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••••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Apr 17, 2018 · 18 filings
SEC status approved since May 14, 2018
RAUM
$6.4B
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
36
23 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
14
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$6.4B as of Mar 31, 2026
Mar 20, 2019$914M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 20, 20190 then
Employees (5.A)36 as of Mar 31, 2026
Mar 20, 201919 then
Private funds14 as of Mar 31, 2026
Mar 20, 20193 then
RAUM +3.0% over the last fiscal year-5.9% 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
- $305MderivedRAUM 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
- +3.0%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
- $6.4B, 21 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$6.4B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 21reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.4B for 21 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
16 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••• H••••••• ••••••••• L•• | Private Equity Fund | $1.7B | 15 | Jul 10, 2018 |
| C• O••••••••• D••••••• F•••• L• | Private Equity Fund | $1.3B | 780 | Feb 24, 2021 |
| C• O••••••••• O••••••• F•••• L• | Private Equity Fund | $1.3B | 184 | Feb 24, 2021 |
| C••••••• H••••••• L•• | Private Equity Fund | $424M | 21 | Jul 10, 2018 |
| C••••••• R••• E••••• H••••••• I• L• | R••• E••••• Fund | $330M | 22 | Apr 9, 2021 |
| C••••••• H••••••• ••••••••• L•• | Private Equity Fund | $324M | 2 | Jul 10, 2018 |
| C••••••• L•••• L•• | Private Equity Fund | $260M | 7 | Apr 9, 2021 |
| C•• O•• O•• L•no longer reported | Private Equity Fund | $113M | 1 | Feb 24, 2021 |
| C••••••• M•••••• L•• | Private Equity Fund | $97.0M | 3 | Mar 28, 2024 |
| C••••••• H••••••• I••• L• | Private Equity Fund | $1.0M | 3 | Mar 31, 2023 |
| C•• O•• U•• L••no longer reported | Private Equity Fund | $0 | 1 | Feb 24, 2021 |
| C••••••• R••• E••••• H••••••• I• L• | R••• E••••• Fund | $0 | 3 | Mar 28, 2024 |
| C• L•••••• O••••••••• L•• | Private Equity Fund | $0 | 1 | Feb 24, 2021 |
| C••••••• H••••••• I• L• | Private Equity Fund | $0 | 1 | Mar 31, 2023 |
| C••••••• R••• E••••• H••••••• I•• L•no longer reported | R••• E••••• Fund | $0 | 0 | Apr 9, 2021 |
| C••••••• R••• E••••• H••••••• I•• L•no longer reported | R••• E••••• Fund | $0 | 0 | Apr 9, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• H••••• H••••••• · Senior Managing Director And Membercontrolsince 04/2018 · owns 10% to 25%
- F•••••• C••••• M•••••• · Senior Managing Director And Membercontrolsince 04/2018 · owns less than 5%
- L••••••••• T•••••• F•••••••• · Chief Compliance Officer, General Counsel And Managing Directorcontrolsince 04/2018 · owns less than 5%
- O•••••• M••••••• G•••••• · Founder, Senior Managing Director And Membercontrolsince 04/2018 · owns less than 5%
- W•••••• T•••••• J••••• · Chief Financial Officercontrolsince 10/2023 · owns less than 5%
- F•••••• C••••• M•••••• · Shareholdercontrolsince 05/2018 · owns 75% or more of P•••••• C•••••••••
- O•••••• M••••••• G•••••• · Sole Voting Membercontrolsince 03/2016 · owns 75% or more of C••••••••• I••••••••• L••
- O••••• J•••• D•••••• · Membersince 09/2022 · owns 10% to 25%
Entity owners
- C••••••••• I••••••••• L•• · Memberdirect · owns 25% to 50%
- P•••••• C••••••••• · Memberdirect · owns 25% to 50%
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
- Accounts · 22 to 21Mar 18, 2025 to Mar 31, 2026
- Pooled vehicle clients · 22 to 21Mar 18, 2025 to Mar 31, 2026
- Assets in custody · $6.2B to $6.4BMar 18, 2025 to Mar 31, 2026
- Employees · 35 to 36Mar 18, 2025 to Mar 31, 2026
- Private funds · 15 to 14Mar 18, 2025 to Mar 31, 2026
- Discretionary RAUM · $6.2B to $6.4BMar 18, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $6.2B to $6.4BMar 18, 2025 to Mar 31, 2026
- RAUM · $6.2B to $6.4BMar 18, 2025 to Mar 31, 2026
