DFX Intelligence

R•••• T•••• W••••• M•••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

R•••• T•••• W••••• M•••••••••

R•••• T•••• SERVICES, LLC, CRD 111304

NEW YORK, NY

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:65e9213f-c084-be27-ca4c-f955b5e2063d

Data as of Mar 30, 2023 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 62
Dated events: 33
On other graphs: 1
Observed: Mar 29, 2012 to Mar 30, 2023
49 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

R•••• T•••• W••••• M•••••••••

Private equity manager · key crd, key sfn adviser, shared crd

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 1
Advisory employees: 0
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-60139
CRD: 111304

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
R•• T••••••• A••••• F•••• L•	Hedge Fund	$45.4M	Mar 29, 2012	53	Mar 29, 2012	dropped	021-139685
R•• T••••••• A••••• F•••• L•	Hedge Fund	$44.2M	Jan 10, 2018

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• P••••••• E•• L••	Member	C	yes	09/2018	Dec 1, 2022	Mar 30, 2023
C••••• P••••••• E••••• H•••••• L••	Member	E	yes	11/2022	Dec 5, 2022	Mar 30, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••• P••••••• L••	n/a	Independent wealth	$162B	Y	yes	n/a
C••••• P••••••• R••••••••• P••• A••••••• L••	n/a	Institutional manager	$40B	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	n/a	$1.6B	n/a	$1.1B	n/a	1	23	0	3

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••• P••••••• L••	2	Dec 5, 2022	Dec 2, 2022	BOCA RATON, FL	Team lift out	RIA to RIA	16.7%
C••••• P••••••• L••	5	Dec 2, 2022	Feb 16, 2023

Relationships

Affiliated with (8)

→ G••••• J•••• I••••••••• C••••••Registered adviserother investment adviser, control, common control
factForm ADV
→ C•••••••• C•••••• M•••••••••Registered adviserother investment adviser, control, common control
factForm ADV
→ S••• A•••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV
→ C••••• P••••••• L••Registered adviser

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 30, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 30, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 7, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 7, 2022

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:65e9213f-c084-be27-ca4c-f955b5e2063d
First observed: Mar 29, 2012
Last observed: Mar 30, 2023 42 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.

Controls (16)

← R••••••• N••••• E••••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2023 to presentfactForm ADV
← M••••••••• K•••• P••••••OwnerMANAGER, ownership code F, individual
Dec 1, 2022 to presentfactForm ADV
← H•••••• K••••• D••••OwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Dec 1, 2022 to presentfactForm ADV
← P•••• B•••••••• A•••••OwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Dec 1, 2022 to presentfactForm ADV
← S•••• R•••••• J•••••OwnerGENERAL C••••••, ownership code NA, individual
Dec 1, 2022 to presentfactForm ADV
← O•••••• M•••• C•••••OwnerHEAD OF CORPORATE DEVELOPMENT, ownership code NA, individual
Dec 1, 2022 to presentfactForm ADV
← C•••••• C••••••••• G•••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Dec 1, 2022 to presentfactForm ADV
← C••••• P••••••• E•• L••OwnerMEMBER, ownership code C, domestic entity
Dec 1, 2022 to presentfactForm ADV
← C••••• P••••••• E••••• H•••••• L••OwnerMEMBER, ownership code E, domestic entity
Dec 5, 2022 to presentfactForm ADV
← C• H••••••• I• L••OwnerMEMBER, ownership code E, domestic entity
Dec 1, 2022 to presentfactForm ADV
← C• I••••••••• I• L••OwnerMEMBER, ownership code E, domestic entity
Dec 1, 2022 to presentfactForm ADV
← C• M••••• I• L••OwnerMEMBER, ownership code E, domestic entity
Dec 1, 2022 to presentfactForm ADV
← C••••• L••OwnerMEMBER, ownership code E, domestic entity
Jan 23, 2023 to presentfactForm ADV
← G•••••• C•••••• X• L•••OwnerGENERAL PARTNER, ownership code F, domestic entity
Dec 1, 2022 to presentfactForm ADV
← G•••••• C•••••• P••••••• X• L•••OwnerMEMBER, ownership code C, domestic entity
Dec 1, 2022 to presentfactForm ADV
← G•••••• X• G• L••OwnerGENERAL PARTNER, ownership code F, domestic entity
Dec 1, 2022 to presentfactForm ADV