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
1••• C•••••• L•
Latest filing Apr 30, 2026
First filing on the tape Mar 31, 2021 · 11 filings
SEC status approved since Apr 30, 2021
RAUM
$1.0B
reported, Item 5.F
Discretionary
35%
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
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$1.0B as of Apr 30, 2026
Mar 31, 2022$540M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 30, 2026
Mar 31, 20220 then
Employees (5.A)8 as of Apr 30, 2026
Mar 31, 20224 then
Private funds5 as of Apr 30, 2026
Mar 31, 20223 then
RAUM +23% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 30, 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
- $49.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 35%derivedof RAUM
- Institutional
- 4.6%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
- +23%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1.0B, 21 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)
- 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
- Other investment advisers$625M60%
- Pooled investment vehicles$365M35%
- Insurance companies$48.0M4.6%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 21reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.0B for 21 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.95 institutional_share=0.05 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| 1••• C•••••• F••• I• L• | Private Equity Fund | $79.0M | 6 | Oct 7, 2019 |
| 1••• C•••••• F••• ••••••••• I• L•no longer reported | Private Equity Fund | $51.1M | 4 | Mar 31, 2022 |
| 1••• C•••••• O••••••• M••••• F••• | Private Equity Fund | $39.6M | 4 | Mar 28, 2024 |
| 1••• E•• H••••••• L• | Private Equity Fund | $22.0M | 1 | Mar 30, 2020 |
Owners and control persons
Schedule A and B, latest filing
- N•• K••• C•••• · Chief Financial Officer And Chief Compliance Officercontrolsince 08/2024 · owns less than 5%
- U••••• A•••••• T••• · Cio/Foundercontrolsince 08/2019 · owns less than 5%
- W•••••••• G•••••••• M•••••• · Portfolio Managercontrolsince 08/2019 · owns 5% to 10%
- Z•••• B••••• A••••••• · Portfolio Managercontrolsince 08/2019 · owns 5% to 10%
- H•••••• A•••• E•••• · L•••••• Partner Of B••••• H••••• (Jersey) LPcontrolsince 10/2008 · owns 50% to 75% of A••• L•••
- U••••• A•••••• T••• · Cio/Foundercontrolsince 12/2021 · owns 75% or more of 1••• H••••••• 2• L••
- U••••• A•••••• T••• · Cio/Foundercontrolsince 08/2019 · owns 75% or more of 1••• C•••••• H••••••• L••
Entity owners
- 1••• C•••••• H••••••• L•• · General Partnerdirect · owns less than 5%
- 1••• H••••••• 2• L•• · Ownerdirect · owns 75% or more
- A••• G• L•••••• · General Partner Of B••••• H••••• (Jersey) LPindirect · owns F of A••• L•••
- A••• L••• · L•••••• Partner Of B••••• H••••• C•••••• M••••••••• L•indirect · owns 75% or more of B••••• H••••• C•••••• M••••••••• L•
- B••••• H••••• A•••• M••••••••• S••••••• L•• · Owner Of 100% Of Share Capital Of B••• H••••••• L••indirect · owns 75% or more of B••• H••••••• L••
- B••••• H••••• C•••••• M••••••••• L• · Owner Of 100% Of Share Capital Of B••••• H••••• I••••••••• H••••••• L••indirect · owns 75% or more of B••••• H••••• I••••••••• H••••••• L••
- B••••• H••••• C•••••• M••••••••• L•• · General Partner Of B••••• H••••• C•••••• M••••••••• L•indirect · owns F of B••••• H••••• C•••••• M••••••••• L•
- B••••• H••••• I••••••••• H••••••• L•• · Owner Of 100% Of Share Capital Of B••••• H••••• A•••• M••••••••• S••••••• L••indirect · owns 75% or more of B••••• H••••• A•••• M••••••••• S••••••• L••
- B••• H••••••• L•• · Ownerdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- 1••• C•••••• G• I• L••bankpooled vehicle sponsorn
- 1••• S•••••••• L••pooled vehicle sponsorn
- 1••• L•••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Apr 30, 2026discretionary share of RAUM moved from 19.0% to 35.0% between the annual amendments of 2025-04-30 and 2026-04-30peers: asset managers, $1B to $5B (1,506)
