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••• C••••• O••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Oct 3, 2024 · 5 filings
SEC status approved since Nov 13, 2024
RAUM
$45.1M
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
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$45.1M as of Mar 30, 2026
Mar 31, 2025$196M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 31, 20250 then
Employees (5.A)8 as of Mar 30, 2026
Mar 31, 20258 then
Private funds: no history
RAUM -77% 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
- $22.6MderivedRAUM 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
- -77%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, otherreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$45.1M100%
- 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
- fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 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
- D••••• D••••• N•• · Chief Compliance Officer, Chief Operating Officer, And Membercontrolsince 09/2024 · owns 10% to 25%
- K•••••••• M••••••• N•• · Chief Executive Officer And Managing Membercontrolsince 09/2024 · owns 10% to 25%
- H••••• J••••• P•••• · Membersince 09/2024 · owns 10% to 25%
- K•••••• A•••••• A•••••• · Membersince 09/2024 · owns 10% to 25%
- M•••••• D•••••• H••••• · Membersince 09/2024 · owns 10% to 25%
- Z••• J••••• N•• · Membersince 09/2024 · owns 10% to 25%
Related persons
Schedule D 7.A
- C•••• C••••• M••••••••• L••investment adviseryRAUM $45.1M
- C•••• I••• A••••••• L••investment advisernRAUM $147M
Advisers that list C•••• I••• C••••• O••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 3 to 2Mar 31, 2025 to Mar 30, 2026
- Advisory employees · 5 to 4Mar 31, 2025 to Mar 30, 2026
- Corporate clients · 3 to 2Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $196M to $45.1MMar 31, 2025 to Mar 30, 2026
- RAUM · $196M to $45.1MMar 31, 2025 to Mar 30, 2026
- Accounts · 0 to 3Nov 12, 2024 to Mar 31, 2025
- Corporate clients · unset to 3.0Nov 12, 2024 to Mar 31, 2025
- Employees · 7 to 8Nov 12, 2024 to Mar 31, 2025
- Financial planning clients · unset to Nov 12, 2024 to Mar 31, 2025
- Discretionary RAUM · $0 to $196MNov 12, 2024 to Mar 31, 2025
- RAUM · $0 to $196MNov 12, 2024 to Mar 31, 2025
Signals
2 dated events
- C•••• I••• C••••• O••••••••• L•• reported RAUM $45.1M, down 77% from $196.1M (2025-03-31 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- C•••• I••• C••••• O••••••••• L•• filed its initial SEC registration (Form ADV)Oct 3, 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/capra-ibexreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646-968-9225reportedpublic 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
- Other adviserderiveda 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