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•••••• R••• A•••• M•••••••••
Legal name C•••••• R••• A•••• M••••••••• L•
Latest filing Mar 31, 2026
First filing on the tape May 8, 2018 · 15 filings
SEC status approved since Jun 8, 2018
RAUM
$17B
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
37
16 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
3
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$17B as of Mar 31, 2026
Mar 27, 2019$379M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 27, 20190 then
Employees (5.A)37 as of Mar 31, 2026
Mar 27, 201915 then
Private funds3 as of Mar 31, 2026
Mar 27, 20193 then
RAUM +39% over the last fiscal year+24% a year over threeIARs 0 to 0offices 4 to 2
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
- $4.1BderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +39%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 vehicles, otherreportedItem 5.G
- Custody
- $14B, 3 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$14B100%
- Individual clients
- 0reported
- HNW clients
- n/areported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $14B for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.83 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
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••• R••• C••••• M••••• F•••• L••• | Hedge Fund | $9.5B | 240 | Mar 19, 2012 |
| C••••• R••• C••••• F•••• L••• | Hedge Fund | $2.1B | 204 | Mar 19, 2012 |
| C••••• R••• C••••• P•••••••• L• | Hedge Fund | $340M | 34 | Mar 19, 2012 |
| C••••• R••• C•••••••• M••••• M••••• F•••• L••• | Hedge Fund | $194M | 30 | Sep 16, 2021 |
| C••••• R••• C•••••••• M••••• F•••• L••• | Hedge Fund | $99.4M | 22 | Sep 16, 2021 |
| C••••• R••• C•••••••• M••••• P•••••••• L• | Hedge Fund | $28.9M | 8 | Sep 16, 2021 |
| C••••• R••• C••••• O••••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $270,656 | 0 | Mar 19, 2012 |
| C••••• R••• C••••• O••••••••• F•••• L•••no longer reported | Hedge Fund | $190,672 | 0 | Mar 19, 2012 |
| C••••• R••• C••••• O••••••••• P•••••••• L•no longer reported | Hedge Fund | $79,984 | 0 | Mar 19, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• N•••• A••••• · Chief Financial Officercontrolsince 01/2021 · owns less than 5%
- C••••••• B••••• J••• · Chief Risk Officercontrolsince 09/2017 · owns 10% to 25%
- D••••• T•••• F•••••• · Chief Compliance Officercontrolsince 05/2018 · owns less than 5%
- F••••• S•••• P•••••• · Co-Chief Investment Officercontrolsince 09/2017 · owns 25% to 50%
- L••••• C••••••• O••••••• · Portfolio Managercontrolsince 05/2018 · owns 5% to 10%
- R••••• B••••• P•••• · Chief Executive Officercontrolsince 09/2017 · owns 25% to 50%
- R••••• J••••• M•••••• · Co-Chief Investment Officercontrolsince 08/2018 · owns 25% to 50%
- F••••• S•••• P•••••• · Membercontrolsince 09/2017 · owns F of C•••••• R••• A•••• M••••••••• G•• L••
- R••••• B••••• P•••• · Membercontrolsince 09/2017 · owns F of C•••••• R••• A•••• M••••••••• G•• L••
- R••••• J••••• M•••••• · Membercontrolsince 08/2018 · owns 25% to 50% of C•••••• R••• A•••• M••••••••• G•• L••
Entity owners
- C•••••• R••• A•••• M••••••••• G•• L•• · General Partnerdirect · owns less than 5%
- C•••••• R••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- C•••••• R••• G•• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Pacific Palisades, CA1 employees
- Vero Beach, FL
- Washington Depot, CT
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 31, 2026bank affiliate (Item 7.A.6): yes on the filing of 2025-03-27, no on the filing of 2026-03-31peers: asset managers, $5B to $20B (684)
- office count dropChange between filings · filing Mar 31, 2026offices other than the principal office (Item 1.F.5) moved from 4.0 to 2.0 (-50.0%) between the annual amendments of 2025-03-27 and 2026-03-31; the peer median change was 0.0% (136 comparable advisers, 1.0th percentile of changes)peers: asset managers, $5B to $20B (136) · 1.5% percentile
What changed
consecutive filings, newest first
