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•••
Legal name C•••• C•••••• M••••••••• L••
Latest filing May 8, 2026
First filing on the tape Sep 19, 2018 · 23 filings
SEC status approved since Oct 15, 2018
RAUM
$513M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
9
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$513M as of May 8, 2026
Feb 8, 2019$31.5M then
HNW client RAUM$0 as of May 8, 2026
Feb 8, 2019$0 then
State-registered IARs (5.B.3)2 as of May 8, 2026
Feb 8, 20190 then
Employees (5.A)2 as of May 8, 2026
Feb 8, 20196 then
Private funds9 as of May 8, 2026
Feb 8, 20191 then
RAUM +12% over the last fiscal year+7.0% a year over threeIARs 2 to 2
Practice profile
derived from the filing of May 8, 2026; every figure names its basis
- RAUM per advisor
- $257MderivedRAUM 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
- $39.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- 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)
- 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$513M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 13reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
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
- Y• L• to C••••• I••••••••• A••••••• L••Oct 22, 2021 · Other
Joined, latest
- Y• L• from C•••••••• G••••• M•••••• I•••Jan 7, 2021 · Other
Private funds
13 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F•••••• R••••••• C••••• L• I•no longer reported | Private Equity Fund | $223M | 447 | Mar 25, 2022 |
| N•• Y••• R••••••• C••••• L• V• | Private Equity Fund | $89.5M | 179 | Mar 31, 2023 |
| N•• Y••• R••••••• C••••• L• I• | Private Equity Fund | $32.4M | 65 | Mar 31, 2023 |
| P••• R••••••• C•••••• L• X••• | Private Equity Fund | $21.5M | 43 | Mar 22, 2024 |
| P••• R••••••• C•••••• L• X••••• | Private Equity Fund | $14.0M | 28 | Mar 22, 2024 |
| L•• A•••••• C••••• R••••••• C••••• V•• L• | Private Equity Fund | $4.5M | 9 | Mar 22, 2024 |
| N•• Y••• M••••••••• R••••••• C••••• L• I•no longer reported | Private Equity Fund | $3.0M | 6 | Mar 30, 2021 |
| H••••• R••••••• C•••••• L• 1• | Private Equity Fund | $2.9M | 6 | Mar 30, 2021 |
| P••••••••• R••••••• C••••• L• V••• | Private Equity Fund | $2.5M | 5 | Mar 25, 2022 |
| P••• R••••••• C•••••• L• X••• | Private Equity Fund | $2.0M | 4 | Mar 30, 2021 |
| P••• R••••••• C•••••• L• X••••no longer reported | Private Equity Fund | $1.5M | 4 | Mar 30, 2021 |
| P••••••••• R••••••• C•••••• L• V••no longer reported | Real Estate Fund | $1.5M | 3 | Feb 8, 2019 |
| P••• R••••••• C••••• L• X••no longer reported | Private Equity Fund | $0 | 0 | Mar 30, 2021 |
Owners and control persons
Schedule A and B, latest filing
- C••••••••• P••••• W•••••• · Chief Executive Officercontrolsince 08/2021 · owns less than 5%
- G•••••• W•••••• S•••••• · General Counsel And Chief Legal Officercontrolsince 12/2022 · owns less than 5%
- I•••••••• F••••• T••• · Chief Compliance Officercontrolsince 02/2024 · owns less than 5%
- R••••••••• T••••• •••• · Managing Membercontrolsince 08/2018 · owns 75% or more of C•••• C•• H•••••••• L••
Entity owners
- C•••• C•• H•••••••• L•• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- C•••• C•••••• P•••••••• L••pooled vehicle sponsorn
- C•••• E••••••••• L••pooled vehicle sponsorn
- C•••• F•••••• R••••••• C•••••• L••pooled vehicle sponsorn
- C•••• G•••••• W••••••••• R••••••• C•••••• L••pooled vehicle sponsorn
- C•••• H••••• R••••••• C•••••• L••pooled vehicle sponsorn
- C•••• I••••••• S•••••••• L••broker-dealern
- C•••• L•• A•••••• C••••• R••••••• C•••••• L••pooled vehicle sponsorn
- C•••• L•• A•••••• R••••••• C•••••• L••pooled vehicle sponsorn
- C•••• M•••••• R••••••• C•••••• L••pooled vehicle sponsorn
- C•••• M••••••• S••••• R••••••• C•••••• L••pooled vehicle sponsorn
- C•••• N•• Y••• M••••••••• R••••••• C•••••• L••pooled vehicle sponsorn
