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
3•• C••••••
Legal name 3•• C•••••• L••
Latest filing Mar 23, 2026
First filing on the tape Sep 16, 2020 · 11 filings
SEC status approved since Oct 16, 2020
RAUM
$338M
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
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$338M as of Mar 23, 2026
Mar 18, 2021$64.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2026
Mar 18, 20210 then
Employees (5.A)7 as of Mar 23, 2026
Mar 18, 20215 then
Private funds1 as of Mar 23, 2026
Mar 25, 20221 then
RAUM +25% over the last fiscal year+29% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $48.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 81%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
- +25%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
- $65.8M, 3 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
- 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)
- 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
- Charitable organizations$272M81%
- Pooled investment vehicles$65.8M19%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $65.8M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.19 institutional_share=0.81 related_bd=false related_bank=true 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| 3•• C•••••• M••••• F••• L• | Hedge Fund | $36.5M | 17 | Mar 25, 2022 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• M•••••• · Managing Partner, Chief Compliance Officercontrolsince 11/2018 · owns 25% to 50%
- F••••••••• D••••• · Managing Partnercontrolsince 11/2018 · owns 25% to 50%
- L•••••• L••••• H•••• · Partnercontrolsince 04/2019 · owns less than 5%
- S••••••••• A••• · Managing Partnercontrolsince 11/2018 · owns 25% to 50%
Related persons
Schedule D 7.A
- 3•• C•••••• G• L••investment adviserbankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 3 to 7Mar 26, 2025 to Mar 23, 2026
- Assets in custody · $55.3M to $65.8MMar 26, 2025 to Mar 23, 2026
- Discretionary RAUM · $271M to $338MMar 26, 2025 to Mar 23, 2026
- Pooled vehicle RAUM · $55.3M to $65.8MMar 26, 2025 to Mar 23, 2026
- RAUM · $271M to $338MMar 26, 2025 to Mar 23, 2026
- Accounts · 7 to 3Mar 28, 2024 to Mar 26, 2025
- Advisory employees · 5 to 6Mar 28, 2024 to Mar 26, 2025
- Assets in custody · $36.5M to $55.3MMar 28, 2024 to Mar 26, 2025
- Employees · 6 to 7Mar 28, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $234M to $271MMar 28, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $36.5M to $55.3MMar 28, 2024 to Mar 26, 2025
- RAUM · $234M to $271MMar 28, 2024 to Mar 26, 2025
- Advisory employees · 4 to 5Mar 30, 2023 to Mar 28, 2024
- Assets in custody · $30.1M to $36.5MMar 30, 2023 to Mar 28, 2024
- Employees · 5 to 6Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $158M to $234MMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $30.1M to $36.5MMar 30, 2023 to Mar 28, 2024
- RAUM · $158M to $234MMar 30, 2023 to Mar 28, 2024
- Related adviser · false to trueMar 30, 2023 to Mar 28, 2024
- Assets in custody · $28.0M to $30.1MAug 15, 2022 to Mar 30, 2023
- Discretionary RAUM · $119M to $158MAug 15, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $28.0M to $30.1MAug 15, 2022 to Mar 30, 2023
- RAUM · $119M to $158MAug 15, 2022 to Mar 30, 2023
- Accounts · 4 to 7Feb 6, 2022 to Mar 25, 2022
- Charity clients · 4.0 to unsetFeb 6, 2022 to Mar 25, 2022
- Pooled vehicle clients · unset to 3.0Feb 6, 2022 to Mar 25, 2022
- Assets in custody · unset to 28003000.0Feb 6, 2022 to Mar 25, 2022
- Custody of client assets · false to trueFeb 6, 2022 to Mar 25, 2022
- Private funds · unset to 1Feb 6, 2022 to Mar 25, 2022
- Discretionary RAUM · $64.7M to $119MFeb 6, 2022 to Mar 25, 2022
- Pooled vehicle RAUM · unset to 28003000.0Feb 6, 2022 to Mar 25, 2022
- RAUM · $64.7M to $119MFeb 6, 2022 to Mar 25, 2022
- Related bank · false to trueFeb 6, 2022 to Mar 25, 2022
- Advisory employees · 3 to 4Dec 22, 2020 to Mar 18, 2021
- Employees · 4 to 5Dec 22, 2020 to Mar 18, 2021
- Discretionary RAUM · $65.0M to $64.7MDec 22, 2020 to Mar 18, 2021
- RAUM · $65.0M to $64.7MDec 22, 2020 to Mar 18, 2021
- Accounts · 0 to 4Sep 16, 2020 to Dec 22, 2020
- Charity clients · unset to 4.0Sep 16, 2020 to Dec 22, 2020
Signals
1 dated events
- 3•• C•••••• filed its initial SEC registration (Form ADV)Sep 16, 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/325-capitalreportedpublic record, Form ADV, Sep 19, 2026
- Website
- 3•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-376-5325reportedpublic record, Form ADV, Mar 23, 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
- Institutional managerderiveda 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