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••• A•••••••
Legal name C••• A••••••• L••
Latest filing Jun 26, 2026
First filing on the tape Jun 26, 2024 · 7 filings
SEC status approved since Jul 26, 2024
RAUM
$225M
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
32
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$225M as of Jun 26, 2026
Mar 28, 2025$125M then
HNW client RAUM$0 as of Jun 26, 2026
Mar 28, 2025$0 then
State-registered IARs (5.B.3)0 as of Jun 26, 2026
Mar 28, 20250 then
Employees (5.A)32 as of Jun 26, 2026
Mar 28, 202530 then
Private funds2 as of Jun 26, 2026
Mar 28, 20251 then
RAUM +80% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 26, 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
- $56.3MderivedRAUM 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
- +80%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, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$160M71%
- Corporations and businesses$64.9M29%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.71 institutional_share=0.0 related_bd=true related_bank=false bd_reps=14.0derived
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 |
|---|---|---|---|---|
| C••• S•••••• M•••• A•• E••••••••• F•••••• | Private Equity Fund | $0 | 0 | Nov 21, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• N•••• D•••• · Chief Investment Officercontrolsince 06/2024 · owns less than 5%
- C••••••• M••••••• P•••••• · Chief Compliance Officercontrolsince 06/2024 · owns less than 5%
- C•••••••• C••••••••• F•••••••• · Chief Operations Officercontrolsince 06/2024 · owns less than 5%
- M•••••••• T•••••••• M•••••• · Chief Financial Officercontrolsince 06/2024 · owns less than 5%
- R••••••• M••••••• N••••• · Chief Legal Officercontrolsince 06/2024 · owns less than 5%
- B•••••• T•••• L••••••• · Membercontrolsince 11/2014 · owns 75% or more of N•• C•••••• L••
Entity owners
- C•••••• I••••••••• S•••••• L•• · Managing Memberdirect · owns 75% or more
- E••••••• C• H••••••• L•• · Memberindirect · owns 25% to 50% of C•••••• I••••••••• S•••••• L••
- E••••••• F• H••••••• L•• · Memberindirect · owns 75% or more of E••••••• C• H••••••• L••
- E••••••• I••••••••• L•• · Memberindirect · owns 75% or more of E••••••• F• H••••••• L••
- N•• C•••••• L•• · Memberindirect · owns 75% or more of S•• I•••••••• L••
- S•• I•••••••• L•• · Memberindirect · owns 75% or more of E••••••• I••••••••• L••
Related persons
Schedule D 7.A
- C••• C•••••• L••broker-dealern
- C••• I•••••••• S•••••••• L••real estaten
- C•••••• I••••••••• S•••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- institutional asset share shiftChange between filings · filing Mar 27, 2026institutional share of RAUM moved from 100.0% to 29.0% between the annual amendments of 2025-03-28 and 2026-03-27peers: asset managers, $100M to $500M (1,568)
- RAUM up 50 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $125,046,150 to $225,327,313 (+80.0%) between the annual amendments of 2025-03-28 and 2026-03-27; the peer median change was +4.0% (1147 comparable advisers, 95.0th percentile of changes)peers: asset managers, $100M to $500M (1,147) · 95% percentile
What changed
consecutive filings, newest first
- Accounts · 2 to 4Dec 23, 2025 to Mar 27, 2026
- Advisory employees · 6 to 8Dec 23, 2025 to Mar 27, 2026
- BD registered reps · 12 to 14Dec 23, 2025 to Mar 27, 2026
- Pooled vehicle clients · 1 to 2Dec 23, 2025 to Mar 27, 2026
- Employees · 30 to 32Dec 23, 2025 to Mar 27, 2026
- Private funds · 1 to 2Dec 23, 2025 to Mar 27, 2026
- Discretionary RAUM · $125M to $225MDec 23, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $0 to $160MDec 23, 2025 to Mar 27, 2026
- RAUM · $125M to $225MDec 23, 2025 to Mar 27, 2026
- Advisory activities · 3 to 4Sep 23, 2025 to Dec 23, 2025
- Advisory employees · 7 to 6Nov 21, 2024 to Mar 28, 2025
- BD registered reps · 11 to 12Nov 21, 2024 to Mar 28, 2025
- Business name · C••• A••••••• L•• to C••• A•••••••Nov 21, 2024 to Mar 28, 2025
- Employees · 27 to 30Nov 21, 2024 to Mar 28, 2025
- Financial planning clients · unset to Nov 21, 2024 to Mar 28, 2025
- Discretionary RAUM · $79.9M to $125MNov 21, 2024 to Mar 28, 2025
- RAUM · $79.9M to $125MNov 21, 2024 to Mar 28, 2025
- Accounts · 0 to 2Jun 26, 2024 to Nov 21, 2024
- Advisory employees · 5 to 7Jun 26, 2024 to Nov 21, 2024
- Advisory activities · 1 to 3Jun 26, 2024 to Nov 21, 2024
- BD registered reps · 5 to 11Jun 26, 2024 to Nov 21, 2024
- Corporate clients · 0 to 1Jun 26, 2024 to Nov 21, 2024
- Pooled vehicle clients · 0 to 1Jun 26, 2024 to Nov 21, 2024
- Employees · 13 to 27Jun 26, 2024 to Nov 21, 2024
- Private funds · unset to 1Jun 26, 2024 to Nov 21, 2024
- Discretionary RAUM · $0 to $79.9MJun 26, 2024 to Nov 21, 2024
- RAUM · $0 to $79.9MJun 26, 2024 to Nov 21, 2024
Signals
2 dated events
- C••• A••••••• reported RAUM $225.3M, up 80% from $125.0M (2025-12-23 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- C••• A••••••• L•• filed its initial SEC registration (Form ADV)Jun 26, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C••• A••••••• · Independent Sponsorsshared crd · capital_provider
- C••• A••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/cais-advisors/aboutreportedpublic record, Form ADV, Sep 19, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-300-9355reportedpublic record, Form ADV, Jun 26, 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