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••••••• E••••• P••••••• L•
Latest filing Mar 30, 2026
First filing on the tape Oct 6, 2022 · 12 filings
SEC status approved since Nov 14, 2022
RAUM
$529M
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
16
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$529M as of Mar 30, 2026
Mar 24, 2023$226M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 24, 20230 then
Employees (5.A)16 as of Mar 30, 2026
Mar 24, 20232 then
Private funds2 as of Mar 30, 2026
Mar 24, 20231 then
RAUM +2.4% over the last fiscal year+33% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 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
- $58.8MderivedRAUM 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
- +2.4%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $209M, 3 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$370M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $209M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.7 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••• C•• M•••••• L• | Hedge Fund | $117M | 15 | Mar 28, 2024 |
| C••••••• M••••• F••• L• | Hedge Fund | $42.6M | 1 | Mar 28, 2024 |
| C••••••• E••••• F••• L• | Hedge Fund | $39.0M | 1 | Mar 16, 2023 |
Owners and control persons
Schedule A and B, latest filing
- F•••••••• M•••••• C••••• · Managing Partnercontrolsince 07/2022 · owns less than 5%
- H••••••••• F••••••• C•••• · Chief Compliance Officer / Chief Operating Officercontrolsince 06/2023 · owns less than 5%
- F•••••••• M•••••• C••••• · Managing Membercontrolsince 07/2022 · owns 75% or more of C••••• C•••••• L••
Entity owners
- C••••• C•••••• L•• · Partnerdirect · owns 75% or more
- C••••••• E••••• P••••••• G• L•• · General Partnerdirect · owns less than 5%
- C••••• C•••••• L•• · Memberindirect · owns 75% or more of C••••••• E••••• P••••••• G• L••
Related persons
Schedule D 7.A
- C••••••• E••••• A••••••• L••pooled vehicle sponsory
- C••••••• E••••• P••••••• G• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count surgeChange between filings · filing Mar 30, 2026employees (Item 5.A) moved from 10.0 to 16.0 (+60.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was 0.0% (394 comparable advisers, 99.0th percentile of changes)peers: asset managers, $500M to $1B (394) · 99% percentile
What changed
consecutive filings, newest first
- Advisory employees · 7 to 13Mar 31, 2025 to Mar 30, 2026
- Assets in custody · $517M to $209MMar 31, 2025 to Mar 30, 2026
- Employees · 10 to 16Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $517M to $529MMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $381M to $370MMar 31, 2025 to Mar 30, 2026
- RAUM · $517M to $529MMar 31, 2025 to Mar 30, 2026
- Advisory employees · 5 to 7Apr 2, 2024 to Mar 31, 2025
- Pooled vehicle clients · 7 to 6Apr 2, 2024 to Mar 31, 2025
- Assets in custody · $42.6M to $517MApr 2, 2024 to Mar 31, 2025
- Employees · 7 to 10Apr 2, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Apr 2, 2024 to Mar 31, 2025
- Discretionary RAUM · $348M to $517MApr 2, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $276M to $381MApr 2, 2024 to Mar 31, 2025
- RAUM · $348M to $517MApr 2, 2024 to Mar 31, 2025
- Accounts · 3 to 9Aug 22, 2023 to Mar 28, 2024
- Advisory employees · 2 to 5Aug 22, 2023 to Mar 28, 2024
- Pooled vehicle clients · 1 to 7Aug 22, 2023 to Mar 28, 2024
- Assets in custody · $39.0M to $42.6MAug 22, 2023 to Mar 28, 2024
- Employees · 2 to 7Aug 22, 2023 to Mar 28, 2024
- Organization form · Partnership to Limited PartnershipAug 22, 2023 to Mar 28, 2024
- Private funds · 1 to 2Aug 22, 2023 to Mar 28, 2024
- Discretionary RAUM · $226M to $348MAug 22, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $39.0M to $276MAug 22, 2023 to Mar 28, 2024
- RAUM · $226M to $348MAug 22, 2023 to Mar 28, 2024
- Accounts · 0 to 3Oct 26, 2022 to Mar 16, 2023
- Advisory employees · 1 to 2Oct 26, 2022 to Mar 16, 2023
- Advisory activities · 2 to 3Oct 26, 2022 to Mar 16, 2023
- Pooled vehicle clients · unset to 1.0Oct 26, 2022 to Mar 16, 2023
- Assets in custody · $0 to $39.0MOct 26, 2022 to Mar 16, 2023
- Custody of client assets · false to trueOct 26, 2022 to Mar 16, 2023
- Employees · 1 to 2Oct 26, 2022 to Mar 16, 2023
- Private funds · unset to 1Oct 26, 2022 to Mar 16, 2023
- Discretionary RAUM · $0 to $226MOct 26, 2022 to Mar 16, 2023
- Pooled vehicle RAUM · unset to 39000000.0Oct 26, 2022 to Mar 16, 2023
- RAUM · $0 to $226MOct 26, 2022 to Mar 16, 2023
- Related bank · false to trueOct 26, 2022 to Mar 16, 2023
- Advisory activities · 1 to 2Oct 6, 2022 to Oct 17, 2022
- Business name · C••••••• P••••••• L• to C••••••• E••••• P••••••• L•Oct 6, 2022 to Oct 17, 2022
- Legal name · C••••••• P••••••• L• to C••••••• E••••• P••••••• L•Oct 6, 2022 to Oct 17, 2022
Signals
4 dated events
- C••••••• E••••• P••••••• L• reported RAUM $516.6M, up 48% from $348.0M (2024-04-02 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- C••••••• E••••• P••••••• L• reported RAUM $348.0M, up 54% from $225.8M (2023-08-22 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Cyrus Farzine Hachemian (Coo) appeared on Schedule A of C••••••• E••••• P••••••• L•Aug 22, 2023 · Control person joined · fact
- C••••••• P••••••• L• filed its initial SEC registration (Form ADV)Oct 6, 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
- Principal office phone
- 203-200-0636reportedpublic record, Form ADV, Mar 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