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
4•• C••••••
Legal name 4•• C••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Jun 28, 2023 · 5 filings
SEC status approved since Jul 28, 2023
RAUM
$445M
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
3
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$445M as of Mar 24, 2026
Mar 26, 2024$316M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 26, 20240 then
Employees (5.A)9 as of Mar 24, 2026
Mar 26, 20247 then
Private funds3 as of Mar 24, 2026
Mar 26, 20242 then
RAUM -15% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 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
- $111MderivedRAUM 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
- -15%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 pooled vehiclesreportedItem 5.G
- Custody
- $445M, 4 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)
- 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$445M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $445M for 4 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| 4•• F••• I• T••••• L•• | Private Equity Fund | $284M | 38 | Sep 29, 2021 |
| 4•• F••• I• L• | Private Equity Fund | $284M | 38 | Jun 28, 2023 |
| 4•• F••• I••• L• | Private Equity Fund | $245M | 43 | Mar 26, 2024 |
| 4•• F••• I•• L• | Private Equity Fund | $71.6M | 32 | Jun 28, 2023 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• C•••••• N•• · Chief Legal Officer, Chief Compliance Officercontrolsince 04/2023 · owns less than 5%
- M•••••• P••••• E•••••• D• M••••• · Partnercontrolsince 05/2020 · owns less than 5%
- M••••••• A••••••••• D• S••••••• · Partnercontrolsince 02/2018 · owns less than 5%
- T•••••••• R•••••• V••••••••• S••••• · Partnercontrolsince 05/2020 · owns less than 5%
- M••••••• A••••••••• D• S••••••• · Ownercontrolsince 11/2018 · owns 75% or more of 4•• C•••••• F• L••
Entity owners
- 4•• C•••••• F• L•• · Sole Memberdirect · owns 75% or more
- E• I•••••••• L•• · Partnerdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- 4•• C•••••• I• G•• L•pooled vehicle sponsorn
- 4•• C•••••• I• G•• L•pooled vehicle sponsorn
- 4•• C•••••• I•• G•• L•pooled vehicle sponsorn
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 24, 2026private funds (Schedule D 7.B.1) moved from 2.0 to 3.0 (+50.0%) between the annual amendments of 2025-03-24 and 2026-03-24; the peer median change was 0.0% (734 comparable advisers, 95.0th percentile of changes)peers: asset managers, $100M to $500M (734) · 95% percentile
What changed
consecutive filings, newest first
- Accounts · 3 to 4Mar 24, 2025 to Mar 24, 2026
- Pooled vehicle clients · 3 to 4Mar 24, 2025 to Mar 24, 2026
- Assets in custody · $524M to $445MMar 24, 2025 to Mar 24, 2026
- Private funds · 2 to 3Mar 24, 2025 to Mar 24, 2026
- Discretionary RAUM · $524M to $445MMar 24, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $524M to $445MMar 24, 2025 to Mar 24, 2026
- RAUM · $524M to $445MMar 24, 2025 to Mar 24, 2026
- Advisory employees · 5 to 7Apr 9, 2024 to Mar 24, 2025
- Assets in custody · $316M to $524MApr 9, 2024 to Mar 24, 2025
- Employees · 7 to 9Apr 9, 2024 to Mar 24, 2025
- Financial planning clients · unset to Apr 9, 2024 to Mar 24, 2025
- Discretionary RAUM · $316M to $524MApr 9, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $316M to $524MApr 9, 2024 to Mar 24, 2025
- RAUM · $316M to $524MApr 9, 2024 to Mar 24, 2025
- Advisory employees · 4 to 5Jun 28, 2023 to Mar 26, 2024
- Assets in custody · $399M to $316MJun 28, 2023 to Mar 26, 2024
- Private funds · 4 to 2Jun 28, 2023 to Mar 26, 2024
- Discretionary RAUM · $399M to $316MJun 28, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $399M to $316MJun 28, 2023 to Mar 26, 2024
- RAUM · $399M to $316MJun 28, 2023 to Mar 26, 2024
Signals
2 dated events
- 4•• C•••••• reported RAUM $524.3M, up 66% from $316.1M (2024-04-09 to 2025-03-24)Mar 24, 2025 · RAUM change · derived
- 4•• C•••••• filed its initial SEC registration (Form ADV)Jun 28, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- 4•• C•••••• · Independent Sponsorsshared crd · capital_provider
- 4•• C•••••• · Private Equityshared crd · organization
- 4•• C•••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- 4x4capital.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 917-780-8035reportedpublic record, Form ADV, Mar 24, 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