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•••••••• L••
Latest filing Mar 10, 2026
First filing on the tape Jun 18, 2018 · 53 filings
SEC status approved since Jul 19, 2018
RAUM
$14B
reported, Item 5.F
Discretionary
20%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$1.3B
derived; firm RAUM over IAPD count
Employees
40
11 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
53 filings and snapshots on the tape
RAUM$14B as of Mar 10, 2026
Mar 31, 2019$260M then
HNW client RAUM: no history
State-registered IARs (5.B.3)11 as of Mar 10, 2026
Mar 31, 20196 then
Employees (5.A)40 as of Mar 10, 2026
Mar 31, 20199 then
Private funds: no history
RAUM +31% over the last fiscal year+35% a year over threeIARs 14 to 11
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
- RAUM per advisor
- $1.3BderivedRAUM 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
- $63.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 20%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.6derivedItem 5.A over advisors
- Advisors per office
- 3.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- -21%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $1.6B, 7 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 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
- Corporations and businesses$11B98%
- Pooled investment vehicles$217M1.9%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 218reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.6B for 7 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.02 institutional_share=0.0 related_bd=true related_bank=false bd_reps=22.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••• S•••• C••••• | Lake Mary, Fl | Aug 10, 2018 | 34 y | 2 |
| B••••• W••••• K••• | Lake Mary, Fl | Aug 16, 2018 | 43 y | 2 |
| R••••• W• L•••••Chartered Financial Analyst | Lake Mary, Fl | Sep 24, 2018 | 26 y | 2 |
| M••••• A•••• M•••••Chartered Financial Analyst | Lake Mary, Fl | Oct 8, 2018 | 42 y | 2 |
| T••••• A•••• C•••Chartered Financial Analyst | Lake Mary, Fl | Feb 5, 2020 | 14 y | 3 |
| S•••• J••• S••••• | Braintree, Ma | Oct 21, 2020 | 26 y | 0 |
| M•••••• A•••••• P•••••Chartered Financial Consultant | Albany, Ny | Oct 26, 2020 | 15 y | 2 |
| B••• P•••••• W•••Certified Financial Planner, Chartered Financial Consultant | Apex, Nc | Mar 22, 2022 | 21 y | 3 |
| K•••••• P••• S•••••Chartered Financial Analyst | Lake Mary, Fl | Jun 8, 2022 | 11 y | 0 |
| D•••• M••••• B••• | Frisco, Tx | Oct 21, 2022 | 38 y | 2 |
| J•••• R•••••• F•••••• | Lake Mary, Fl | Jan 5, 2026 | 19 y | 3 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- P••••• B••••••• K••• to N•••••• G•••• C••••••••• L••Nov 1, 2022 · Other
- G•••••• S•••• C••••• to V•••••• A•••••••• I•••Mar 2, 2021 · Other
Joined, latest
- J•••• R•••••• F•••••• from M•••••• I••••••••• L••Jan 5, 2026 · Other
- D•••• M••••• B••• from N•••••• G•••• C••••••••• L••Oct 21, 2022 · Other
- B••• P•••••• W••• from P•••••••• S••••••••• I•••Mar 22, 2022 · Other
- P••••• B••••••• K••• from N•••••• G•••• C••••••••• L••Nov 12, 2020 · Other
- M•••••• A•••••• P••••• from W••••••• S••••••••• A•••••••• L••Oct 26, 2020 · Other
- T••••• A•••• C••• from V•••••• A•••••••• I•••Feb 5, 2020 · Other
- G•••••• S•••• C••••• from L••• S••••• A•••••••• L••Aug 21, 2019 · Other
- M••••• A•••• M••••• from T•• N•••••• G•••• O• N•••• C•••••••• I•••Oct 8, 2018 · Other
- R••••• W• L••••• from T•• B•••••• G••••Sep 24, 2018 · Other
- B••••• W••••• K••• from V•••••• A•••••••• I•••Aug 16, 2018 · RIA to a newly registered adviser
- P•••• S•••• C••••• from V•••••• A•••••••• I•••Aug 10, 2018 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from V•••••• A•••••••• I•••Aug 28, 2018 · Heathrow, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• P••••• S•••• · Ceocontrolsince 12/2017 · owns 75% or more
- K•••• B•••••• W••••• · Chief Compliance Officercontrolsince 06/2018 · owns less than 5%
- M•••••• M•••••• A•••• · Chief Investment Officercontrolsince 07/2018 · owns less than 5%
- C•••••• P••••• S•••• · Membercontrolsince 07/2018 · owns 75% or more of C•••••••• F••••••••• I•••
Entity owners
- C•••••••• F••••••••• I••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- C•••••••• S••••••••• I•••broker-dealerreal estaten
Advisers that list C•••••••• L•• as a related person