- Accounts · 17 to 22Apr 2, 2024 to Mar 18, 2025
- Pooled vehicle clients · 17 to 22Apr 2, 2024 to Mar 18, 2025
- Assets in custody · $7.6B to $6.2BApr 2, 2024 to Mar 18, 2025
- Financial planning clients · unset to Apr 2, 2024 to Mar 18, 2025
- Discretionary RAUM · $7.6B to $6.2BApr 2, 2024 to Mar 18, 2025
- Pooled vehicle RAUM · $7.6B to $6.2BApr 2, 2024 to Mar 18, 2025
- RAUM · $7.6B to $6.2BApr 2, 2024 to Mar 18, 2025
- Accounts · 15 to 17Mar 31, 2023 to Mar 28, 2024
- Pooled vehicle clients · 15 to 17Mar 31, 2023 to Mar 28, 2024
- Assets in custody · $6.6B to $7.6BMar 31, 2023 to Mar 28, 2024
- Private funds · 13 to 15Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $7.7B to $7.6BMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $7.7B to $7.6BMar 31, 2023 to Mar 28, 2024
- RAUM · $7.7B to $7.6BMar 31, 2023 to Mar 28, 2024
- Accounts · 16 to 15Sep 21, 2022 to Mar 31, 2023
- Advisory employees · 27 to 23Sep 21, 2022 to Mar 31, 2023
- Pooled vehicle clients · 16 to 15Sep 21, 2022 to Mar 31, 2023
- Assets in custody · $6.7B to $6.6BSep 21, 2022 to Mar 31, 2023
- Employees · 36 to 35Sep 21, 2022 to Mar 31, 2023
- Discretionary RAUM · $7.5B to $7.7BSep 21, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $7.5B to $7.7BSep 21, 2022 to Mar 31, 2023
- RAUM · $7.5B to $7.7BSep 21, 2022 to Mar 31, 2023
- Related adviser · true to falseSep 21, 2022 to Mar 31, 2023
- Accounts · 14 to 16Jun 21, 2021 to Mar 31, 2022
- Advisory employees · 24 to 27Jun 21, 2021 to Mar 31, 2022
- Pooled vehicle clients · 14 to 16Jun 21, 2021 to Mar 31, 2022
- Assets in custody · $1.2B to $6.7BJun 21, 2021 to Mar 31, 2022
- Employees · 32 to 36Jun 21, 2021 to Mar 31, 2022
- Private funds · 12 to 13Jun 21, 2021 to Mar 31, 2022
- Discretionary RAUM · $2.3B to $7.5BJun 21, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $2.3B to $7.5BJun 21, 2021 to Mar 31, 2022
- RAUM · $2.3B to $7.5BJun 21, 2021 to Mar 31, 2022
Signals
12 dated events
- J••••• T••••• W••••• (Chief Financial Officer) appeared on Schedule A of C••••••• M••••••••• L••Apr 2, 2024 · Control person joined · fact
- P•••• L•••••• (Chief Financial Officer) no longer on Schedule A of C••••••• M••••••••• L•• (listed 2023-03-31, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- P••• J•••••• N••••••• (Senior Managing Director And Member) no longer on Schedule A of C••••••• M••••••••• L•• (listed 2023-03-31, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- P••• J•••••• N••••••• (Senior Managing Director And Member) appeared on Schedule A of C••••••• M••••••••• L••Sep 21, 2022 · Control person joined · fact
- D•••••• J••• O•••• (Sole Member) appeared on Schedule A of C••••••• M••••••••• L••Sep 21, 2022 · Control person joined · fact
- C••••••• M••••••••• L•• reported RAUM $7.5B, up 224% from $2.3B (2021-06-21 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- P•••• L•••••• (Chief Financial Officer) appeared on Schedule A of C••••••• M••••••••• L••Apr 9, 2021 · Control person joined · fact
- C••••••• M••••••••• L•• reported RAUM $2.2B, up 34% from $1.7B (2020-10-20 to 2021-02-24)Feb 24, 2021 · RAUM change · derived
- C••••••• M••••••••• L•• reported RAUM $1.7B, up 83% from $914.2M (2019-03-20 to 2020-04-24)Apr 24, 2020 · RAUM change · derived
- C••••••• M••••••••• L•• reported RAUM $914.2M, up 42% from $644.0M (2018-07-10 to 2019-03-20)Mar 20, 2019 · RAUM change · derived
- D•••••• J••• O•••• (Partner) no longer on Schedule A of C••••••• M••••••••• L•• (listed 2018-07-10, absent 2019-03-20)Mar 20, 2019 · Control person left · inference
- C••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 17, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C••••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- C••••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 1-212-624-2940reportedpublic 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
Across the graphs
C••••••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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