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
N•• C•••• C•••••• M••••••••• C••••
Latest filing May 6, 2026
First filing on the tape Mar 27, 2023 · 8 filings
SEC status approved since Apr 28, 2023
RAUM
$234M
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
2
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$234M as of May 6, 2026
May 8, 2023$353M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 6, 2026
May 8, 20230 then
Employees (5.A)4 as of May 6, 2026
May 8, 20234 then
Private funds2 as of May 6, 2026
May 8, 20232 then
RAUM -13% over the last fiscal year-13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 6, 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
- $117MderivedRAUM 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
- -13%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
- $212M, 2 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$234M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $212M for 2 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=true 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••• C•••••• H••••••• I••• L••• | Private Equity Fund | $203M | 70 | Nov 8, 2013 |
| C••••• O••••••••• F•••• L••• | Private Equity Fund | $37.0M | 38 | Mar 25, 2022 |
Owners and control persons
Schedule A and B, latest filing
- E••• A••••• H• · Controllercontrolsince 01/2011 · owns less than 5%
- S•••••••• R•••••• J•••• · Chief Compliance Officercontrolsince 10/2018 · owns less than 5%
- W•••••••• P•••• S••••• · Chairman, President And Shareholdercontrolsince 05/2013 · owns 50% to 75%
- S••••••• S•••••• D••••• · Trustee And Beneficiarycontrolsince 09/2103 · owns 75% or more of S• D••••• S•••••• 2••• R•••••••• T••••
Entity owners
- T•••• C••••• M••••••••• L•• · Shareholderdirect · owns 50% to 75%
- S• D••••• S•••••• 2••• R•••••••• T•••• · Sole Memberindirect · owns 75% or more of T•••• C••••• M••••••••• L••
Related persons
Schedule D 7.A
- C••••• C•••••• I•• M••••• G•• L•••pooled vehicle sponsory
- C••••• C•••••• I• M••••• G•• L••pooled vehicle sponsory
- P••••• P••••••• A••••••• L•investment adviserbankpooled vehicle sponsorn
- P••••• P••••••• M••••••••• C••••••investment adviserbankpooled vehicle sponsorn
Advisers that list N•• C•••• C•••••• M••••••••• C•••• as a related person
- 138460 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $229M to $212MMay 8, 2025 to Mar 31, 2026
- Discretionary RAUM · $268M to $234MMay 8, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $268M to $234MMay 8, 2025 to Mar 31, 2026
- RAUM · $268M to $234MMay 8, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to May 8, 2025
- Assets in custody · $240M to $229MMay 1, 2024 to Mar 31, 2025
- Discretionary RAUM · $279M to $268MMay 1, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $279M to $268MMay 1, 2024 to Mar 31, 2025
- RAUM · $279M to $268MMay 1, 2024 to Mar 31, 2025
- Assets in custody · $308M to $240MMay 8, 2023 to Mar 25, 2024
- Discretionary RAUM · $353M to $279MMay 8, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $353M to $279MMay 8, 2023 to Mar 25, 2024
- RAUM · $353M to $279MMay 8, 2023 to Mar 25, 2024
Signals
1 dated events
- N•• C•••• C•••••• M••••••••• C•••• filed its initial SEC registration (Form ADV)Mar 27, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- N•• C•••• C•••••• M••••••••• C•••• · Independent Sponsorsshared crd · capital_provider
- N•• C•••• C•••••• M••••••••• C•••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- cathay-capital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-328-1800reportedpublic record, Form ADV, May 6, 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