- institutional asset share shiftChange between filings · filing Apr 30, 2026institutional share of RAUM moved from 81.0% to 65.0% between the annual amendments of 2025-04-30 and 2026-04-30peers: asset managers, $1B to $5B (1,506)
What changed
consecutive filings, newest first
- Assets in custody · $1.0B to $1.0BMar 27, 2026 to Apr 30, 2026
- Discretionary RAUM · $373M to $365MMar 27, 2026 to Apr 30, 2026
- Pooled vehicle RAUM · $373M to $365MMar 27, 2026 to Apr 30, 2026
- RAUM · $1.0B to $1.0BMar 27, 2026 to Apr 30, 2026
- Assets in custody · $843M to $1.0BSep 8, 2025 to Mar 27, 2026
- Employees · 7 to 8Sep 8, 2025 to Mar 27, 2026
- Discretionary RAUM · $161M to $373MSep 8, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $681M to $673MSep 8, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $161M to $373MSep 8, 2025 to Mar 27, 2026
- RAUM · $843M to $1.0BSep 8, 2025 to Mar 27, 2026
- Related bank · true to falseSep 8, 2025 to Mar 27, 2026
- Accounts · 16 to 21Aug 30, 2024 to Apr 30, 2025
- Pooled vehicle clients · 4 to 8Aug 30, 2024 to Apr 30, 2025
- Assets in custody · $141M to $843MAug 30, 2024 to Apr 30, 2025
- Employees · 6 to 7Aug 30, 2024 to Apr 30, 2025
- Financial planning clients · unset to Aug 30, 2024 to Apr 30, 2025
- Private funds · 3 to 5Aug 30, 2024 to Apr 30, 2025
- Discretionary RAUM · $141M to $161MAug 30, 2024 to Apr 30, 2025
- Non-discretionary RAUM · $653M to $681MAug 30, 2024 to Apr 30, 2025
- Pooled vehicle RAUM · $141M to $161MAug 30, 2024 to Apr 30, 2025
- RAUM · $794M to $843MAug 30, 2024 to Apr 30, 2025
- Accounts · 11 to 16Jun 28, 2023 to Mar 28, 2024
- Advisory employees · 4 to 3Jun 28, 2023 to Mar 28, 2024
- Assets in custody · $202M to $141MJun 28, 2023 to Mar 28, 2024
- Employees · 5 to 6Jun 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $202M to $141MJun 28, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $559M to $653MJun 28, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $202M to $141MJun 28, 2023 to Mar 28, 2024
- RAUM · $762M to $794MJun 28, 2023 to Mar 28, 2024
- Accounts · 9 to 11Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 3 to 4Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $213M to $202MMar 31, 2022 to Mar 31, 2023
- Employees · 4 to 5Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $213M to $202MMar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $327M to $559MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $213M to $202MMar 31, 2022 to Mar 31, 2023
- RAUM · $540M to $762MMar 31, 2022 to Mar 31, 2023
- Accounts · 3 to 9Mar 31, 2021 to Mar 31, 2022
- Pooled vehicle clients · 2 to 4Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $103M to $213MMar 31, 2021 to Mar 31, 2022
Signals
6 dated events
- C•••• Kei Ng (Chief Financial Officer And Chief Compliance Officer) appeared on Schedule A of 1••• C•••••• L•Aug 30, 2024 · Control person joined · fact
- Thomas Richard Gannalo (Cco/Coo/Cfo) no longer on Schedule A of 1••• C•••••• L• (listed 2024-03-28, absent 2024-08-30)Aug 30, 2024 · Control person left · inference
- 1••• C•••••• L• reported RAUM $761.7M, up 41% from $540.1M (2022-03-31 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- 1••• C•••••• L• reported RAUM $540.1M, up 180% from $193.0M (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Eldad Alan Howard (Limited Partner Of Brevan Howard (Jersey) Lp) appeared on Schedule A of 1••• C•••••• L•Mar 31, 2022 · Control person joined · fact
- 1••• C•••••• L• filed its initial SEC registration (Form ADV)Mar 31, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- 1••• C•••••• L• · Independent Sponsorsshared crd · capital_provider
- 1••• C•••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- 1543capital.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-900-3650reportedpublic record, Form ADV, Apr 30, 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