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••
Latest filing Mar 26, 2026
First filing on the tape Jul 30, 2024 · 6 filings
SEC status approved since Sep 5, 2024
RAUM
$153M
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
11
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
15
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$153M as of Mar 26, 2026
Mar 30, 2025$78.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Mar 26, 2026
Mar 30, 20256 then
Employees (5.A)11 as of Mar 26, 2026
Mar 30, 20259 then
Private funds15 as of Mar 26, 2026
Mar 30, 202511 then
RAUM +93% over the last fiscal yearIARs 6 to 7
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
- RAUM per advisor
- $21.8MderivedRAUM 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
- $10.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +93%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 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
- $153M, 15 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$153M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 15reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $153M for 15 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
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••• L•• | Private Equity Fund | $8.0M | 10 | Jul 30, 2024 |
| C•••• P•••••••• L•• | Private Equity Fund | $7.4M | 18 | Jul 30, 2024 |
| C•••• P•••••• L•• | Private Equity Fund | $7.0M | 23 | Jul 30, 2024 |
| P•••••• L•• | Private Equity Fund | $6.8M | 10 | Jul 30, 2024 |
| P••••••••• A••••• L•• | Private Equity Fund | $6.1M | 21 | Jul 30, 2024 |
| R••••••••• V• A••••• L•• | Private Equity Fund | $5.0M | 9 | Jul 30, 2024 |
| B••••••••• V• A••••• L•• | Private Equity Fund | $4.8M | 21 | Jul 30, 2024 |
| D•••••• L•• | Private Equity Fund | $4.6M | 7 | Jul 30, 2024 |
| T••••••••• I•••••••• L•• | Private Equity Fund | $4.5M | 15 | Jul 30, 2024 |
| D•••••• P•••••••• S•••••••• L•• | Private Equity Fund | $1.0M | 12 | Jul 30, 2024 |
Owners and control persons
Schedule A and B, latest filing
- A•••• N••••••••• N••••• · Chief Operating Officer/Chief Legal Officer/Chief Compliance Officercontrolsince 02/2022 · owns 5% to 10%
- S•••••• R•••• R••• · Chief Executive Officercontrolsince 02/2022 · owns less than 5%
- S•••••• R•••• R••• · Managing Membercontrolsince 09/2021 · owns 75% or more of Q••• I••••••••• L••
Entity owners
- Q••• I••••••••• L•• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- A••••••• C•••••• I••pooled vehicle sponsorn
- C•••••• A••••••• P••••••• L••investment adviseryRAUM $2.8B
Advisers that list C•••••• C•••••• P•••••••• L•• as a related person
- 310199 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 26, 2026RAUM (Item 5.F) moved from $78,904,518 to $152,605,395 (+93.0%) between the annual amendments of 2025-03-30 and 2026-03-26; the peer median change was +4.0% (1148 comparable advisers, 97.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 11 to 15Jul 8, 2025 to Mar 26, 2026
- Advisory employees · 6 to 7Jul 8, 2025 to Mar 26, 2026
- Pooled vehicle clients · 11 to 15Jul 8, 2025 to Mar 26, 2026
- Assets in custody · $59.0M to $153MJul 8, 2025 to Mar 26, 2026
- Employees · 9 to 11Jul 8, 2025 to Mar 26, 2026
- State-registered IARs · 6 to 7Jul 8, 2025 to Mar 26, 2026
- Private funds · 11 to 15Jul 8, 2025 to Mar 26, 2026
- Discretionary RAUM · $78.9M to $153MJul 8, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $78.9M to $153MJul 8, 2025 to Mar 26, 2026
- RAUM · $78.9M to $153MJul 8, 2025 to Mar 26, 2026
- Financial planning clients · 0 to 0May 5, 2025 to Jul 8, 2025
- Accounts · 10 to 11Sep 5, 2024 to Mar 30, 2025
- Pooled vehicle clients · 10 to 11Sep 5, 2024 to Mar 30, 2025
- Assets in custody · $55.3M to $59.0MSep 5, 2024 to Mar 30, 2025
- Employees · 10 to 9Sep 5, 2024 to Mar 30, 2025
- Financial planning clients · unset to 0Sep 5, 2024 to Mar 30, 2025
- Private funds · 10 to 11Sep 5, 2024 to Mar 30, 2025
- Discretionary RAUM · $55.3M to $78.9MSep 5, 2024 to Mar 30, 2025
- Pooled vehicle RAUM · $55.3M to $78.9MSep 5, 2024 to Mar 30, 2025
- RAUM · $55.3M to $78.9MSep 5, 2024 to Mar 30, 2025
Signals
1 dated events
- C•••••• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jul 30, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••••• C•••••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- C•••••• C•••••• P•••••••• L•• · Private Equityshared crd · organization
- C•••••• C•••••• P•••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- c•••••••••.coreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 917-746-4806reportedpublic record, Form ADV, Mar 26, 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