DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

RB CAPITAL MANAGEMENT, LLC

CRD 125678

RENO, NV

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1738dca4-844e-d8b7-550e-b160d27f284c

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 37
Dated events: 2
On other graphs: 0
Observed: Jan 26, 2012 to Mar 27, 2026
63 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.94 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=6.0
Regulatory AUM: $931MItem 5.F on the latest filing (2026-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $931M
Private client RAUM: $879MderivedItem 5.D individuals plus high net worth individuals
Private client share: 94%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 14
RAUM per advisor: $66.5Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 16
Advisory employees: 14
Offices: 11Schedule D 1.F, beyond the principal office
Accounts: 1,534
Individual clients: 438
High net worth clients: 198
Custody, client assets: $527M
SEC number: 801-62043
CRD: 125678
Filings on the tape: 63
First filed: Jan 26, 2012
Latest filed: Mar 27, 2026
Organised: Limited Liability Company, DE

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
ROBERT WILLIAM BALLAN	n/a	Incline Village, NV \| Reno, NV	10	38	1	no
SHAWN DEREK YOUNG	n/a	Fresno, CA	10	22	1	no
CRAIG CROFTON FRIEDERS	n/a	Walnut Creek, CA	10	29	5	yes
ROBERT JOHN LEIPHART	Certified Financial Planner	Shelton, CT	10	25	3	no
JOHN GRANT MULLEN	n/a	Walnut Creek, CA	10	13	1	yes
JOHN EUGENE MARTY	n/a	Burlingame, CA	10	29	5	no
Gary Scott DeMera	n/a	Burlingame, CA	10	28	5	yes
JONATHAN PATRICK DONAHUE	n/a	Reno, NV \| Incline Village, NV	8	21	1	no
Willington Tai Fong	n/a	Burlingame, CA	8	24	4	yes
Steven Alan Ocheltree	n/a	Morro Bay, CA	6	10	n/a	no
JUSTIN MICHAEL SLOAN	Certified Financial Planner\|Chartered Financial Analyst	Windsor, CA	4	16	2	no
KENT ALLEN JOHNSON	Certified Financial Planner	Wilton, CT	3	27	5	no
JOHN PHILIP BANKOVITCH	n/a	San Francisco, CA	1	24	4	yes
CARL HOWARD DEMARTINI	n/a	Laguna Woods, CA \| South Fork, CO	1	41	2	no

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
THE ESSENTIAL ENHANCED INCOME FUND, LP	Hedge Fund	$3.6M	Oct 13, 2016	5	Jan 26, 2012	dropped	021-117010

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BALLAN, ROBERT, WILLIAM	MANAGING MEMBER	E	yes	04/2000	Mar 27, 2026	Mar 27, 2026
YOUNG, SHAWN, DEREK	CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER	Na	no	01/2016	Mar 27, 2026	Mar 27, 2026

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Burlingame	CA	United States	3	yes
WALNUT CREEK	CA	United States	2	yes
INCLINE VILLAGE	Nv	United States	2	no
Fresno	CA	United States	1	no
Windsor	CA	United States	1	no
Shelton	Ct	United States	1	no
Wilton	Ct	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 27, 2026	$931M	$931M	16	14	11	n/a	n/a
2024	Apr 30, 2025	$817M	$817M	15	12	10	n/a	n/a
2023	Mar 18, 2024	$718M	$718M	14	11	7	n/a	n/a
2022	Mar 10, 2023	$628M	$628M	14	11	6	n/a	n/a
2021	Feb 24, 2022	$656M	$656M	11	10	4	n/a	n/a
2020	Mar 19, 2021	$535M	$535M	11	10	4	n/a	n/a
2019	Feb 12, 2020	$462M	$462M	11	10	5	n/a	n/a
2018	Jan 12, 2019	$315M	$315M	12	11	6	n/a	n/a
2017	Mar 21, 2018	$550M	$550M	15	15	7	n/a	n/a
2016	Mar 31, 2017	$442M	$442M	13	13	n/a	n/a	n/a
2015	Mar 30, 2016	$387M	$387M	11	11	n/a	1	$3.6M
2014	Mar 30, 2015	$338M	$338M	12	12	n/a	1	$3.6M
2013	Jan 28, 2014	$274M	$274M	14	14	n/a	1	$3.0M
2012	Apr 1, 2013	$250M	$250M	13	10	n/a	1	$2.7M
2011	Jan 26, 2012	$219M	$219M	n/a	n/a	n/a	1	$2.3M

