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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Former SEC-registered adviser

C••••••••• C•••••• M••••••••• L•

Former SEC-registered adviserGreenwich, ConnecticutCRD 305218SEC 801-117279website IAPD

Latest filing Mar 31, 2025

First filing on the tape Aug 1, 2019 · 12 filings

SEC status approved since Aug 29, 2019

RAUM

$5.2B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

30 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

12 filings and snapshots on the tape

RAUM$5.2B as of Mar 31, 2025

Mar 30, 2020$2.8B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 31, 2025

Mar 30, 20200 then

Employees (5.A)40 as of Mar 31, 2025

Mar 30, 202030 then

Private funds2 as of Mar 31, 2025

Mar 30, 20201 then

RAUM -15% over the last fiscal year-14% a year over threeIARs 0 to 0offices 7 to 8

Practice profile

derived from the filing of Mar 31, 2025; 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: $1.0BderivedRAUM 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: unknownderived9 offices incl. principal (1.F.5)
RAUM growth, one year: -15%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: $4.8B, 4 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)
receives research or other products from a broker-dealer, soft dollars (8.E)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
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)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$5.2B100%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 5reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $4.8B for 4 clientsreported
Compensation: % of AUM, performancereported
Class basis: absent from the latest SEC rosterderived

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

Every departure Every arrival

Private funds

2 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
C••••••••• M••••• F••• L•	Hedge Fund	$5.9B	214	Nov 1, 2019
C••••••••• U• F•• F••• L•	Hedge Fund	$186M	70	May 13, 2020

Owners and control persons

Schedule A and B, latest filing

B••••• C••••• M•••••• · Co-Presidentcontrol
since 01/2019 · owns less than 5%
C••••••••• V••••••• A•••••• · Co-Presidentcontrol
since 01/2019 · owns less than 5%
M•••••••• J••••• M•••••• · Chief Compliance Officer And General Counselcontrol
since 02/2022 · owns less than 5%
P•••••• R•••• · Senior Portfolio Managercontrol
since 01/2019 · owns less than 5%
T••• M•••••••• F•••••• · Senior Portfolio Managercontrol
since 01/2019 · owns less than 5%
W•••••••• J••• · Chief Investment Officercontrol
since 01/2019 · owns 75% or more
W•••••••• J••• · Membercontrol
since 02/2019 · owns 75% or more of C••••••••• C•••••• M••••••••• G• L••

Entity owners

C••••••••• C•••••• M••••••••• G• L•• · General Partner
direct · owns less than 5%
W••••••• 2••• F••••• T•••• · Member
indirect · owns 75% or more of T•• C••••• V••••••• I• L••
T•• C••••• V••••••• I• L•• · Limited Partner
direct · owns 5% to 10%

