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••••••••• A•••• M••••••••• L••
Latest filing Jul 23, 2026
First filing on the tape Jun 6, 2024 · 12 filings
SEC status approved since Jul 12, 2024
RAUM
$2.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$2.5B
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$2.5B as of Jul 23, 2026
Apr 1, 2025$32.9M then
HNW client RAUM$0 as of Jul 23, 2026
Apr 1, 2025$0 then
State-registered IARs (5.B.3)3 as of Jul 23, 2026
Apr 1, 20253 then
Employees (5.A)3 as of Jul 23, 2026
Apr 1, 20253 then
Private funds2 as of Jul 23, 2026
Apr 1, 20252 then
RAUM +7466% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Jul 23, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $2.5BderivedRAUM 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
- $345,121derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7466%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 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
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$2.4B98%
- Pooled investment vehicles$43.8M1.8%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 7,204reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••••• P•••••• M•••••• O••••••••• F•••• L•• | Private Equity Fund | $31.0M | 38 | Dec 5, 2024 |
| C••••••••• S••••• F••••• F•••• L•• • G••••• F••• I• | Private Equity Fund | $1.4M | 4 | Dec 5, 2024 |
Owners and control persons
Schedule A and B, latest filing
- A••••••• E•••••• · Member, Presidentcontrolsince 02/2024 · owns 10% to 25%
- H•••••• C•••••••• T••• · Chief Compliance Officercontrolsince 02/2024 · owns less than 5%
- L•••• N•••••• M•••••• · Chief Executive Officercontrolsince 02/2024 · owns less than 5%
- L•••• N•••••• M•••••• · Chief Executive Officercontrolsince 09/2023 · owns F of C••••••••• P••••••••• H•••••••• L••
- L•••• N•••••• M•••••• · Managercontrolsince 03/2023 · owns 25% to 50% of C••••••••• F••••••• P•••••••• L••
- M••••••••• K••••• R•• · F••••••• Partnercontrolsince 09/2023 · owns F of C••••••••• P••••••••• H•••••••• L••
- M••••••••• K••••• R•• · Managercontrolsince 03/2023 · owns F of C••••••••• F••••••• P•••••••• L••
- S•••••• S••••• A•••••••• · F••••••• Partnercontrolsince 09/2023 · owns F of C••••••••• P••••••••• H•••••••• L••
- S•••••• S••••• A•••••••• · Managercontrolsince 03/2023 · owns 25% to 50% of C••••••••• F••••••• P•••••••• L••
Entity owners
- C••••••••• P••••••••• H•••••••• L•• · Managing Memberdirect · owns 75% or more
- C••••••••• F••••••• P•••••••• L•• · Managing Memberindirect · owns 50% to 75% of C••••••••• P••••••••• H•••••••• L••
- M••••••• W••••• P•••••••• L•• · Managing Memberindirect · owns 25% to 50% of C••••••••• P••••••••• H•••••••• L••
Related persons
Schedule D 7.A
- C••••••••• I•••••••• S••••••••• L••real estaten
- C••••••••• I••••••••• A•••••••• L••investment advisernRAUM $16B
Advisers that list C••••••••• A•••• M••••••••• L•• as a related person
- 323135 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- institutional asset share shiftChange between filings · filing Mar 17, 2026institutional share of RAUM moved from 0.0% to 98.0% between the annual amendments of 2025-04-01 and 2026-03-17peers: asset managers, $1B to $5B (1,506)
What changed
consecutive filings, newest first
- Accounts · 7,202 to 7,204Jan 20, 2026 to Mar 17, 2026
- Discretionary RAUM · $2.5B to $2.5BJan 20, 2026 to Mar 17, 2026
- Pooled vehicle RAUM · $39.0M to $43.8MJan 20, 2026 to Mar 17, 2026
- RAUM · $2.5B to $2.5BJan 20, 2026 to Mar 17, 2026
- Accounts · 2 to 7,202Jun 17, 2025 to Nov 25, 2025
- Discretionary RAUM · $32.9M to $2.5BJun 17, 2025 to Nov 25, 2025
- Pooled vehicle RAUM · $32.9M to $39.0MJun 17, 2025 to Nov 25, 2025
- RAUM · $32.9M to $2.5BJun 17, 2025 to Nov 25, 2025
- Financial planning clients · unset to Apr 1, 2025 to Jun 17, 2025
- Accounts · unset to 2.0Dec 5, 2024 to Apr 1, 2025
- Advisory activities · 3 to 4Dec 5, 2024 to Apr 1, 2025
- Pooled vehicle clients · 0 to 2Dec 5, 2024 to Apr 1, 2025
- Other offices · 0 to 1Dec 5, 2024 to Apr 1, 2025
- Discretionary RAUM · unset to 32860000.0Dec 5, 2024 to Apr 1, 2025
- Non-discretionary RAUM · unset to 0.0Dec 5, 2024 to Apr 1, 2025
- Pooled vehicle RAUM · $0 to $32.9MDec 5, 2024 to Apr 1, 2025
- RAUM · unset to 32860000.0Dec 5, 2024 to Apr 1, 2025
- Private funds · unset to 2Nov 27, 2024 to Dec 5, 2024
- Advisory employees · 1 to 2Jul 5, 2024 to Nov 27, 2024
- BD registered reps · 2 to 3Jul 5, 2024 to Nov 27, 2024
- Employees · 2 to 3Jul 5, 2024 to Nov 27, 2024
- State-registered IARs · 2 to 3Jul 5, 2024 to Nov 27, 2024
Signals
1 dated events
- C••••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 6, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C••••••••• A•••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- C••••••••• A•••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- C•••••••••AM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 813-575-2652reportedpublic record, Form ADV, Jul 23, 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
- $2.5Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026