- 163577 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lake Mary, Fl · principal | 11 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Braintree, MA1 employees
- Latham, NY1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 10, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-31, yes on the filing of 2026-03-10peers: other advisers, $5B to $20B (134)
- i••••••••• asset share shiftChange between filings · filing Mar 10, 2026institutional share of RAUM moved from 24.0% to 82.0% between the annual amendments of 2025-03-31 and 2026-03-10peers: other advisers, $5B to $20B (134)
What changed
consecutive filings, newest first
- Accounts · 86 to 218Mar 31, 2025 to Mar 10, 2026
- Advisory employees · 14 to 11Mar 31, 2025 to Mar 10, 2026
- BD registered reps · 19 to 22Mar 31, 2025 to Mar 10, 2026
- Corporate clients · 77 to 121Mar 31, 2025 to Mar 10, 2026
- Pooled vehicle clients · unset to 1.0Mar 31, 2025 to Mar 10, 2026
- Assets in custody · $216M to $1.6BMar 31, 2025 to Mar 10, 2026
- Custody of client assets · false to trueMar 31, 2025 to Mar 10, 2026
- Employees · 33 to 40Mar 31, 2025 to Mar 10, 2026
- State-registered IARs · 14 to 11Mar 31, 2025 to Mar 10, 2026
- Discretionary RAUM · $2.5B to $2.8BMar 31, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $8.1B to $11BMar 31, 2025 to Mar 10, 2026
- Pooled vehicle RAUM · unset to 216672704.0Mar 31, 2025 to Mar 10, 2026
- RAUM · $11B to $14BMar 31, 2025 to Mar 10, 2026
- Pooled vehicle clients · 1.0 to unsetJun 27, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Jun 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $2.1B to $2.5BJun 27, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $5.3B to $8.1BJun 27, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · 160085193.0 to unsetJun 27, 2024 to Mar 31, 2025
- RAUM · $7.4B to $11BJun 27, 2024 to Mar 31, 2025
- Accounts · 140 to 86Mar 30, 2024 to Jun 27, 2024
- Assets in custody · $0 to $216MMar 30, 2024 to Jun 27, 2024
- Discretionary RAUM · $2.0B to $2.1BMar 30, 2024 to Jun 27, 2024
- Non-discretionary RAUM · $5.1B to $5.3BMar 30, 2024 to Jun 27, 2024
- Pooled vehicle RAUM · $155M to $160MMar 30, 2024 to Jun 27, 2024
- RAUM · $7.1B to $7.4BMar 30, 2024 to Jun 27, 2024
- Accounts · 113 to 140Jul 27, 2023 to Mar 30, 2024
- Advisory employees · 11 to 14Jul 27, 2023 to Mar 30, 2024
- BD registered reps · 18 to 19Jul 27, 2023 to Mar 30, 2024
- Corporate clients · 70 to 77Jul 27, 2023 to Mar 30, 2024
- Assets in custody · $27.1M to $0Jul 27, 2023 to Mar 30, 2024
- Custody of client assets · true to falseJul 27, 2023 to Mar 30, 2024
- Employees · 30 to 33Jul 27, 2023 to Mar 30, 2024
- Other offices · 0 to 2Jul 27, 2023 to Mar 30, 2024
- Discretionary RAUM · $1.9B to $2.0BJul 27, 2023 to Mar 30, 2024
- Non-discretionary RAUM · $3.7B to $5.1BJul 27, 2023 to Mar 30, 2024
- Pooled vehicle RAUM · $117M to $155MJul 27, 2023 to Mar 30, 2024
- RAUM · $5.6B to $7.1BJul 27, 2023 to Mar 30, 2024
- Accounts · 81 to 113Mar 29, 2022 to Mar 30, 2023
- Advisory employees · 14 to 11Mar 29, 2022 to Mar 30, 2023
- BD registered reps · 22 to 18Mar 29, 2022 to Mar 30, 2023
Signals
7 dated events
- C•••••••• L•• reported RAUM $13.9B, up 31% from $10.6B (2025-03-31 to 2026-03-10)Mar 10, 2026 · RAUM change · derived
- C•••••••• L•• reported RAUM $10.6B, up 43% from $7.4B (2024-06-27 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- C•••••••• L•• reported RAUM $7.1B, up 27% from $5.6B (2023-07-27 to 2024-03-30)Mar 30, 2024 · RAUM change · derived
- P••••• B••••••• K••• left C•••••••• L•• for N•••••• G•••• C••••••••• L•• (registered 2022-11-08)Nov 1, 2022 · Advisor changed firm · fact
- C•••••••• L•• reported RAUM $3.9B, up 100% from $1.9B (2020-07-13 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- C•••••••• L•• reported RAUM $1.9B, up 649% from $260.0M (2020-01-22 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- C•••••••• F•••••••• L•• filed its initial SEC registration (Form ADV)Jun 18, 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
- Firm profile
- linkedin.com/company/capacuityreportedpublic record, Form ADV, Sep 18, 2026
- Website
- C••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (407) 949-6889reportedpublic record, Form ADV, Mar 10, 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
- $1.3Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026