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•••••• M••••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Jun 30, 2021 · 11 filings
SEC status approved since Jul 30, 2021
RAUM
$2.2B
reported, Item 5.F
Discretionary
89%
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
30
13 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
23
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$2.2B as of Mar 31, 2026
Mar 31, 2022$680M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20220 then
Employees (5.A)30 as of Mar 31, 2026
Mar 31, 202220 then
Private funds23 as of Mar 31, 2026
Mar 31, 202214 then
RAUM +30% over the last fiscal year+40% a year over threeIARs 0 to 0
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
- $66.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 3.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%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 vehicles, portfolio management for investment companiesreportedItem 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
- 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$1.4B73%
- Other investment advisers$250M13%
- Investment companies$158M8.1%
- Corporations and businesses$47.3M2.4%
- Charitable organizations$46.4M2.4%
- Pension and profit-sharing plans$31.5M1.6%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 33reported
- 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=0.84 institutional_share=0.04 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
20 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••• N•••• F••• I••• L• | Private Equity Fund | $365M | 327 | Mar 31, 2022 |
| C•••••• N•••• F••• I•• L• | Private Equity Fund | $191M | 166 | Mar 26, 2024 |
| C•••••• P••••• E••••••• M••••• F•••• L• | Hedge Fund | $109M | 59 | Mar 26, 2024 |
| C•••••• N•••• F••• I•• L• | Private Equity Fund | $87.9M | 151 | Sep 2, 2020 |
| C•••••• S••••••••• O••••••••• F••• I• L• | Other Private Fund | $54.5M | 83 | Mar 31, 2022 |
| C•••••• G•••••• F••• I• L•• | Venture Capital Fund | $46.8M | 54 | Mar 31, 2021 |
| C•••••• G•••••• F••• I•• L•• | Venture Capital Fund | $43.4M | 100 | Mar 31, 2022 |
| C•••••• G•••••• F••• I••• L•• | Venture Capital Fund | $35.8M | 77 | Mar 31, 2022 |
| C•••••• S••••••••• O••••••••• A•• I• L• | Other Private Fund | $30.7M | 80 | Mar 26, 2024 |
| C•••••• A••••• F••• I••• L••no longer reported | Venture Capital Fund | $19.9M | 50 | Mar 31, 2021 |
| C•••••• E••••• F••• I• L•• | Hedge Fund | $18.6M | 29 | Mar 31, 2021 |
| C•••••• A••••• F••• V• L•• | Venture Capital Fund | $15.5M | 60 | Mar 31, 2022 |
| C•••••• G•••••• F••• I•• L•• | Venture Capital Fund | $11.3M | 51 | Mar 30, 2023 |
| C•••••• N•••• F••• I• L• | Venture Capital Fund | $9.3M | 58 | Sep 2, 2020 |
| C•••••• A••••• F••• V•• L•• | Venture Capital Fund | $8.3M | 36 | Mar 30, 2023 |
| C•••••• A••••• F••• I• L•• | Venture Capital Fund | $5.3M | 44 | Sep 2, 2020 |
| C•••••• S•••••• O••••••••• F••• I••• L•• | Venture Capital Fund | $1.5M | 23 | Mar 31, 2022 |
| C•••••• S•••••• O••••••••• F••• I• L•• | Venture Capital Fund | $736,630 | 5 | Mar 31, 2021 |
| C•••••• A••••• F••• I•• L••no longer reported | Venture Capital Fund | $69,262 | 29 | Mar 31, 2021 |
| C•••••• N•••• S•••••• I• L••no longer reported | Venture Capital Fund | $573 | 15 | Mar 31, 2021 |
Owners and control persons
Schedule A and B, latest filing
- P••••••••• G•••••••• N•• · Membercontrolsince 01/2023 · owns 50% to 75% of S•••••••• P•••••••• L•
- P••••••••• G•••••••• N•• · Membercontrolsince 06/2020 · owns 50% to 75% of C•••••• C•••••• G•• L••
- V••••••••• R•••••• J•••• · Membercontrolsince 01/2023 · owns 50% to 75% of S•••••••• P•••••••• L•
- V••••••••• R•••••• J•••• · Membercontrolsince 06/2020 · owns 50% to 75% of C•••••• C•••••• G•• L••
- M•••••••• O•••• E••••••••• · Chief Compliance Officer And Head Of Operationssince 06/2021 · owns less than 5%
Entity owners
- C•••••• C•••••• G•• L•• · General Partnerdirect · owns less than 5%
- K•• C••••••• H••••••• L••• · Limited Partnerdirect · owns 25% to 50%
- S•••••••• P•••••••• L• · Limited Partnerdirect · owns 50% to 75%
- K•• • C•• I••• · Shareholderindirect · owns 75% or more of K•• G•••• C•• I•••
- K•• C••••••• G• L•• · General Partnerindirect · owns F of K•• C••••••• H••••••• L•••
- K•• G•••• A••••• G• I• L•• · General Partnerindirect · owns F of K•• G•••• A••••• H••••••• I• L•••
- K•• G•••• A••••• H••••••• I• L••• · Sole Memberindirect · owns 75% or more of K•• C••••••• G• L••
- K•• G•••• A••••• H••••••• I• L••• · Limited Partnerindirect · owns 75% or more of K•• C••••••• H••••••• L•••
- K•• G•••• C•• I••• · Limited Partnerindirect · owns 75% or more of K•• G•••• H••••••• L•••
- K•• G•••• C•• I••• · Shareholderindirect · owns 75% or more of K•• G•••• H••••••• C••••