Related persons

Schedule D 7.A

C••••••••• F•••• G• L••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

New York, NY20 employees
San Francisco, CA3 employees
, 1 employees

What changed

consecutive filings, newest first

Accounts · 4 to 5
Mar 28, 2024 to Mar 31, 2025
Advisory employees · 33 to 30
Mar 28, 2024 to Mar 31, 2025
Pooled vehicle clients · 4 to 5
Mar 28, 2024 to Mar 31, 2025
Assets in custody · $6.1B to $4.8B
Mar 28, 2024 to Mar 31, 2025
Employees · 43 to 40
Mar 28, 2024 to Mar 31, 2025
Financial planning clients · unset to
Mar 28, 2024 to Mar 31, 2025
Other offices · 7 to 8
Mar 28, 2024 to Mar 31, 2025
Discretionary RAUM · $6.1B to $5.2B
Mar 28, 2024 to Mar 31, 2025
Pooled vehicle RAUM · $6.1B to $5.2B
Mar 28, 2024 to Mar 31, 2025
RAUM · $6.1B to $5.2B
Mar 28, 2024 to Mar 31, 2025
Advisory employees · 40 to 33
May 19, 2023 to Mar 28, 2024
Assets in custody · $5.4B to $6.1B
May 19, 2023 to Mar 28, 2024
Employees · 50 to 43
May 19, 2023 to Mar 28, 2024
Other offices · 11 to 7
May 19, 2023 to Mar 28, 2024
Discretionary RAUM · $5.4B to $6.1B
May 19, 2023 to Mar 28, 2024
Pooled vehicle RAUM · $5.4B to $6.1B
May 19, 2023 to Mar 28, 2024
RAUM · $5.4B to $6.1B
May 19, 2023 to Mar 28, 2024
Advisory employees · 38 to 40
Mar 30, 2022 to Mar 10, 2023
Assets in custody · $8.0B to $5.4B
Mar 30, 2022 to Mar 10, 2023
Employees · 46 to 50
Mar 30, 2022 to Mar 10, 2023
Other offices · 10 to 11
Mar 30, 2022 to Mar 10, 2023
Discretionary RAUM · $8.0B to $5.4B
Mar 30, 2022 to Mar 10, 2023
Pooled vehicle RAUM · $8.0B to $5.4B
Mar 30, 2022 to Mar 10, 2023
RAUM · $8.0B to $5.4B
Mar 30, 2022 to Mar 10, 2023
Advisory employees · 29 to 38
Sep 8, 2021 to Mar 30, 2022
Assets in custody · $5.7B to $8.0B
Sep 8, 2021 to Mar 30, 2022
Employees · 36 to 46
Sep 8, 2021 to Mar 30, 2022
Other offices · 5 to 10
Sep 8, 2021 to Mar 30, 2022
Discretionary RAUM · $5.7B to $8.0B
Sep 8, 2021 to Mar 30, 2022
Pooled vehicle RAUM · $5.7B to $8.0B
Sep 8, 2021 to Mar 30, 2022
RAUM · $5.7B to $8.0B
Sep 8, 2021 to Mar 30, 2022
Accounts · 3 to 4
May 13, 2020 to Mar 12, 2021
Advisory employees · 24 to 29
May 13, 2020 to Mar 12, 2021
Pooled vehicle clients · 3 to 4
May 13, 2020 to Mar 12, 2021
Assets in custody · $2.8B to $5.7B
May 13, 2020 to Mar 12, 2021
Employees · 30 to 36
May 13, 2020 to Mar 12, 2021
Other offices · 2 to 5
May 13, 2020 to Mar 12, 2021
Discretionary RAUM · $2.8B to $5.7B
May 13, 2020 to Mar 12, 2021
Pooled vehicle RAUM · $2.8B to $5.7B
May 13, 2020 to Mar 12, 2021
RAUM · $2.8B to $5.7B
May 13, 2020 to Mar 12, 2021

Signals

10 dated events

C••••••••• C•••••• M••••••••• L• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $5.2B)
Jan 2, 2026 · Left the SEC roster · derived
Michael Edward Aaron (Senior Portfolio Manager) no longer on Schedule A of C••••••••• C•••••• M••••••••• L• (listed 2023-05-19, absent 2024-03-28)
Mar 28, 2024 · Control person left · inference
C••••••••• C•••••• M••••••••• L• reported RAUM $5.4B, down 33% from $8.0B (2022-03-30 to 2023-03-10)
Mar 10, 2023 · RAUM change · derived
C••••••••• C•••••• M••••••••• L• reported 10 offices beyond its principal office, up from 5 (2021-09-08 to 2022-03-30)
Mar 30, 2022 · Office count change · derived
C••••••••• C•••••• M••••••••• L• reported RAUM $8.0B, up 41% from $5.7B (2021-09-08 to 2022-03-30)
Mar 30, 2022 · RAUM change · derived
A Jeremy Heckerling (Chief Compliance Officer) no longer on Schedule A of C••••••••• C•••••• M••••••••• L• (listed 2021-09-08, absent 2022-03-30)
Mar 30, 2022 · Control person left · inference
Murdock James Mcgovern (Chief Compliance Officer And General Counsel) appeared on Schedule A of C••••••••• C•••••• M••••••••• L•
Mar 30, 2022 · Control person joined · fact
C••••••••• C•••••• M••••••••• L• reported RAUM $5.7B, up 104% from $2.8B (2020-05-13 to 2021-03-12)
Mar 12, 2021 · RAUM change · derived
C••••••••• C•••••• M••••••••• L• reported RAUM $2.8B, up 73% from $1.6B (2019-11-01 to 2020-03-30)
Mar 30, 2020 · RAUM change · derived
C••••••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)
Aug 1, 2019 · 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.

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: Former SEC-registered adviserderiveda 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