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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
3• C•••••• M••••••••• L•
Latest filing Mar 27, 2026
First filing on the tape Jun 29, 2021 · 7 filings
SEC status approved since Jul 30, 2021
RAUM
$246M
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
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$246M as of Mar 27, 2026
Mar 31, 2022$186M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 31, 20220 then
Employees (5.A)3 as of Mar 27, 2026
Mar 31, 20222 then
Private funds3 as of Mar 27, 2026
Mar 31, 20223 then
RAUM +4.2% over the last fiscal year+6.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $82.0MderivedRAUM 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
- +4.2%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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$246M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••• R••• F••• Q•• L••• | Hedge Fund | $148M | 132 | Feb 27, 2019 |
| B••• R••• F•••• L••• | Hedge Fund | $63.9M | 100 | Feb 27, 2019 |
| B••• R••• O• F•••• L••• | Hedge Fund | $10.3M | 12 | Mar 31, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• C•••• Y• · Managing Partner And Chief Compliance Officercontrolsince 09/2018 · owns 50% to 75%
- B•••• T••••• · Limited Partnercontrolsince 09/2018 · owns 25% to 50%
- B••••••• C•••• Y• · Managing Membercontrolsince 09/2018 · owns 50% to 75% of 3• M••••••••• G•• L••
- B•••• T••••• · Membercontrolsince 09/2018 · owns 25% to 50% of 3• M••••••••• G•• L••
Entity owners
- 3• M••••••••• G•• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- 3• C•••••• G•• L•bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 27, 2026bank affiliate (Item 7.A.6): yes on the filing of 2025-03-26, no on the filing of 2026-03-27peers: asset managers, $100M to $500M (1,568)
What changed
consecutive filings, newest first
- Advisory employees · 2 to 3Mar 26, 2025 to Mar 27, 2026
- Employees · 2 to 3Mar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $236M to $246MMar 26, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $236M to $246MMar 26, 2025 to Mar 27, 2026
- RAUM · $236M to $246MMar 26, 2025 to Mar 27, 2026
- Related bank · true to falseMar 26, 2025 to Mar 27, 2026
- Financial planning clients · unset to Mar 31, 2024 to Mar 26, 2025
- Discretionary RAUM · $222M to $236MMar 31, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $222M to $236MMar 31, 2024 to Mar 26, 2025
- RAUM · $222M to $236MMar 31, 2024 to Mar 26, 2025
- Discretionary RAUM · $206M to $222MApr 18, 2023 to Mar 31, 2024
- Pooled vehicle RAUM · $206M to $222MApr 18, 2023 to Mar 31, 2024
- RAUM · $206M to $222MApr 18, 2023 to Mar 31, 2024
- Discretionary RAUM · $186M to $206MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $186M to $206MMar 31, 2022 to Mar 31, 2023
- RAUM · $186M to $206MMar 31, 2022 to Mar 31, 2023
- Private funds · 6 to 3Jun 29, 2021 to Mar 31, 2022
- Discretionary RAUM · $172M to $186MJun 29, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $172M to $186MJun 29, 2021 to Mar 31, 2022
- RAUM · $172M to $186MJun 29, 2021 to Mar 31, 2022
Signals
1 dated events
- 3• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Jun 29, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- 3• C•••••• M••••••••• L• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 214-420-0832reportedpublic record, Form ADV, Mar 27, 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