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•• N••••• A•••••••• L••
Latest filing Aug 1, 2018
First filing on the tape Mar 29, 2018 · 2 filings
RAUM
$51.4M
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
494
181 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$51.4M as of Aug 1, 2018
Mar 29, 2018$51.4M then
HNW client RAUM$0 as of Aug 1, 2018
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Aug 1, 2018
Mar 29, 20180 then
Employees (5.A)494 as of Aug 1, 2018
Mar 29, 2018494 then
Private funds: no history
Practice profile
derived from the filing of Aug 1, 2018; 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
- $51.4MderivedRAUM 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
- unknownderived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $51.4M, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$51.4M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $51.4M for 1 clientsreported
- Compensation
- % of AUMreported
- 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
- B••••••• T•••••• J••••• · Chairmancontrolsince 08/2017 · owns less than 5%
- H•••••••• M•••• M••••• · Vice Presidentcontrolsince 08/2017 · owns less than 5%
- S•••••••• R••••••• B•••• · Chief Executive Officercontrolsince 08/2017 · owns less than 5%
- S••••••• R•••••• M••• · Vice President And Secretarycontrolsince 08/2017 · owns less than 5%
- T•••••• D•••••• J•••• · Vice President And Treasurercontrolsince 08/2017 · owns less than 5%
- W••••••• K••••••• A•• · Chief Compliance Officercontrolsince 03/2017 · owns less than 5%
Entity owners
- C•• A•••••• H•••••••• L•• · Memberdirect · owns 75% or more
- C••••• C•••••• I••••••••• A•••••••• L•• · Sole Member, C•• A•••••• H•••••••• L••direct · owns 75% or more
- C••••• C•••••• I••••••••• H•••••• L•• · Sole Member, C••••• C•••••• I••••••••• A•••••••• L••direct · owns 75% or more
- C••••• C•••••• O• S••••••••• L•• · Sole Member, C••••• C•••••• I••••••••• H•••••• L••direct · owns 75% or more
- C••••• C•••••• O•••••••• C••••••• L•• · Sole Member, C••••• C•••••• O• S••••••••• L••direct · owns 75% or more
- C••••• C•••••• I••••••••• A•••••••• L•• · Memberindirect · owns 75% or more of C•• A•••••• H•••••••• L•• · public reporting company
- C••••• C•••••• I••••••••• H•••••• L•• · Memberindirect · owns 75% or more of C••••• C•••••• I••••••••• A•••••••• L••
- C••••• C•••••• O• S••••••••• L•• · Memberindirect · owns 75% or more of C••••• C•••••• I••••••••• H•••••• L••
- C••••• C•••••• O•••••••• C••••••• L•• · Memberindirect · owns 75% or more of C••••• C•••••• O• S••••••••• L••
- C••••• C••••••• I••• · Memberindirect · owns 75% or more of C••••• C•••••• O•••••••• C••••••• L•• · public reporting company
Related persons
Schedule D 7.A
- Capra Credit Management, LLCinvestment advisernRAUM $45.1M
- C••• I• I••••••••• A••••••• L••investment advisern
- C••• M••••••• L••investment advisernRAUM $6.2B
- C•• C•••••• P•••• A••••••• L••investment advisern
- C•• C•••••• P•••• G•• L••pooled vehicle sponsorn
- C•• F••• A•••••••• L••investment advisern
- C•• N•• A•••••••• L••investment advisern
- C•• N••• A•••••••• L••investment advisern
- C•• N•• A•••••••• L••investment advisern
- C•• O•• C•• P•••• G•• L••pooled vehicle sponsorn
- C•• O•• C•• P•••• I••••••••• A••••••• L••investment advisern
- C•• R••• A•••••••• L••investment advisernRAUM $30.2M
- C•• T••• A•••••••• L••investment advisern
- C•• I••••• I•••• S•••••investment adviserpooled vehicle sponsorn
- C••••••••• G•• L••pooled vehicle sponsorn
- C•••••• S•••••••• P••••••• I••• L••pooled vehicle sponsorn
- C•••••• S•••••••• P•••••••• L••pooled vehicle sponsorn
- C••••• C••••• G•••••• P••••••• L••pooled vehicle sponsorn
- C•••••• S•••••••• P•••••••• L••pooled vehicle sponsorn
- C••••• A••• C••••••••• G•••••• L••pooled vehicle sponsorn
- C••••• B•••• C••••••••• G•••••• L••pooled vehicle sponsorn
- C••••• C•••••• ••••••••• N•••• V•••• L••pooled vehicle sponsorn
- C••••• C•••••• ••••••••• V•••• L••pooled vehicle sponsorn
- C••••• C•••••• ••• V•••• L••pooled vehicle sponsorn
- C••••• C•••••• A•••••••• L••investment advisern
- C••••• C•••••• C••••• I•• L•••pooled vehicle sponsorn
- C••••• C•••••• C••••• I••• L•••pooled vehicle sponsorn
- C••••• C•••••• C••••• I•• L••pooled vehicle sponsorn
- C••••• C•••••• C•••••• L•••pooled vehicle sponsorn
- C••••• C•••••• F•••• F••• G•• L••pooled vehicle sponsorn
Advisers that list C•• N••••• A•••••••• L•• as a related person
- 284532 n
Offices
Schedule D 1.F, the 25 largest
- New York, NY37 employees
- Dallas, TX22 employees
- Boston, MA9 employees
- Irvine, CA2 employees
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
- C•• N••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 29, 2018 · 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