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•••••• I••••••••• M••••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Oct 19, 2023 · 10 filings
SEC status approved since Nov 17, 2023
RAUM
$302M
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
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
127
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$302M as of Mar 25, 2026
Mar 26, 2024$272M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 26, 20240 then
Employees (5.A)6 as of Mar 25, 2026
Mar 26, 20245 then
Private funds127 as of Mar 25, 2026
Mar 26, 2024108 then
RAUM +3.4% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 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
- $2.4MderivedRAUM 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
- +3.4%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-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $302M, 127 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$302M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 127reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $302M for 127 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=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
122 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N••••• | Private Equity Fund | $98.9M | 13 | Mar 26, 2024 |
| M••• | Private Equity Fund | $31.0M | 1 | Mar 26, 2024 |
| C•• C• I••••••••• L•• I• | Private Equity Fund | $16.1M | 10 | Oct 19, 2023 |
| C••••••••• L•• | Private Equity Fund | $14.1M | 5 | Oct 19, 2023 |
| C••••• L•• | Private Equity Fund | $13.6M | 5 | Oct 19, 2023 |
| C•• C• I••••••••• L•• I•• | Private Equity Fund | $11.5M | 13 | Oct 19, 2023 |
| C••••• I• L•• | Private Equity Fund | $11.2M | 7 | Oct 19, 2023 |
| C•• C• I••••••••• L•• I• | Private Equity Fund | $10.9M | 12 | Oct 19, 2023 |
| B•••• | Private Equity Fund | $9.6M | 11 | Mar 26, 2024 |
| S•••••• | Private Equity Fund | $9.4M | 3 | Mar 26, 2024 |
| C••••••••• I•• L•• | Private Equity Fund | $7.9M | 18 | Oct 19, 2023 |
| B••••• | Private Equity Fund | $7.8M | 19 | Mar 26, 2024 |
| C••••• L•• | Private Equity Fund | $7.3M | 2 | Oct 19, 2023 |
| C••••••••• I• L•• | Private Equity Fund | $7.3M | 10 | Oct 19, 2023 |
| L•• V• | Private Equity Fund | $7.0M | 1 | Mar 26, 2024 |
| G• | Private Equity Fund | $5.3M | 3 | Mar 26, 2024 |
| C••••••••• L•• | Private Equity Fund | $5.2M | 5 | Oct 19, 2023 |
| C•• C• I••••••••• L•• V• | Private Equity Fund | $5.2M | 19 | Oct 19, 2023 |
| C••••••• | Private Equity Fund | $4.3M | 11 | Mar 26, 2024 |
| C••••••••• | Private Equity Fund | $3.6M | 5 | Mar 26, 2024 |
| C••• | Private Equity Fund | $3.5M | 7 | Oct 19, 2023 |
| P••••••••• | Private Equity Fund | $3.1M | 5 | Mar 26, 2024 |
| B••• | Private Equity Fund | $3.0M | 12 | Mar 26, 2024 |
| C••••••••• L•• | Private Equity Fund | $2.9M | 8 | Oct 19, 2023 |
| C••••• | Private Equity Fund | $2.7M | 6 | Oct 19, 2023 |
| C••••••• | Private Equity Fund | $2.5M | 13 | Mar 26, 2024 |
| S•••••• | Private Equity Fund | $2.4M | 4 | Mar 26, 2024 |
| C•••••• | Private Equity Fund | $2.4M | 5 | Mar 26, 2024 |
| L•• | Private Equity Fund | $2.4M | 6 | Mar 26, 2024 |
| L••••••• | Private Equity Fund | $2.4M | 7 | Mar 26, 2024 |
| C••••••••• | Private Equity Fund | $2.4M | 2 | Mar 26, 2024 |
| N•• | Private Equity Fund | $2.3M | 9 | Oct 19, 2023 |
| C••••••••• | Private Equity Fund | $2.3M | 5 | Mar 26, 2024 |
| G••••• | Private Equity Fund | $2.2M | 3 | Mar 26, 2024 |
| C•••••••• | Private Equity Fund | $2.2M | 10 | Mar 26, 2024 |
| C••••••• | Private Equity Fund | $2.1M | 5 | Mar 26, 2024 |
| N••• I•• | Private Equity Fund | $2.1M | 7 | Mar 26, 2024 |
| C•••••• | Private Equity Fund | $2.1M | 3 | Mar 26, 2024 |
| C•••••• L•• | Private Equity Fund | $2.1M | 10 | Oct 19, 2023 |
| S• | Private Equity Fund | $2.0M | 5 | Oct 19, 2023 |
Owners and control persons