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	2	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$931M	$817M	13.9%	$628M	14.0%	16	15	11	10

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
FSC SECURITIES CORPORATION	2	Mar 23, 2017	Mar 9, 2018	BURLINGAME,, CA	Team lift out	Other	0.4%

Relationships

Registered with (19)

← CARL HOWARD DEMARTINIAdvisorregistration: previous registration
Jun 5, 2006 to Dec 12, 2014factForm ADV
← JOHN PHILIP BANKOVITCHAdvisorregistration: current employment
Dec 23, 2024 to presentfactForm ADV
← KENT ALLEN JOHNSONAdvisorregistration: current employment
Jun 15, 2023 to presentfactForm ADV
← JUSTIN MICHAEL SLOANAdvisorregistration: previous registration
Mar 26, 2010 to Apr 3, 2015factForm ADV
← Steven Alan OcheltreeAdvisorregistration: current employment
Jul 23, 2020 to presentfactForm ADV
← Willington Tai FongAdvisorregistration: current employment
Mar 9, 2018 to presentfactForm ADV
← JONATHAN PATRICK DONAHUEAdvisorregistration: current employment
Feb 14, 2018 to presentfactForm ADV
← Gary Scott DeMeraAdvisorregistration: current employment
Jun 28, 2016 to presentfactForm ADV
← JOHN EUGENE MARTYAdvisorregistration: previous registration
Jun 14, 2005 to Mar 25, 2015factForm ADV
← CRAIG CROFTON FRIEDERSAdvisorregistration: previous registration
Jun 14, 2005 to Dec 31, 2015factForm ADV
← ROBERT JOHN LEIPHARTAdvisorregistration: previous registration
Jun 13, 2005 to Dec 31, 2015factForm ADV
← JOHN GRANT MULLENAdvisorregistration: previous registration
May 9, 2014 to Dec 31, 2015factForm ADV
← ROBERT WILLIAM BALLANAdvisorregistration: previous registration
Aug 4, 2000 to Dec 31, 2015factForm ADV
← SHAWN DEREK YOUNGAdvisorregistration: previous registration
May 4, 2005 to Dec 31, 2015factForm ADV
← DANIEL ALLEN BARNESAdvisorregistration: previous registration
Jan 7, 2016 to Dec 31, 2020factForm ADV
← DEREK JAMES ELRODAdvisorregistration: previous registration
Jan 8, 2016 to Feb 12, 2020factForm ADV
← KEVIN CHRISTOPHER HOOKAdvisorregistration: previous registration
Jan 7, 2016 to Dec 31, 2018factForm ADV
← JOSHUA ALLEN CARPENTERAdvisorregistration: previous registration
Jan 8, 2016 to Nov 2, 2018factForm ADV
← KEVIN WILLIAM LA MONTAdvisorregistration: previous registration
Jan 19, 2016 to Jul 11, 2018factForm ADV

Controls (1)

← BALLAN, ROBERT, WILLIAMOwnerMANAGING MEMBER, ownership code E, individual
Jan 26, 2012 to Mar 21, 2024factForm ADV

Owns (1)

← YOUNG, SHAWN, DEREKOwnerCHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER, ownership code NA, individual
Mar 30, 2016 to Mar 21, 2024factForm ADV

Moved with (1)

← FSC SECURITIES CORPORATIONRegistered adviser2 advisors, team lift out, same day
Mar 23, 2017 to Mar 9, 2018factForm ADV