- Accounts · 5 to 4Mar 27, 2025 to Mar 31, 2026
- Advisory employees · 20 to 16Mar 27, 2025 to Mar 31, 2026
- Assets in custody · $9.4B to $14BMar 27, 2025 to Mar 31, 2026
- Employees · 35 to 37Mar 27, 2025 to Mar 31, 2026
- Other offices · 4 to 2Mar 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $12B to $17BMar 27, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $9.4B to $14BMar 27, 2025 to Mar 31, 2026
- RAUM · $12B to $17BMar 27, 2025 to Mar 31, 2026
- Related bank · true to falseMar 27, 2025 to Mar 31, 2026
- Accounts · 4 to 5Mar 27, 2024 to Mar 27, 2025
- Advisory employees · 18 to 20Mar 27, 2024 to Mar 27, 2025
- Assets in custody · $9.5B to $9.4BMar 27, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 27, 2025
- Other offices · 3 to 4Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $12B to $12BMar 27, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $9.5B to $9.4BMar 27, 2024 to Mar 27, 2025
- RAUM · $12B to $12BMar 27, 2024 to Mar 27, 2025
- Accounts · 5 to 4Mar 31, 2023 to Mar 27, 2024
- Advisory employees · 11 to 18Mar 31, 2023 to Mar 27, 2024
- Pooled vehicle clients · 6 to 3Mar 31, 2023 to Mar 27, 2024
- Assets in custody · $5.8B to $9.5BMar 31, 2023 to Mar 27, 2024
- Employees · 23 to 35Mar 31, 2023 to Mar 27, 2024
- Other offices · 2 to 3Mar 31, 2023 to Mar 27, 2024
- Private funds · 6 to 3Mar 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $8.6B to $12BMar 31, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $5.8B to $9.5BMar 31, 2023 to Mar 27, 2024
- RAUM · $8.6B to $12BMar 31, 2023 to Mar 27, 2024
- Accounts · 8 to 5Mar 30, 2022 to Mar 31, 2023
- Advisory employees · 10 to 11Mar 30, 2022 to Mar 31, 2023
- Assets in custody · $3.4B to $5.8BMar 30, 2022 to Mar 31, 2023
- Employees · 20 to 23Mar 30, 2022 to Mar 31, 2023
- Other offices · 1 to 2Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $5.0B to $8.6BMar 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $3.4B to $5.8BMar 30, 2022 to Mar 31, 2023
- RAUM · $5.0B to $8.6BMar 30, 2022 to Mar 31, 2023
- Assets in custody · $4.3B to $3.4BOct 20, 2021 to Mar 30, 2022
- Employees · 19 to 20Oct 20, 2021 to Mar 30, 2022
- Discretionary RAUM · $5.8B to $5.0BOct 20, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $4.3B to $3.4BOct 20, 2021 to Mar 30, 2022
- RAUM · $5.8B to $5.0BOct 20, 2021 to Mar 30, 2022
Signals
10 dated events
- C•••••• R••• A•••• M••••••••• reported RAUM $16.5B, up 39% from $11.9B (2025-03-27 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- C•••••• R••• A•••• M••••••••• reported RAUM $12.4B, up 44% from $8.6B (2023-03-31 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- C•••••• R••• A•••• M••••••••• reported RAUM $8.6B, up 72% from $5.0B (2022-03-30 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- C•••••• R••• A•••• M••••••••• reported RAUM $5.8B, up 49% from $3.9B (2021-05-18 to 2021-09-16)Sep 16, 2021 · RAUM change · derived
- Bryan Carroll (Chief Risk Officer) appeared on Schedule A of C•••••• R••• A•••• M•••••••••Mar 31, 2021 · Control person joined · fact
- C•••••• R••• A•••• M••••••••• reported RAUM $3.9B, up 384% from $802.7M (2020-09-10 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Andrew Neil Berman (Chief Financial Officer) appeared on Schedule A of C•••••• R••• A•••• M•••••••••Mar 31, 2021 · Control person joined · fact
- Cameron Lewis (Portfolio Manager) appeared on Schedule A of C•••••• R••• A•••• M•••••••••Mar 31, 2021 · Control person joined · fact
- C•••••• R••• A•••• M••••••••• reported RAUM $802.7M, up 112% from $379.2M (2019-03-27 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- C•••••• R••• A•••• M••••••••• filed its initial SEC registration (Form ADV)May 8, 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.
How to reach
public business contact points only, each with its source
- Website
- C••••••R•••AM.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-888-1433reportedpublic 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