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••••• D••••• C•••••• M••••••••• L••
Latest filing Apr 30, 2026
First filing on the tape Mar 31, 2023 · 10 filings
SEC status approved since May 1, 2023
RAUM
$730M
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
15
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
9
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$730M as of Apr 30, 2026
Mar 27, 2024$696M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 30, 2026
Mar 27, 20240 then
Employees (5.A)15 as of Apr 30, 2026
Mar 27, 202412 then
Private funds9 as of Apr 30, 2026
Mar 27, 20245 then
RAUM -8.8% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 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
- $81.1MderivedRAUM 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
- -8.8%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
- $730M, 9 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)
- 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$730M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $730M for 9 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=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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••• D••••• F••• I• L• | Venture Capital Fund | $400M | 101 | Mar 31, 2023 |
| C••••• D••••• F••• I• L• | Private Equity Fund | $202M | 97 | Dec 13, 2021 |
| C••••• D••••• F••• I••• L• | Venture Capital Fund | $47.2M | 11 | Mar 31, 2023 |
| C••••• D••••• S•• I• L•• | Venture Capital Fund | $34.0M | 10 | Dec 13, 2021 |
| C••••• D••••• F••• I••• L• | Venture Capital Fund | $9.9M | 2 | Mar 27, 2024 |
Owners and control persons
Schedule A and B, latest filing
- E••••••• A•••••• D••• · Cco, Cfocontrolsince 03/2022 · owns less than 5%
- G•••••••• J••••••• · Ceo, Managing Membercontrolsince 09/2020 · owns less than 5%
Entity owners
- C••••• D••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- B•• C••••••••• L•bankn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $732M to $730MMar 27, 2026 to Apr 30, 2026
- Discretionary RAUM · $732M to $730MMar 27, 2026 to Apr 30, 2026
- Pooled vehicle RAUM · $732M to $730MMar 27, 2026 to Apr 30, 2026
- RAUM · $732M to $730MMar 27, 2026 to Apr 30, 2026
- Assets in custody · $800M to $732MMay 14, 2025 to Mar 27, 2026
- Employees · 17 to 15May 14, 2025 to Mar 27, 2026
- Discretionary RAUM · $800M to $732MMay 14, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $800M to $732MMay 14, 2025 to Mar 27, 2026
- RAUM · $800M to $732MMay 14, 2025 to Mar 27, 2026
- Financial planning clients · unset to Apr 2, 2025 to May 14, 2025
- Accounts · 5 to 9Jan 6, 2025 to Apr 2, 2025
- Advisory employees · 6 to 8Jan 6, 2025 to Apr 2, 2025
- Pooled vehicle clients · 5 to 9Jan 6, 2025 to Apr 2, 2025
- Assets in custody · $692M to $800MJan 6, 2025 to Apr 2, 2025
- Employees · 12 to 17Jan 6, 2025 to Apr 2, 2025
- Private funds · 5 to 9Jan 6, 2025 to Apr 2, 2025
- Discretionary RAUM · $692M to $800MJan 6, 2025 to Apr 2, 2025
- Pooled vehicle RAUM · $692M to $800MJan 6, 2025 to Apr 2, 2025
- RAUM · $692M to $800MJan 6, 2025 to Apr 2, 2025
- Custody of client assets · false to trueAug 28, 2024 to Jan 6, 2025
- Assets in custody · $696M to $692MMar 27, 2024 to Jun 26, 2024
- Discretionary RAUM · $696M to $692MMar 27, 2024 to Jun 26, 2024
- Pooled vehicle RAUM · $696M to $692MMar 27, 2024 to Jun 26, 2024
- RAUM · $696M to $692MMar 27, 2024 to Jun 26, 2024
- Accounts · 4 to 5Mar 31, 2023 to Mar 27, 2024
- Pooled vehicle clients · 4 to 5Mar 31, 2023 to Mar 27, 2024
- Assets in custody · unset to 696000000.0Mar 31, 2023 to Mar 27, 2024
- Employees · 11 to 12Mar 31, 2023 to Mar 27, 2024
- Private funds · 8 to 5Mar 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $570M to $696MMar 31, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $570M to $696MMar 31, 2023 to Mar 27, 2024
- RAUM · $570M to $696MMar 31, 2023 to Mar 27, 2024
Signals
1 dated events
- C••••• D••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 31, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C••••• D••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- C••••• D••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
- C••••• D••••• C•••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/carbon-direct-capitalreportedpublic record, Form ADV, Sep 19, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-742-3700reportedpublic record, Form ADV, Apr 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