Schedule A and B, latest filing
- D•••••• T••••••• L•••• · Chief Compliance Officercontrolsince 09/2023 · owns less than 5%
- H•••••• C••••••••• L•• · Managing Principalcontrolsince 09/2023 · owns less than 5%
- S••••• J•••• A•••• · Principalcontrolsince 09/2023 · owns less than 5%
- H•••••• C••••••••• L•• · Managing Principalcontrolsince 01/2004 · owns 75% or more of W••••• I••••••••• L••
- S••••• J•••• A•••• · Principalcontrolsince 02/2011 · owns 75% or more of M••• C•••••• I• L••
Entity owners
- M••• C•••••• I• L•• · Co-Ownerdirect · owns 25% to 50%
- W••••• I••••••••• L•• · Co-Ownerdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- C•••••• W••••• M•••••••••investment advisernRAUM $283M
- D••••• W••••• M••••••••• L••investment advisernRAUM $106M
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- many private funds relative to firm sizeStatic outlier · filing Mar 25, 2026private funds per $1B of RAUM of 420.3 against a peer median of 20.7 (712 comparable advisers, 100.0th percentile, 30.6 robust deviations)peers: asset managers, $100M to $500M (712) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 129 to 127Sep 30, 2025 to Mar 25, 2026
- Advisory employees · 3 to 2Sep 30, 2025 to Mar 25, 2026
- Pooled vehicle clients · 129 to 127Sep 30, 2025 to Mar 25, 2026
- Assets in custody · $287M to $302MSep 30, 2025 to Mar 25, 2026
- Employees · 5 to 6Sep 30, 2025 to Mar 25, 2026
- Insurance-licensed employees · 2 to 0Sep 30, 2025 to Mar 25, 2026
- Private funds · 117 to 127Sep 30, 2025 to Mar 25, 2026
- Discretionary RAUM · $287M to $302MSep 30, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $287M to $302MSep 30, 2025 to Mar 25, 2026
- RAUM · $287M to $302MSep 30, 2025 to Mar 25, 2026
- Accounts · 112 to 129Jul 10, 2025 to Sep 30, 2025
- Pooled vehicle clients · 117 to 129Jul 10, 2025 to Sep 30, 2025
- Assets in custody · $292M to $287MJul 10, 2025 to Sep 30, 2025
- Discretionary RAUM · $292M to $287MJul 10, 2025 to Sep 30, 2025
- Pooled vehicle RAUM · $292M to $287MJul 10, 2025 to Sep 30, 2025
- RAUM · $292M to $287MJul 10, 2025 to Sep 30, 2025
- Financial planning clients · unset to May 5, 2025 to Jul 10, 2025
- Private funds · 119 to 117Mar 14, 2025 to May 5, 2025
- Accounts · 63 to 112Jan 29, 2025 to Mar 14, 2025
- Pooled vehicle clients · 108 to 117Jan 29, 2025 to Mar 14, 2025
- Assets in custody · $272M to $292MJan 29, 2025 to Mar 14, 2025
- Insurance-licensed employees · 1 to 2Jan 29, 2025 to Mar 14, 2025
- Private funds · 108 to 119Jan 29, 2025 to Mar 14, 2025
- Discretionary RAUM · $272M to $292MJan 29, 2025 to Mar 14, 2025
- Pooled vehicle RAUM · $272M to $292MJan 29, 2025 to Mar 14, 2025
- RAUM · $272M to $292MJan 29, 2025 to Mar 14, 2025
- Accounts · 55 to 63Oct 19, 2023 to Mar 26, 2024
- Business name · C•••••• I••••••••• M••••••••• L•• to C•••••• I••••••••• M••••••••• L••Oct 19, 2023 to Mar 26, 2024
- Pooled vehicle clients · 28 to 108Oct 19, 2023 to Mar 26, 2024
- Assets in custody · $264M to $272MOct 19, 2023 to Mar 26, 2024
- State-registered IARs · 1 to 0Oct 19, 2023 to Mar 26, 2024
- Legal name · C•••••• I••••••••• M••••••••• L•• to C•••••• I••••••••• M••••••••• L••Oct 19, 2023 to Mar 26, 2024
- Private funds · 26 to 108Oct 19, 2023 to Mar 26, 2024
- Discretionary RAUM · $264M to $272MOct 19, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $264M to $272MOct 19, 2023 to Mar 26, 2024
- RAUM · $264M to $272MOct 19, 2023 to Mar 26, 2024
Signals
1 dated events
- C•••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 19, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••••• I••••••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- C•••••• I••••••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- cypressholdings.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (331) 307-7444reportedpublic record, Form ADV, Mar 25, 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