Advises (1)

→ THE ESSENTIAL ENHANCED INCOME FUND, LPPrivate fundHedge Fund, IA, no longer reported
Jan 26, 2012 to Oct 13, 2016factForm ADV

Dated events

Occurred
Feb 12, 2020
Regulatory AUM changed
Rb Capital Management, Llc reported RAUM $462.4M, up 47% from $314.8M (2020-01-28 to 2020-02-12)
Form ADVobserved 4 days ago
$148M
Occurred
Jan 12, 2019
Regulatory AUM changed
Rb Capital Management, Llc reported RAUM $314.8M, down 43% from $549.6M (2018-11-09 to 2019-01-12)
Form ADVobserved 4 days ago
$-235M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1738dca4-844e-d8b7-550e-b160d27f284c
First observed: Jan 26, 2012
Last observed: Mar 27, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

RB CAPITAL MANAGEMENT, LLC

CRD 125678

RENO, NV

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1738dca4-844e-d8b7-550e-b160d27f284c

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:41 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ROBERT WILLIAM BALLAN

n/a

Incline Village, NV | Reno, NV

SHAWN DEREK YOUNG

n/a

Fresno, CA

CRAIG CROFTON FRIEDERS

n/a

Walnut Creek, CA

yes

ROBERT JOHN LEIPHART

Certified Financial Planner

Shelton, CT

JOHN GRANT MULLEN

n/a

Walnut Creek, CA

yes

JOHN EUGENE MARTY

n/a

Burlingame, CA

Gary Scott DeMera

n/a

Burlingame, CA

yes

JONATHAN PATRICK DONAHUE

n/a

Reno, NV | Incline Village, NV

Willington Tai Fong

n/a

Burlingame, CA

yes

Steven Alan Ocheltree

n/a

Morro Bay, CA

n/a

JUSTIN MICHAEL SLOAN

Certified Financial Planner|Chartered Financial Analyst

Windsor, CA

KENT ALLEN JOHNSON

Certified Financial Planner

Wilton, CT

JOHN PHILIP BANKOVITCH

n/a

San Francisco, CA

yes

CARL HOWARD DEMARTINI

n/a

Laguna Woods, CA | South Fork, CO

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

THE ESSENTIAL ENHANCED INCOME FUND, LP

Hedge Fund

$3.6M

Oct 13, 2016

Jan 26, 2012

dropped

021-117010

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BALLAN, ROBERT, WILLIAM

MANAGING MEMBER

yes

04/2000

Mar 27, 2026

YOUNG, SHAWN, DEREK

CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER

01/2016

Mar 27, 2026

City

State

Country

Employees

Also broker-dealer

Burlingame

United States

yes

WALNUT CREEK

United States

yes

INCLINE VILLAGE

United States

Fresno

United States

Windsor

United States

Shelton

United States

Wilton

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 27, 2026

$931M

n/a

2024

Apr 30, 2025

$817M

n/a

2023

Mar 18, 2024

$718M

n/a

2022

Mar 10, 2023

$628M

n/a

2021

Feb 24, 2022

$656M

n/a

2020

Mar 19, 2021

$535M

n/a

2019

Feb 12, 2020

$462M

n/a

2018

Jan 12, 2019

$315M

n/a

2017

Mar 21, 2018

$550M

n/a

2016

Mar 31, 2017

$442M

n/a

2015

Mar 30, 2016

$387M

n/a

$3.6M

2014

Mar 30, 2015

$338M

n/a

$3.6M

2013

Jan 28, 2014

$274M

n/a

$3.0M

2012

Apr 1, 2013

$250M

n/a

$2.7M

2011

Jan 26, 2012

$219M

n/a

$2.3M

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$931M

$817M

13.9%

$628M

14.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

FSC SECURITIES CORPORATION

Mar 23, 2017

Mar 9, 2018

BURLINGAME,, CA

Team lift out

Other

0.4%