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•••••• F••• U• I•••
Latest filing Mar 30, 2026
First filing on the tape Jul 19, 2021 · 15 filings
SEC status approved since Aug 19, 2021
RAUM
$2.6B
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
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$2.6B as of Mar 30, 2026
Mar 29, 2022$780M then
HNW client RAUM$0 as of Mar 30, 2026
Mar 29, 2022$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 29, 20220 then
Employees (5.A)8 as of Mar 30, 2026
Mar 29, 20228 then
Private funds5 as of Mar 30, 2026
Mar 31, 20233 then
RAUM +26% over the last fiscal year+18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $293MderivedRAUM 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
- +26%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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.6B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 9reported
- 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=true 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••• F••• U• C•• I•• L••• | Securitized Asset Fund | $418M | 0 | Mar 31, 2023 |
| C•••••• F••• U• C•• I• L••• | Securitized Asset Fund | $411M | 0 | Sep 29, 2022 |
| C•••••• F••• U• C•• I• L••• | Securitized Asset Fund | $395M | 0 | Sep 29, 2022 |
| C•••••• F••• U• C•• I• L••• | Securitized Asset Fund | $37.7M | 0 | Mar 30, 2024 |
Owners and control persons
Schedule A and B, latest filing
- D••••• A••• B•••••••• · Portfolio Manager, Senior Partnercontrolsince 05/2024 · owns less than 5%
- L•••••• R•••••• M•• · Chief Operating Officer & Chief Compliance Officercontrolsince 09/2023 · owns less than 5%
- B••••••••• E••••••• S••••• M••••••• · Ownercontrolsince 08/2023 · owns 75% or more of B•••••••• G•••• H••••••• S•
- B••••••••• E••••••• S••••• M••••••• · Ownercontrolsince 08/2023 · owns 75% or more of B••••••••• P••••••• L••
- B••••••••• E••••••• S••••• M••••••• · L•••••• Partnercontrolsince 01/2011 · owns 50% to 75% of L••••••• L•
- G••••••••• D••••• · L•••••• Partnercontrolsince 01/2011 · owns 25% to 50% of L••••••• L•
Entity owners
- C•••••• F••• H•••••• A•• · Sole Shareholderdirect · owns 75% or more
- B•••••••• A• H••••••• L•••••• · General Partnerindirect · owns F of N••••••• C•••••• ••••••• L•
- B•••••••• A• H••••••• L•••••• · General Partnerindirect · owns F of N••••••• J••••• H••••••• L•
- B•••••••• G• L•• · General Partnerindirect · owns F of N••••••• I••••• L•
- B•••••••• G•••• H••••••• S• · Ownerindirect · owns 75% or more of B•••••••• H••••••• ••••••••• S•
- B•••••••• H••••••• ••••••••• S• · Ownerindirect · owns 75% or more of B•••••••• A• H••••••• L••••••
- B•••••••• H••••••• ••••••••• S• · Ownerindirect · owns 75% or more of B•••••••• G• L••
- B••••••••• P••••••• L•• · Ownerindirect · owns 75% or more of L• ••• L••
- L••••••• L• · L•••••• Partnerindirect · owns 75% or more of N••••••• I••••• L•
- L• ••• L•• · General Partnerindirect · owns F of L••••••• L•
- N••••••• C•••••• ••••••• L• · L•••••• Partnerindirect · owns 75% or more of N••••••• J••••• H••••••• L•
- N••••••• I••••• L• · L•••••• Partnerindirect · owns 75% or more of N••••••• C•••••• ••••••• L•
- N••••••• J••••• H••••••• L• · Ownerindirect · owns 75% or more of N••••••• U• M••••••••• H••••••• L•••••• I•
- N••••••• M••••• L••••••••• H••••••• S••• · Ownerindirect · owns 50% to 75% of C•••••• F••• H•••••• A••
- N••••••• U• M••••••••• H••••••• L•••••• I• · Ownerindirect · owns 75% or more of N••••••• M••••• L••••••••• H••••••• S•••
Related persons
Schedule D 7.A
- B•••••••• I••••••••• ••• I•••broker-dealern
- C•••••• F••• A••• A••investment advisern
- C•••••• F••• C•• M••••••••• G• A••pooled vehicle sponsorn
- C•••••• F••• C•• M••••••••• G• I• A••pooled vehicle sponsorn
- C•••••• F••• M••••••••• F••••••••• A••investment advisern
- C•••••• F••• S•••••••• L•••••• F••• G• A••pooled vehicle sponsorn
