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•••••••• U• F••• M••••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Jun 29, 2022 · 6 filings
SEC status approved since Aug 3, 2022
RAUM
$768M
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
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
10
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$768M as of Mar 31, 2026
Mar 29, 2023$279M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20230 then
Employees (5.A)6 as of Mar 31, 2026
Mar 29, 20235 then
Private funds10 as of Mar 31, 2026
Mar 29, 20237 then
RAUM +38% 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
- $76.8MderivedRAUM 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
- +38%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
- Custody
- $768M, 10 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
- Pooled investment vehicles$768M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $768M for 10 clientsreported
- 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
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••••• M••••• F•••• L• | Hedge Fund | $190M | 170 | Feb 17, 2022 |
| C•••••••• L••• S•••••••• L• | Private Equity Fund | $99.9M | 60 | Feb 17, 2022 |
| C• G••••• 5• L• | Other Private Fund | $33.3M | 16 | Mar 29, 2023 |
| C• G••••• 3• L•• | Other Private Fund | $29.0M | 2 | Mar 29, 2023 |
| C• G••••• 7• L• | Hedge Fund | $20.7M | 12 | Mar 29, 2024 |
| C• G••••• 1• L•• | Other Private Fund | $15.7M | 3 | Mar 29, 2023 |
| Y•• 1•• L• | Private Equity Fund | $5.7M | 12 | Jun 29, 2022 |
| C• G••••• 2• L• | Private Equity Fund | $18,000 | 17 | Mar 28, 2022 |
Owners and control persons
Schedule A and B, latest filing
- B••••• J•••••• M•••••• · Chief Executive Officer And Co-Foundercontrolsince 06/2020 · owns 75% or more
- L•••••••• M••••••• S••••• · Chief Compliance Officer, General Counsel And Co-Foundercontrolsince 06/2020 · owns less than 5%
Related persons
Schedule D 7.A
- C•••••••• S•• G•• L•pooled vehicle sponsorn
- C•••••••• U• F••• G• L•pooled vehicle sponsorn
- Y•••• L•••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $558M to $768MMar 31, 2025 to Mar 31, 2026
- Employees · 7 to 6Mar 31, 2025 to Mar 31, 2026
- Private funds · 8 to 10Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $558M to $768MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $558M to $768MMar 31, 2025 to Mar 31, 2026
- RAUM · $558M to $768MMar 31, 2025 to Mar 31, 2026
- Accounts · 7 to 10Mar 29, 2024 to Mar 31, 2025
- Pooled vehicle clients · 7 to 10Mar 29, 2024 to Mar 31, 2025
- Assets in custody · $351M to $558MMar 29, 2024 to Mar 31, 2025
- Employees · 5 to 7Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- HQ city · unset to Mar 29, 2024 to Mar 31, 2025
- HQ state · unset to Mar 29, 2024 to Mar 31, 2025
- Private funds · 7 to 8Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $351M to $558MMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $351M to $558MMar 29, 2024 to Mar 31, 2025
- RAUM · $351M to $558MMar 29, 2024 to Mar 31, 2025
- Advisory employees · 4 to 3Oct 26, 2023 to Mar 29, 2024
- Assets in custody · $279M to $351MOct 26, 2023 to Mar 29, 2024
- Discretionary RAUM · $279M to $351MOct 26, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $279M to $351MOct 26, 2023 to Mar 29, 2024
- RAUM · $279M to $351MOct 26, 2023 to Mar 29, 2024
- Accounts · 4 to 7Jun 29, 2022 to Mar 29, 2023
- Pooled vehicle clients · 4 to 7Jun 29, 2022 to Mar 29, 2023
- Assets in custody · $256M to $279MJun 29, 2022 to Mar 29, 2023
- Employees · 8 to 5Jun 29, 2022 to Mar 29, 2023
- Private funds · 8 to 7Jun 29, 2022 to Mar 29, 2023
- Discretionary RAUM · $256M to $279MJun 29, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $256M to $279MJun 29, 2022 to Mar 29, 2023
- RAUM · $256M to $279MJun 29, 2022 to Mar 29, 2023
Signals
3 dated events
- C•••••••• U• F••• M••••••••• I••• reported RAUM $767.6M, up 38% from $557.6M (2025-03-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- C•••••••• U• F••• M••••••••• I••• reported RAUM $557.6M, up 59% from $350.8M (2024-03-29 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- C•••••••• U• F••• M••••••••• I••• filed its initial SEC registration (Form ADV)Jun 29, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••••••• U• F••• M••••••••• I••• · Private Equityshared crd · organization
- C•••••••• U• F••• M••••••••• I••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- H••••://WWW.COMLLP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646-734-8057reportedpublic 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