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•••••• C•••••• P•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Apr 3, 2020 · 10 filings
SEC status approved since May 4, 2020
RAUM
$123M
reported, Item 5.F
Discretionary
67%
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
5
3 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
2
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$123M as of Mar 31, 2026
Mar 31, 2021$149M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20210 then
Employees (5.A)5 as of Mar 31, 2026
Mar 31, 20215 then
Private funds2 as of Mar 31, 2026
Mar 31, 20211 then
RAUM -43% over the last fiscal year-26% a year over threeIARs 0 to 0offices 3 to 4
Practice profile
derived from the filing of Mar 31, 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
- $41.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 67%derivedof RAUM
- Institutional
- 33%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- -43%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$82.7M67%
- Insurance companies$40.6M33%
- 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
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.67 institutional_share=0.33 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| 1••• P•••••••• I••••••••• I• L•• | Hedge Fund | $76.8M | 14 | Jul 30, 2020 |
| 1••• P•••••••• I••••••••• I•• L••• | Hedge Fund | $69.5M | 9 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- T••••••• R••••••• N•• · Managing Partnercontrolsince 01/2019 · owns 50% to 75%
- T••••••• R••••••• N•• · Ownercontrolsince 01/2019 · owns 50% to 75% of W•• H••••••• L••
- V••••• M••••••• D•••• · Chief Compliance Officer, Chief Operating Officer, Chief Financial Officersince 11/2021 · owns less than 5%
Entity owners
- W•• H••••••• L•• · Ownerdirect · owns 75% or more
- A•••••••• C•••••• H••••••• L•• · Ownerindirect · owns 50% to 75% of P••••••• L••
- P••••••• L•• · Memberindirect · owns 50% to 75% of W•• H••••••• L••
- R• C•••••• H•••••••• L•• · Memberindirect · owns 50% to 75% of W•• H••••••• L••
Related persons
Schedule D 7.A
- A•••••••• C•••••• M•••••••••investment advisernRAUM $8.3B
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 31, 2026institutional share of RAUM of 33% against a peer median of 0% (1568 comparable advisers, 100.0th percentile, 11.1 robust deviations)peers: asset managers, $100M to $500M (1,568) · 100% percentile
- RAUM down 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $214,430,390 to $123,209,312 (-43.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +4.0% (1147 comparable advisers, 5.0th percentile of changes)peers: asset managers, $100M to $500M (1,147) · 4.9% percentile
What changed
consecutive filings, newest first
- Advisory employees · 4 to 3Mar 31, 2025 to Mar 31, 2026
- Employees · 6 to 5Mar 31, 2025 to Mar 31, 2026
- HQ city · MANHATTAN BEACH to Mar 31, 2025 to Mar 31, 2026
- HQ state · CA to Mar 31, 2025 to Mar 31, 2026
- Other offices · 3 to 4Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $121M to $82.7MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $93.4M to $40.6MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $121M to $82.7MMar 31, 2025 to Mar 31, 2026
- RAUM · $214M to $123MMar 31, 2025 to Mar 31, 2026
- Employees · 7 to 6Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $146M to $121MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $184M to $93.4MMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $146M to $121MMar 29, 2024 to Mar 31, 2025
- RAUM · $331M to $214MMar 29, 2024 to Mar 31, 2025
- Employees · 6 to 7May 8, 2023 to Mar 29, 2024
- Other offices · 1 to 3May 8, 2023 to Mar 29, 2024
- Discretionary RAUM · $129M to $146MMay 8, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $175M to $184MMay 8, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $129M to $146MMay 8, 2023 to Mar 29, 2024
- RAUM · $304M to $331MMay 8, 2023 to Mar 29, 2024
- Accounts · 2 to 3Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 5 to 4Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 1 to 2Mar 31, 2022 to Mar 31, 2023
- Employees · 7 to 6Mar 31, 2022 to Mar 31, 2023
- Private funds · 1 to 2Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $92.0M to $129MMar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $196M to $175MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $92.0M to $129MMar 31, 2022 to Mar 31, 2023
- RAUM · $288M to $304MMar 31, 2022 to Mar 31, 2023
- Advisory employees · 4 to 5Nov 8, 2021 to Mar 31, 2022
- Assets in custody · $78.7M to $0Nov 8, 2021 to Mar 31, 2022
- Employees · 5 to 7Nov 8, 2021 to Mar 31, 2022
- Discretionary RAUM · $70.6M to $92.0MNov 8, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $78.7M to $196MNov 8, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $78.7M to $92.0MNov 8, 2021 to Mar 31, 2022
- RAUM · $149M to $288MNov 8, 2021 to Mar 31, 2022
- Advisory activities · 1 to 2Jul 30, 2020 to Mar 31, 2021
- Assets in custody · unset to 78731705.0Jul 30, 2020 to Mar 31, 2021
- Custody of client assets · false to trueJul 30, 2020 to Mar 31, 2021
Signals
3 dated events
- C•••••• C•••••• P•••••••• L•• reported RAUM $214.4M, down 35% from $330.7M (2024-03-29 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- C•••••• C•••••• P•••••••• L•• reported RAUM $288.0M, up 93% from $149.4M (2021-11-08 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- C•••••• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Apr 3, 2020 · 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/caprice-capital-partners-llcreportedpublic record, Form ADV, Sep 19, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 310-893-5070reportedpublic record, Form ADV, Mar 31, 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