- C•••••• F••• U• C•• M••••••••• L••investment adviserpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- private fund count surgeChange between filings · filing Mar 30, 2026private funds (Schedule D 7.B.1) moved from 3.0 to 5.0 (+67.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was 0.0% (1022 comparable advisers, 97.0th percentile of changes)peers: asset managers, $1B to $5B (1,022) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 7 to 9Mar 31, 2025 to Mar 30, 2026
- Advisory employees · 6 to 5Mar 31, 2025 to Mar 30, 2026
- Pooled vehicle clients · 7 to 9Mar 31, 2025 to Mar 30, 2026
- Employees · 9 to 8Mar 31, 2025 to Mar 30, 2026
- Private funds · 3 to 5Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $2.1B to $2.6BMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $2.1B to $2.6BMar 31, 2025 to Mar 30, 2026
- RAUM · $2.1B to $2.6BMar 31, 2025 to Mar 30, 2026
- Accounts · 8 to 7May 30, 2024 to Mar 31, 2025
- Advisory employees · 8 to 6May 30, 2024 to Mar 31, 2025
- Pooled vehicle clients · 8 to 7May 30, 2024 to Mar 31, 2025
- Employees · 12 to 9May 30, 2024 to Mar 31, 2025
- Financial planning clients · unset to May 30, 2024 to Mar 31, 2025
- Private funds · 4 to 3May 30, 2024 to Mar 31, 2025
- Discretionary RAUM · $2.0B to $2.1BMay 30, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $2.0B to $2.1BMay 30, 2024 to Mar 31, 2025
- RAUM · $2.0B to $2.1BMay 30, 2024 to Mar 31, 2025
- Related insurance company · false to trueMay 30, 2024 to Mar 31, 2025
- Accounts · 5 to 8Sep 1, 2023 to Mar 30, 2024
- Advisory employees · 7 to 8Sep 1, 2023 to Mar 30, 2024
- Pooled vehicle clients · 5 to 8Sep 1, 2023 to Mar 30, 2024
- Employees · 10 to 12Sep 1, 2023 to Mar 30, 2024
- Private funds · 3 to 4Sep 1, 2023 to Mar 30, 2024
- Discretionary RAUM · $1.6B to $2.0BSep 1, 2023 to Mar 30, 2024
- Pooled vehicle RAUM · $1.6B to $2.0BSep 1, 2023 to Mar 30, 2024
- RAUM · $1.6B to $2.0BSep 1, 2023 to Mar 30, 2024
- Accounts · 3 to 5Sep 29, 2022 to Mar 31, 2023
- Advisory employees · 6 to 7Sep 29, 2022 to Mar 31, 2023
- Pooled vehicle clients · 3 to 5Sep 29, 2022 to Mar 31, 2023
- Employees · 8 to 10Sep 29, 2022 to Mar 31, 2023
- Private funds · 2 to 3Sep 29, 2022 to Mar 31, 2023
- Discretionary RAUM · $780M to $1.6BSep 29, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $780M to $1.6BSep 29, 2022 to Mar 31, 2023
- RAUM · $780M to $1.6BSep 29, 2022 to Mar 31, 2023
- Private funds · unset to 2Jul 12, 2022 to Sep 29, 2022
- Assets in custody · 780000000.0 to unsetApr 21, 2022 to Jul 12, 2022
- Custody of client assets · true to falseApr 21, 2022 to Jul 12, 2022
- Accounts · 1 to 3Jan 26, 2022 to Mar 29, 2022
- Pooled vehicle clients · 1 to 3Jan 26, 2022 to Mar 29, 2022
- Assets in custody · $171M to $780MJan 26, 2022 to Mar 29, 2022
Signals
8 dated events
- C•••••• F••• U• I••• reported RAUM $2.6B, up 26% from $2.1B (2025-03-31 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Michael James Wiant (Ceo) no longer on Schedule A of C•••••• F••• U• I••• (listed 2024-05-07, absent 2024-05-30)May 30, 2024 · Control person left · inference
- Bhupendra Ami Dogra (Portfolio Manager, Senior Partner) appeared on Schedule A of C•••••• F••• U• I•••May 30, 2024 · Control person joined · fact
- Max Robert Lasner (Chief Operating Officer & Chief Compliance Officer) appeared on Schedule A of C•••••• F••• U• I•••Sep 1, 2023 · Control person joined · fact
- George Joseph Sorensen (Cco / Head Of Us Finance & Operations) no longer on Schedule A of C•••••• F••• U• I••• (listed 2023-03-31, absent 2023-09-01)Sep 1, 2023 · Control person left · inference
- C•••••• F••• U• I••• reported RAUM $1.6B, up 104% from $780.0M (2022-09-29 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- C•••••• F••• U• I••• reported RAUM $780.0M, up 357% from $170.7M (2022-01-26 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- C•••••• F••• U• I••• filed its initial SEC registration (Form ADV)Jul 19, 2021 · 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
- capital-four.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-461-3730reportedpublic record, Form ADV, Mar 30, 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