- C•••• N•••••••• R••••••• C•••••• L••pooled vehicle sponsorn
- C•••• P••••••••• R••••••• C•••••• L••pooled vehicle sponsorn
- C•••• P••• R••••••• C•••••• L••pooled vehicle sponsorn
- C•••• T•••• R••••••• C•••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 12 to 13Aug 4, 2025 to Mar 27, 2026
- Pooled vehicle clients · 12 to 13Aug 4, 2025 to Mar 27, 2026
- Private funds · 8 to 9Aug 4, 2025 to Mar 27, 2026
- Discretionary RAUM · $460M to $513MAug 4, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $460M to $513MAug 4, 2025 to Mar 27, 2026
- RAUM · $460M to $513MAug 4, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 0Mar 27, 2025 to Aug 4, 2025
- Accounts · 11 to 12May 6, 2024 to Mar 27, 2025
- Pooled vehicle clients · 11 to 12May 6, 2024 to Mar 27, 2025
- Discretionary RAUM · $459M to $460MMay 6, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $459M to $460MMay 6, 2024 to Mar 27, 2025
- RAUM · $459M to $460MMay 6, 2024 to Mar 27, 2025
- Accounts · 8 to 11Feb 15, 2024 to Mar 22, 2024
- Pooled vehicle clients · 8 to 11Feb 15, 2024 to Mar 22, 2024
- Commission compensation · true to falseFeb 15, 2024 to Mar 22, 2024
- Private funds · 5 to 8Feb 15, 2024 to Mar 22, 2024
- Discretionary RAUM · $419M to $459MFeb 15, 2024 to Mar 22, 2024
- Pooled vehicle RAUM · $419M to $459MFeb 15, 2024 to Mar 22, 2024
- RAUM · $419M to $459MFeb 15, 2024 to Mar 22, 2024
- Accounts · 6 to 8Mar 25, 2022 to Mar 31, 2023
- Pooled vehicle clients · 6 to 8Mar 25, 2022 to Mar 31, 2023
- Private funds · 6 to 5Mar 25, 2022 to Mar 31, 2023
- Discretionary RAUM · $239M to $419MMar 25, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $239M to $419MMar 25, 2022 to Mar 31, 2023
- RAUM · $239M to $419MMar 25, 2022 to Mar 31, 2023
- Advisory employees · 3 to 2Jan 4, 2022 to Mar 25, 2022
- BD registered reps · 3 to 2Jan 4, 2022 to Mar 25, 2022
- Employees · 3 to 2Jan 4, 2022 to Mar 25, 2022
- Financial planning clients · 1-10 to 0Jan 4, 2022 to Mar 25, 2022
- State-registered IARs · 3 to 2Jan 4, 2022 to Mar 25, 2022
- Private funds · 5 to 6Jan 4, 2022 to Mar 25, 2022
- Discretionary RAUM · $152M to $239MJan 4, 2022 to Mar 25, 2022
- Pooled vehicle RAUM · $152M to $239MJan 4, 2022 to Mar 25, 2022
- RAUM · $152M to $239MJan 4, 2022 to Mar 25, 2022
- Accounts · 5 to 6Jun 22, 2020 to Mar 30, 2021
- Pooled vehicle clients · 5 to 6Jun 22, 2020 to Mar 30, 2021
- State-registered IARs · 0 to 3Jun 22, 2020 to Mar 30, 2021
- Private funds · unset to 5Jun 22, 2020 to Mar 30, 2021
- Discretionary RAUM · $29.6M to $152MJun 22, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $29.6M to $152MJun 22, 2020 to Mar 30, 2021
Signals
7 dated events
- Todd Frank Ingraham (Chief Compliance Officer) appeared on Schedule A of CacmFeb 15, 2024 · Control person joined · fact
- Cacm reported RAUM $418.6M, up 75% from $239.3M (2022-03-25 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- B Gary Stern (General Counsel And Chief Legal Officer) no longer on Schedule A of Cacm (listed 2022-03-25, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Solomon Walter Gindin (General Counsel And Chief Legal Officer) appeared on Schedule A of CacmMar 31, 2023 · Control person joined · fact
- Todd Frank Ingraham (Chief Compliance Officer) appeared on Schedule A of CacmJan 4, 2022 · Control person joined · fact
- Allan Jeffrey Decicco (Chief Executive Officer) no longer on Schedule A of Cacm (listed 2021-06-18, absent 2021-08-30)Aug 30, 2021 · Control person left · inference
- C•••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Sep 19, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-668-0697reportedpublic record, Form ADV, May 8, 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••• 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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