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••••••••• C•••••• P•• L• P•

Asset manager (funds and pooled vehicles)Andover, MassachusettsCRD 319678SEC 801-125940websiteIAPD
Latest filing Mar 31, 2026
First filing on the tape May 23, 2022 · 7 filings
SEC status approved since Jun 23, 2022
RAUM
$911M
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
67
24 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$911M as of Mar 31, 2026
Mar 30, 2023$676M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20230 then
Employees (5.A)67 as of Mar 31, 2026
Mar 30, 202352 then
Private funds: no history
RAUM +28% over the last fiscal year+10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
$911MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+28%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 investment companiesreportedItem 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
  • 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$911M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
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=false related_bank=false bd_reps=7.0derived
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•••••• M•••••• · Chief Executive Officercontrol
        since 03/2022 · owns 50% to 75%
      • H••••• R•••••• M•••••• · Managing Partnercontrol
        since 09/2024 · owns 5% to 10%
      • R••••• V••••••• T••••• · Managing Partnercontrol
        since 09/2024 · owns 10% to 25%
      • C•••••• D•••••• M•••••• · Managing Membercontrol
        since 03/2022 · owns 50% to 75% of C••••••••• C•••••• P• G•• L••
      • G•••••• J•••• J••••• · Managing Membercontrol
        since 03/2022 · owns 50% to 75% of C••••••••• C•••••• P• G•• L••
      • C•••• S••••••• R•••••• · Chief Financial Officer
        since 05/2024 · owns less than 5%
      • M•••••••• B••••• W• · Chief Compliance Officer
        since 11/2023 · owns less than 5%
      Entity owners
      • C••••••••• C•••••• P• G•• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • C•• G••••• E•••• G•• L••
        investment adviserpooled vehicle sponsorn
      • C••••••••• C•••••• C••••• P••••••• L•
        investment advisern
      • C••••••••• C•••••• E••••• P••••••• L•
        investment advisernRAUM $5.3B
      • I•••••••• I•• G•• L••
        investment adviserpooled vehicle sponsorn
      • I•••••••• I• G•• L••
        investment adviserpooled vehicle sponsorn
      • I•••••••• O••••••••• A•••• G•• L••
        investment adviserpooled vehicle sponsorn
      • I•••••••• O••••••••• G•• L••
        investment adviserpooled vehicle sponsorn
      • I•••••••• O••••••••• I• G•• L••
        investment adviserpooled vehicle sponsorn
      • I•••••••• V• G•• L••
        investment adviserpooled vehicle sponsorn
      • I•••••••• V• G•• L••
        investment adviserpooled vehicle sponsorn
      • U••••••••• G• I•• L••
        investment adviserpooled vehicle sponsorn
      • U••••••••• G•• L••
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      Advisers that list C••••••••• C•••••• P•• L• P• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY4 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 26 to 24
        Mar 31, 2025 to Mar 31, 2026
      • BD registered reps · 9 to 7
        Mar 31, 2025 to Mar 31, 2026
      • Employees · 72 to 67
        Mar 31, 2025 to Mar 31, 2026
      • Discretionary RAUM · $710M to $911M
        Mar 31, 2025 to Mar 31, 2026
      • RAUM · $710M to $911M
        Mar 31, 2025 to Mar 31, 2026
      • BD registered reps · 5 to 9
        Nov 4, 2024 to Mar 31, 2025
      • Employees · 62 to 72
        Nov 4, 2024 to Mar 31, 2025
      • Financial planning clients · unset to
        Nov 4, 2024 to Mar 31, 2025
      • Discretionary RAUM · $672M to $710M
        Nov 4, 2024 to Mar 31, 2025
      • RAUM · $672M to $710M
        Nov 4, 2024 to Mar 31, 2025
      • Advisory employees · 23 to 26
        Nov 16, 2023 to Mar 25, 2024
      • BD registered reps · 2 to 5
        Nov 16, 2023 to Mar 25, 2024
      • Employees · 52 to 62
        Nov 16, 2023 to Mar 25, 2024
      • Discretionary RAUM · $676M to $672M
        Nov 16, 2023 to Mar 25, 2024
      • RAUM · $676M to $672M
        Nov 16, 2023 to Mar 25, 2024
      • Accounts · 0 to 1
        May 23, 2022 to Mar 30, 2023
      • Advisory employees · 20 to 23
        May 23, 2022 to Mar 30, 2023
      • BD registered reps · 0 to 2
        May 23, 2022 to Mar 30, 2023
      • Employees · 44 to 52
        May 23, 2022 to Mar 30, 2023
      • Discretionary RAUM · $0 to $676M
        May 23, 2022 to Mar 30, 2023
      • RAUM · $0 to $676M
        May 23, 2022 to Mar 30, 2023
      Signals
      4 dated events
      • C••••••••• C•••••• P•• L• P• reported RAUM $910.8M, up 28% from $709.7M (2025-03-31 to 2026-03-31)
        Mar 31, 2026 · RAUM change · derived
      • Tupasi Vicente Ramos (Managing Partner) appeared on Schedule A of C••••••••• C•••••• P•• L• P•
        Nov 4, 2024 · Control person joined · fact
      • Malcolm Robert Hatch (Managing Partner) appeared on Schedule A of C••••••••• C•••••• P•• L• P•
        Nov 4, 2024 · Control person joined · fact
      • C••••••••• C•••••• P•• L• P• filed its initial SEC registration (Form ADV)
        May 23, 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
      concp.comreportedpublic record, Form ADV, Sep 19, 2026
      Principal office phone
      978-749-9600reportedpublic record, Form ADV, Mar 31, 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