- K•• G•••• H••••••• C•••• · General Partnerindirect · owns F of K•• G•••• H••••••• L•••
- K•• G•••• H••••••• C•••• · General Partnerindirect · owns F of K•• G•••• P••••••••• L•••
- K•• G•••• H••••••• L••• · Limited Partnerindirect · owns 25% to 50% of K•• G•••• P••••••••• L•••
- K•• G•••• P••••••••• L••• · Sole Memberindirect · owns 75% or more of K•• G•••• A••••• G• I• L••
- K•• G•••• P••••••••• L••• · Limited Partnerindirect · owns 75% or more of K•• G•••• A••••• H••••••• I• L•••
Related persons
Schedule D 7.A
- C•••••• A••••• M•••••• I• L••investment adviserpooled vehicle sponsory
- C•••••• G•••••• M•••••• I• L••investment adviserpooled vehicle sponsory
- C•••••• N•••• G• I• L••investment adviserpooled vehicle sponsory
- C•••••• N•••• G• I•• L••investment adviserpooled vehicle sponsory
- C•••••• N•••• G• I••• L••investment adviserpooled vehicle sponsory
- C•••••• N•••• G• I•• L••investment adviserpooled vehicle sponsory
- C•••••• P••••• E••••••• F••• G•• L••investment adviserpooled vehicle sponsory
- C•••••• S•••••• O••••••••• M•••••• I• L••investment adviserpooled vehicle sponsory
- C•••••• S••••••••• O••••••••• F••• I• G• L••investment adviserpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Altrincham, Cheshire, United Kingdom5 employees
What changed
consecutive filings, newest first
- Accounts · 27 to 33Mar 28, 2025 to Mar 31, 2026
- Advisory employees · 17 to 13Mar 28, 2025 to Mar 31, 2026
- Advisory activities · 2 to 3Mar 28, 2025 to Mar 31, 2026
- Pooled vehicle clients · 22 to 26Mar 28, 2025 to Mar 31, 2026
- Employees · 36 to 30Mar 28, 2025 to Mar 31, 2026
- Private funds · 19 to 23Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.7B to $1.9BMar 28, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $0 to $250MMar 28, 2025 to Mar 31, 2026
- Pension RAUM · $27.9M to $31.5MMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.3B to $1.4BMar 28, 2025 to Mar 31, 2026
- RAUM · $1.7B to $2.2BMar 28, 2025 to Mar 31, 2026
- Accounts · 17 to 27Mar 26, 2024 to Mar 28, 2025
- Advisory employees · 16 to 17Mar 26, 2024 to Mar 28, 2025
- Advisory activities · 1 to 2Mar 26, 2024 to Mar 28, 2025
- Charity clients · unset to 1.0Mar 26, 2024 to Mar 28, 2025
- Corporate clients · unset to 1.0Mar 26, 2024 to Mar 28, 2025
- Pension plan clients · unset to 1.0Mar 26, 2024 to Mar 28, 2025
- Pooled vehicle clients · 17 to 22Mar 26, 2024 to Mar 28, 2025
- Employees · 35 to 36Mar 26, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 28, 2025
- Other offices · 1 to 2Mar 26, 2024 to Mar 28, 2025
- Private funds · 15 to 19Mar 26, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.1B to $1.7BMar 26, 2024 to Mar 28, 2025
- Pension RAUM · unset to 27930143.0Mar 26, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.1B to $1.3BMar 26, 2024 to Mar 28, 2025
- RAUM · $1.1B to $1.7BMar 26, 2024 to Mar 28, 2025
- Accounts · 14 to 17Nov 1, 2023 to Mar 26, 2024
- Advisory employees · 15 to 16Nov 1, 2023 to Mar 26, 2024
- Pooled vehicle clients · 14 to 17Nov 1, 2023 to Mar 26, 2024
- Employees · 28 to 35Nov 1, 2023 to Mar 26, 2024
- Other offices · 2 to 1Nov 1, 2023 to Mar 26, 2024
- Private funds · 14 to 15Nov 1, 2023 to Mar 26, 2024
- Discretionary RAUM · $791M to $1.1BNov 1, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $791M to $1.1BNov 1, 2023 to Mar 26, 2024
- RAUM · $791M to $1.1BNov 1, 2023 to Mar 26, 2024
- Advisory employees · 14 to 15Nov 22, 2022 to Mar 30, 2023
- Employees · 20 to 28Nov 22, 2022 to Mar 30, 2023
- Other offices · 1 to 2Nov 22, 2022 to Mar 30, 2023
- Discretionary RAUM · $680M to $791MNov 22, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $680M to $791MNov 22, 2022 to Mar 30, 2023
Signals
5 dated events
- C•••••• C•••••• M••••••••• L• reported RAUM $2.2B, up 30% from $1.7B (2025-03-28 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- C•••••• C•••••• M••••••••• L• reported RAUM $1.7B, up 52% from $1.1B (2024-03-26 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- C•••••• C•••••• M••••••••• L• reported RAUM $1.1B, up 39% from $791.4M (2023-11-01 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- C•••••• C•••••• M••••••••• L• reported RAUM $679.9M, up 172% from $250.0M (2021-06-30 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- C•••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Jun 30, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••••• C•••••• M••••••••• L• · Independent Sponsorsshared crd · capital_provider
- C•••••• C•••••• M••••••••• L• · Private Equityshared crd · organization
- C•••••• C•••••• M••••••••• L• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- cataliocapital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 410-989-6168reportedpublic 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