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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C•••••• C•••••• P••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jul 21, 2022 · 13 filings
SEC status approved since Aug 19, 2022
RAUM
$191M
reported, Item 5.F
Discretionary
0.0%
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
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$191M as of Mar 27, 2026
Mar 31, 2023$208M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 31, 20230 then
Employees (5.A)3 as of Mar 27, 2026
Mar 31, 20237 then
Private funds: no history
RAUM +0.0% over the last fiscal year-2.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $63.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- +0.0%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 businesses and institutionsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- 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=0.0 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• D••• T••••• · Chief Executive Officercontrolsince 11/2021 · owns 75% or more
- C••••••• D••• T••••• · Managing Membercontrolsince 11/2021 · owns 75% or more of C•••••• P••••••••• L••
- N••••• K••••• E•••• · Chief Compliance Officersince 07/2024 · owns less than 5%
Entity owners
- C•••••• C•••••• H••••••• L•• · Managing Memberdirect · owns 75% or more
- C•••••• P••••••••• L•• · Managing Memberindirect · owns 75% or more of C•••••• C•••••• H••••••• L••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 27, 2026discretionary share of RAUM of 0% against a peer median of 100% (212 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: other advisers, $100M to $500M (212) · 0.0% percentile
What changed
consecutive filings, newest first
- Financial planning clients · unset to Jan 2, 2025 to Mar 31, 2025
- Advisory employees · 4 to 3Jul 3, 2024 to Jan 2, 2025
- Employees · 5 to 3Jul 3, 2024 to Jan 2, 2025
- Discretionary RAUM · $191M to $0Jul 3, 2024 to Jan 2, 2025
- Non-discretionary RAUM · $0 to $191MJul 3, 2024 to Jan 2, 2025
- Advisory employees · 5 to 4Apr 9, 2024 to Jul 3, 2024
- Employees · 6 to 5Apr 9, 2024 to Jul 3, 2024
- Discretionary RAUM · $208M to $191MAug 7, 2023 to Mar 27, 2024
- RAUM · $208M to $191MAug 7, 2023 to Mar 27, 2024
- Accounts · 1 to 3Jul 11, 2023 to Aug 7, 2023
- Advisory employees · 2 to 5Jul 11, 2023 to Aug 7, 2023
- Employees · 7 to 6Jun 29, 2023 to Jul 11, 2023
- Employees · 8 to 7Dec 16, 2022 to Mar 31, 2023
- Discretionary RAUM · $195M to $208MDec 16, 2022 to Mar 31, 2023
- RAUM · $195M to $208MDec 16, 2022 to Mar 31, 2023
- Advisory activities · 2 to 1Jul 21, 2022 to Dec 16, 2022
- Employees · 6 to 8Jul 21, 2022 to Dec 16, 2022
- Discretionary RAUM · $38.4M to $195MJul 21, 2022 to Dec 16, 2022
- RAUM · $38.4M to $195MJul 21, 2022 to Dec 16, 2022
Signals
5 dated events
- C W•••••• M••••• (Member) no longer on Schedule A of C•••••• C•••••• P••••••• L•• (listed 2023-08-07, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Emily K•••• N•••• (Chief Compliance Officer) no longer on Schedule A of C•••••• C•••••• P••••••• L•• (listed 2023-08-07, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- T••••••• W••• (Chief Compliance Officer) no longer on Schedule A of C•••••• C•••••• P••••••• L•• (listed 2023-05-25, absent 2023-06-29)Jun 29, 2023 · Control person left · inference
- K•••• N•••• (Chief Compliance Officer) appeared on Schedule A of C•••••• C•••••• P••••••• L••Jun 29, 2023 · Control person joined · fact
- C•••••• C•••••• P••••••• L•• filed its initial SEC registration (Form ADV)Jul 21, 2022 · 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
- calumetcapital.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 312-543-2102reportedpublic record, Form ADV, Mar 27, 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
- Other adviserderiveda 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