 to Mar 31, 2025
- Employees · 97 to 107Apr 25, 2024 to Mar 31, 2025
- Financial planning clients · unset to Apr 25, 2024 to Mar 31, 2025
- HQ state · unset to Apr 25, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $3.1B to $4.7BApr 25, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $201M to $157MApr 25, 2024 to Mar 31, 2025
- RAUM · $3.1B to $4.7BApr 25, 2024 to Mar 31, 2025
- Advisory employees · 71 to 69Apr 20, 2023 to Mar 28, 2024
- Corporate clients · 3 to 4Apr 20, 2023 to Mar 28, 2024
- Employees · 100 to 97Apr 20, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $2.1B to $3.1BApr 20, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $456M to $201MApr 20, 2023 to Mar 28, 2024
- RAUM · $2.1B to $3.1BApr 20, 2023 to Mar 28, 2024
- Accounts · 3 to 7Nov 3, 2022 to Mar 30, 2023
- Advisory employees · 65 to 71Nov 3, 2022 to Mar 30, 2023
- Corporate clients · 1 to 3Nov 3, 2022 to Mar 30, 2023
- Employees · 81 to 100Nov 3, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $2.8B to $2.1BNov 3, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $360M to $456MNov 3, 2022 to Mar 30, 2023
- RAUM · $2.8B to $2.1BNov 3, 2022 to Mar 30, 2023
- Accounts · 2 to 3Mar 31, 2021 to Mar 31, 2022
- Advisory employees · 41 to 65Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $818,527 to $0Mar 31, 2021 to Mar 31, 2022
- Employees · 53 to 81Mar 31, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $399M to $2.8BMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $271M to $360MMar 31, 2021 to Mar 31, 2022
- RAUM · $399M to $2.8BMar 31, 2021 to Mar 31, 2022
- Accounts · 1 to 2Nov 19, 2020 to Mar 31, 2021
Signals
7 dated events
- C••• I••••••••• A••••••• L•••••• reported RAUM $2.8B, down 41% from $4.7B (2025-03-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- C••• I••••••••• A••••••• L•••••• reported RAUM $4.7B, up 51% from $3.1B (2024-04-25 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- C••• I••••••••• A••••••• L•••••• reported RAUM $3.1B, up 49% from $2.1B (2023-04-20 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- C••• I••••••••• A••••••• L•••••• reported RAUM $2.1B, down 25% from $2.8B (2022-11-03 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- C••• I••••••••• A••••••• L•••••• reported RAUM $2.8B, up 594% from $399.0M (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- C••• I••••••••• A••••••• L•••••• reported RAUM $399.0M, up 74% from $228.9M (2020-11-19 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- C••• I••••••••• A••••••• L•••••• filed its initial SEC registration (Form ADV)Feb 1, 2018 · ria f•••• adv filing · fact
Across DFX
shared identifiers only, never a name match
- C••• I••••••••• A••••••• L•••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/cain-international/posts/?feedView=allreportedpublic record, Form ADV, Sep 18, 2026
- Website
- C•••INT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 44 (0)20 7569 9000reportedpublic 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
- 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