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••••••••
Legal name C••• I•••••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Aug 6, 2024 · 5 filings
SEC status approved since Jun 30, 2025
RAUM
$317M
reported, Item 5.F
Discretionary
69%
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
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$317M as of Mar 30, 2026
Jan 31, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Jan 31, 20250 then
Employees (5.A)6 as of Mar 30, 2026
Jan 31, 20252 then
Private funds1 as of Mar 30, 2026
Oct 28, 20251 then
RAUM n/a over the last fiscal yearIARs 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
- $158MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 69%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
- unknownderivedbetween 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
- 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
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$317M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••••• C••••••• D•••••• · Founder, Managing Partner, Chief Compliance Officercontrolsince 06/2024 · owns less than 5%
- W•••••••• C••••••• D•••••• · Trusteecontrolsince 02/2016 · owns F of C•••••• W••••••• R•••••••• T••••
Entity owners
- C••• M••••••••• H••••• L• · Managing Memberdirect · owns 75% or more
- C•••••• W••••••• R•••••••• T•••• · Limited Partnerindirect · owns 75% or more of C••• M••••••••• H••••• L•
- C••• I•••••••• H•••••• G• L•• · General Partnerindirect · owns F of C••• M••••••••• H••••• L•
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1 to 2Oct 28, 2025 to Mar 30, 2026
- Advisory employees · 5 to 6Oct 28, 2025 to Mar 30, 2026
- Pooled vehicle clients · 1 to 2Oct 28, 2025 to Mar 30, 2026
- Employees · 5 to 6Oct 28, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $0 to $97.0MOct 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $220M to $317MOct 28, 2025 to Mar 30, 2026
- RAUM · $220M to $317MOct 28, 2025 to Mar 30, 2026
- Employees · 2 to 5May 22, 2025 to Oct 28, 2025
- Private funds · unset to 1May 22, 2025 to Oct 28, 2025
- Discretionary RAUM · $0 to $220MMay 22, 2025 to Oct 28, 2025
- Pooled vehicle RAUM · unset to 219675000.0May 22, 2025 to Oct 28, 2025
- RAUM · $0 to $220MMay 22, 2025 to Oct 28, 2025
- Accounts · 0 to 1May 22, 2025 to Oct 28, 2025
- Advisory employees · 1 to 5May 22, 2025 to Oct 28, 2025
- Pooled vehicle clients · unset to 1.0May 22, 2025 to Oct 28, 2025
- Financial planning clients · unset to Jan 31, 2025 to May 22, 2025
- Financial planning clients · 0 to unsetAug 6, 2024 to Jan 31, 2025
Signals
2 dated events
- C••• I•••••••• no longer on the SEC adviser roster (last listed 2025-05-02)Jun 2, 2025 · Left the SEC roster · derived
- C••• I•••••••• filed its initial SEC registration (Form ADV)Aug 6, 2024 · 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
- Firm profile
- linkedin.com/company/caro-investorsreportedpublic record, Form ADV, Sep 19, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 571.679.3476reportedpublic 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