DFX Intelligence

RIA Intelligence

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SEC-registered adviser

3• C•••••• M••••••••• L••

Other adviserGreenwich, ConnecticutCRD 326780SEC 801-128177website IAPD

Latest filing Jul 31, 2026

First filing on the tape May 17, 2023 · 10 filings

SEC status approved since Jun 20, 2023

RAUM

$113M

reported, Item 5.F

Discretionary

88%

of RAUM

Private clients

15%

$16.4M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$113M

derived; firm RAUM over IAPD count

Employees

6 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

10 filings and snapshots on the tape

RAUM$113M as of Jul 31, 2026

Mar 22, 2024$103M then

HNW client RAUM$16.4M as of Jul 31, 2026

Mar 22, 2024$81.2M then

State-registered IARs (5.B.3)1 as of Jul 31, 2026

Mar 22, 20241 then

Employees (5.A)11 as of Jul 31, 2026

Mar 22, 20247 then

Private funds2 as of Jul 31, 2026

Mar 26, 20252 then

RAUM +16% over the last fiscal yearIARs 1 to 1

Practice profile

derived from the filing of Jul 31, 2026; every figure names its basis

Archetypes, each a printed rule

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $113MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 2derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $8.2MderivedHNW RAUM over HNW clients
Average account: $12.5MderivedRAUM over accounts (5.F.2.f)
Discretionary: 88%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 11.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +16%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -60%derived
Compensation: percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody: $77.1M, 2 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

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)
receives research or other products from a broker-dealer, soft dollars (8.E)
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)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$77.1M68%
High-net-worth individuals$16.4M15%
Other investment advisers$13.9M12%
Corporations and businesses$5.3M4.7%

Individual clients: 0reported
HNW clients: 2reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 9reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $77.1M for 2 clientsreported
Compensation: % of AUM, fixed, performancereported
Class basis: private_client_share=0.15 fund_share=0.81 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

1 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
A•••• F• Z••••••	Greenwich, Ct	Oct 5, 2023	13 y	0

Advisor movement

0 left, 0 joined in 12 months

net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
3• P•••••• O••••••••• F••• L•• • 3• C•••••••• S•••••	Private Equity Fund	$2.5M	13	Aug 26, 2024

Owners and control persons

Schedule A and B, latest filing

R••••• M••••••• G••••• · Chief Financial Officer/Chief Compliance Officercontrol
since 11/2023 · owns less than 5%
Z••••••• A••••• F• · Chairman/Chief Investment Officercontrol
since 03/2023 · owns less than 5%
Z••••••• A••••• F• · Managing Membercontrol
since 02/2013 · owns 25% to 50% of Z•••••• C•••••• H••••••• L••
Z••••••• S••••• D• · Managing Membercontrol
since 02/2013 · owns 25% to 50% of Z•••••• C•••••• H••••••• L••

Entity owners

3• C•••••• M••••••••• L••• · Managing Member
direct · owns 75% or more
A• B•••• T•••• · Member
indirect · owns 25% to 50% of Z•••••• C•••••• H••••••• L••
Z•••••• C•••••• H••••••• L•• · General Partner
indirect · owns 50% to 75% of 3• C•••••• M••••••••• L•••

