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
C••••••• C••••••
Legal name C••••••• C•••••• L•
Latest filing Jun 22, 2026
First filing on the tape Feb 14, 2020 · 12 filings
SEC status approved since Apr 3, 2020
RAUM
$2.4B
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
9
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$2.4B as of Jun 22, 2026
Mar 31, 2021$191M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 22, 2026
Mar 31, 20210 then
Employees (5.A)9 as of Jun 22, 2026
Mar 31, 20215 then
Private funds2 as of Jun 22, 2026
Mar 31, 20211 then
RAUM +43% over the last fiscal year+44% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 22, 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
- $107MderivedRAUM 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
- +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-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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.4B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 22reported
- 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••• M••••• F••• L• | Hedge Fund | $119M | 49 | Jul 31, 2020 |
| T•••••• B••• 4•• L•• | Hedge Fund | $2.2M | 12 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- A•••••••• P••••• E••••• · Managing Member, Ciocontrolsince 12/2019 · owns 75% or more
- M••••••• S••• · Chief Operating Officer, Chief Compliance Officercontrolsince 03/2021 · owns less than 5%
- A•••••••• P••••• E••••• · Managing Membercontrolsince 12/2019 · owns 75% or more of C••••••• C•••••• G• L••
Entity owners
- C••••••• C•••••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- C••••••• F••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 8 to 9Mar 28, 2025 to Mar 31, 2026
- Accounts · 18 to 22Mar 28, 2025 to Mar 31, 2026
- Advisory employees · 6 to 7Mar 28, 2025 to Mar 31, 2026
- Pooled vehicle clients · 18 to 22Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.6B to $2.4BMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.6B to $2.4BMar 28, 2025 to Mar 31, 2026
- RAUM · $1.6B to $2.4BMar 28, 2025 to Mar 31, 2026
- Accounts · 15 to 18Mar 28, 2024 to Mar 28, 2025
- Pooled vehicle clients · 15 to 18Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.1B to $1.6BMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.1B to $1.6BMar 28, 2024 to Mar 28, 2025
- RAUM · $1.1B to $1.6BMar 28, 2024 to Mar 28, 2025
- Accounts · 11 to 15Mar 31, 2023 to Mar 28, 2024
- Advisory employees · 5 to 6Mar 31, 2023 to Mar 28, 2024
- Pooled vehicle clients · 11 to 15Mar 31, 2023 to Mar 28, 2024
- Employees · 6 to 8Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $784M to $1.1BMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $784M to $1.1BMar 31, 2023 to Mar 28, 2024
- RAUM · $784M to $1.1BMar 31, 2023 to Mar 28, 2024
- Accounts · 7 to 11Jan 5, 2023 to Mar 31, 2023
- Advisory employees · 4 to 5Jan 5, 2023 to Mar 31, 2023
- Pooled vehicle clients · 7 to 11Jan 5, 2023 to Mar 31, 2023
- Employees · 5 to 6Jan 5, 2023 to Mar 31, 2023
- Private funds · 1 to 2Jan 5, 2023 to Mar 31, 2023
- Discretionary RAUM · $377M to $784MJan 5, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $377M to $784MJan 5, 2023 to Mar 31, 2023
- RAUM · $377M to $784MJan 5, 2023 to Mar 31, 2023
- Accounts · 4 to 7May 12, 2021 to Mar 31, 2022
- Pooled vehicle clients · 4 to 7May 12, 2021 to Mar 31, 2022
- Discretionary RAUM · $191M to $377MMay 12, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $191M to $377MMay 12, 2021 to Mar 31, 2022
- RAUM · $191M to $377MMay 12, 2021 to Mar 31, 2022
- Advisory employees · 2 to 4Jul 31, 2020 to Mar 31, 2021
- Employees · 2 to 5Jul 31, 2020 to Mar 31, 2021
- HQ city · unset to STAMFORDJul 31, 2020 to Mar 31, 2021
- HQ state · unset to CTJul 31, 2020 to Mar 31, 2021
- Discretionary RAUM · $359M to $191MJul 31, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $359M to $191MJul 31, 2020 to Mar 31, 2021
- RAUM · $359M to $191MJul 31, 2020 to Mar 31, 2021
Signals
8 dated events
- C••••••• C•••••• reported RAUM $2.4B, up 43% from $1.6B (2025-03-28 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- C••••••• C•••••• reported RAUM $1.6B, up 54% from $1.1B (2024-03-28 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- C••••••• C•••••• reported RAUM $1.1B, up 36% from $784.0M (2023-03-31 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- C••••••• C•••••• reported RAUM $784.0M, up 108% from $376.8M (2023-01-05 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- C••••••• C•••••• reported RAUM $376.8M, up 98% from $190.5M (2021-05-12 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- C••••••• C•••••• reported RAUM $190.5M, down 47% from $359.0M (2020-07-31 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Sean Mcduffy (Chief Operating Officer, Chief Compliance Officer) appeared on Schedule A of C••••••• C••••••Mar 31, 2021 · Control person joined · fact
- C••••••• C•••••• filed its initial SEC registration (Form ADV)Feb 14, 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
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 475 477 2003reportedpublic record, Form ADV, Jun 22, 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