Related persons

Schedule D 7.A

Z•••••• C•••••• H•••••••• L••
investment advisery

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

3 against comparable advisers; where to look, not conclusions

client mix shiftChange between filings · filing Mar 31, 2026
private-client share of RAUM moved from 34.0% to 15.0% between the annual amendments of 2025-03-26 and 2026-03-31
peers: other advisers, $100M to $500M (212)
HNW share shiftChange between filings · filing Mar 31, 2026
HNW share of RAUM moved from 34.0% to 15.0% between the annual amendments of 2025-03-26 and 2026-03-31
peers: other advisers, $100M to $500M (212)
institutional asset share shiftChange between filings · filing Mar 31, 2026
institutional share of RAUM moved from 1.0% to 17.0% between the annual amendments of 2025-03-26 and 2026-03-31
peers: other advisers, $100M to $500M (212)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 11 to 9
Aug 20, 2025 to Mar 31, 2026
Advisory activities · 6 to 4
Aug 20, 2025 to Mar 31, 2026
Corporate clients · 0 to 2
Aug 20, 2025 to Mar 31, 2026
HNW clients · 5 to 2
Aug 20, 2025 to Mar 31, 2026
Pooled vehicle clients · 3 to 2
Aug 20, 2025 to Mar 31, 2026
Assets in custody · $63.1M to $77.1M
Aug 20, 2025 to Mar 31, 2026
Financial planning clients · 1-10 to
Aug 20, 2025 to Mar 31, 2026
Discretionary RAUM · $83.2M to $98.9M
Aug 20, 2025 to Mar 31, 2026
HNW RAUM · $32.8M to $16.4M
Aug 20, 2025 to Mar 31, 2026
Non-discretionary RAUM · $13.9M to $13.8M
Aug 20, 2025 to Mar 31, 2026
Pooled vehicle RAUM · $63.1M to $77.1M
Aug 20, 2025 to Mar 31, 2026
RAUM · $97.1M to $113M
Aug 20, 2025 to Mar 31, 2026
Financial planning clients · 1-10 to 1-10
Mar 26, 2025 to May 29, 2025
Accounts · 21 to 11
Aug 26, 2024 to Mar 26, 2025
Advisory employees · 4 to 6
Aug 26, 2024 to Mar 26, 2025
Advisory activities · 5 to 6
Aug 26, 2024 to Mar 26, 2025
Corporate clients · unset to 0.0
Aug 26, 2024 to Mar 26, 2025
HNW clients · 9 to 5
Aug 26, 2024 to Mar 26, 2025
Pooled vehicle clients · 0 to 3
Aug 26, 2024 to Mar 26, 2025
Assets in custody · $2.4M to $63.1M
Aug 26, 2024 to Mar 26, 2025
Employees · 7 to 11
Aug 26, 2024 to Mar 26, 2025
Private funds · 1 to 2
Aug 26, 2024 to Mar 26, 2025
Discretionary RAUM · $88.3M to $83.2M
Aug 26, 2024 to Mar 26, 2025
HNW RAUM · $81.2M to $32.8M
Aug 26, 2024 to Mar 26, 2025
Non-discretionary RAUM · $15.0M to $13.9M
Aug 26, 2024 to Mar 26, 2025
Pooled vehicle RAUM · $0 to $63.1M
Aug 26, 2024 to Mar 26, 2025
RAUM · $103M to $97.1M
Aug 26, 2024 to Mar 26, 2025
Assets in custody · unset to 2400000.0
Mar 22, 2024 to Aug 26, 2024
Custody of client assets · false to true
Mar 22, 2024 to Aug 26, 2024
Private funds · unset to 1
Mar 22, 2024 to Aug 26, 2024
Accounts · 14 to 21
Oct 13, 2023 to Mar 22, 2024
Advisory activities · 3 to 5
Oct 13, 2023 to Mar 22, 2024
HNW clients · 10 to 9
Oct 13, 2023 to Mar 22, 2024
Financial planning clients · unset to 1-10
Oct 13, 2023 to Mar 22, 2024
Discretionary RAUM · $87.4M to $88.3M
Oct 13, 2023 to Mar 22, 2024
HNW RAUM · $78.5M to $81.2M
Oct 13, 2023 to Mar 22, 2024
RAUM · $102M to $103M
Oct 13, 2023 to Mar 22, 2024
Accounts · 0 to 14
Aug 21, 2023 to Oct 13, 2023
Advisory employees · 3 to 4
Aug 21, 2023 to Oct 13, 2023
Corporate clients · 0.0 to unset
Aug 21, 2023 to Oct 13, 2023

Signals

3 dated events

George Matthew Roche (Chief Financial Officer/Chief Compliance Officer) appeared on Schedule A of 3• C•••••• M••••••••• L••
Mar 22, 2024 · Control person joined · fact
Spencer Derek Wallis (Chief Compliance Officer/Chief Operations Officer) no longer on Schedule A of 3• C•••••• M••••••••• L•• (listed 2023-10-13, absent 2024-03-22)
Mar 22, 2024 · Control person left · inference
3• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
May 17, 2023 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

3• C•••••• M••••••••• L•• · Independent Sponsors
shared crd · capital_provider
3• C•••••• M••••••••• L•• · Private Equity
shared crd · organization

How to reach

public business contact points only, each with its source

Firm profile: linkedin.com/company/33-capital-managementreportedpublic record, Form ADV, Sep 21, 2026
Website: 3•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 203-391-9340reportedpublic record, Form ADV, Jul 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: Other adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: $113Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026