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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

R•••••••••

Former SEC-registered adviserMorristown, New JerseyCRD 105995SEC 801-17301IAPD
Legal name R••••••••• C••••••• L••
Latest filing Mar 27, 2023
First filing on the tape Mar 26, 2012 · 49 filings
RAUM
$6.2B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
95%
$5.9B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
71
45 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$6.2B as of Mar 30, 2022
Mar 26, 2012$2.4B then
HNW client RAUM$5.6B as of Mar 30, 2022
Mar 29, 2018$3.2B then
State-registered IARs (5.B.3)44 as of Mar 30, 2022
Mar 15, 201327 then
Employees (5.A)71 as of Mar 30, 2022
Mar 15, 201328 then
Private funds1 as of Mar 15, 2013
Mar 26, 20122 then
RAUM +20% over the last fiscal year+20% a year over threeIARs 37 to 44
Practice profile
derived from the filing of Mar 27, 2023; every figure names its basis
RAUM per advisor
$141MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
46derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.9MderivedHNW RAUM over HNW clients
Average account
$2.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
8.8derived5 offices incl. principal (1.F.5)
RAUM growth, one year
+20%derivedbetween the last two annual amendments
Advisor growth, one year
+19%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.3%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Financial planning clients
1,000reportedItem 5.H
Custody
$2.4B, 1,789 clientsreportedItem 9.A
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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$5.6B90%
  • Individuals$260M4.2%
  • Charitable organizations$149M2.4%
  • Corporations and businesses$129M2.1%
  • Pooled investment vehicles$35.6M0.6%
  • Pension and profit-sharing plans$16.8M0.3%
Individual clients
592reported
HNW clients
1,441reported
Pension plan clients
21reported
Charitable clients
37reported
Accounts
2,131reported
Financial planning clients
1,000reported
Wrap fee programs
noreported
Custody of client assets
$2.4B for 1,789 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    2 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    R••••••••• A••••••• R•••••• L•no longer reportedHedge Fund$184,10028Mar 26, 2012
    R••••••••• H••••• E••••• F•••• L••no longer reportedHedge Fund$179,00041Mar 26, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • B••••• J••••• B•••• · Board Membercontrol
      since 01/2022 · owns less than 5%
    • C••••••• C••••••••• J••••• · Board Membercontrol
      since 01/2022 · owns less than 5%
    • H•••••••• J•••••••• J•• · Board Membercontrol
      since 01/2022 · owns less than 5%
    • K•••••••• B••••• H••••• A•••••••• · Board Membercontrol
      since 01/2022 · owns less than 5%
    • N•••••••• L••••• T•••••• · Chief Compliance Officercontrol
      since 02/2023 · owns less than 5%
    • N•••••• J•••• P••••• · Board Membercontrol
      since 01/2022 · owns less than 5%
    • O••••••• C••••••••• W••• · Board Membercontrol
      since 01/2022 · owns less than 5%
    • P••••••••• J•••••••• E••• · Chief Operating Officer And Board Membercontrol
      since 01/2022 · owns less than 5%
    • P••••••• P•••• S••••• · Board Membercontrol
      since 01/2022 · owns less than 5%
    • S••••••••• G•••••• J••••• · Chief Executive Officer And Board Membercontrol
      since 01/2022 · owns less than 5%
    • S••••••• M••••••• R••••• · Board Membercontrol
      since 01/2022 · owns less than 5%
    Entity owners
    • C• P•••••• W•••••• L•• · Owner
      direct · owns 75% or more
    • C• F•••••••• C••• · Owner
      indirect · owns 75% or more of C• U• H•••••••• I•• · public reporting company
    • C• U• H•••••••• I•• · Owner
      indirect · owns 75% or more of C••• H•••••••• L••
    • C••• H•••••••• L•• · Owner
      indirect · owns 75% or more of C• P•••••• W•••••• L••
    Related persons
    Schedule D 7.A
    • A•••••• C•••••• M••••••••• L••
      investment advisern
    • A•••••• F•••••••• M••••••••• L••
      investment advisery
    • C• P•••••• C•••••• L•
      investment advisern
    • Corient
      investment adviseryRAUM $165B
    Offices
    Schedule D 1.F, the 25 largest
    • New York, NY5 employees
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Related adviser · false to true
      Mar 31, 2022 to Jun 9, 2022
    • Accounts · 2,020 to 2,131
      Jan 21, 2022 to Mar 30, 2022
    • Advisory employees · 41 to 45
      Jan 21, 2022 to Mar 30, 2022
    • Charity clients · 24 to 37
      Jan 21, 2022 to Mar 30, 2022
    • Corporate clients · 37 to 39
      Jan 21, 2022 to Mar 30, 2022
    • HNW clients · 1,296 to 1,441
      Jan 21, 2022 to Mar 30, 2022
    • Individual clients · 616 to 592
      Jan 21, 2022 to Mar 30, 2022
    • Pension plan clients · 44 to 21
      Jan 21, 2022 to Mar 30, 2022
    • Pooled vehicle clients · 3 to 1
      Jan 21, 2022 to Mar 30, 2022
    • Assets in custody · $1.7B to $2.4B
      Jan 21, 2022 to Mar 30, 2022
    • Employees · 67 to 71
      Jan 21, 2022 to Mar 30, 2022
    • State-registered IARs · 37 to 44
      Jan 21, 2022 to Mar 30, 2022
    • Discretionary RAUM · $5.1B to $6.2B
      Jan 21, 2022 to Mar 30, 2022
    • HNW RAUM · $4.5B to $5.6B
      Jan 21, 2022 to Mar 30, 2022
    • Individual RAUM · $296M to $260M
      Jan 21, 2022 to Mar 30, 2022
    • Non-discretionary RAUM · $52.9M to $43.9M
      Jan 21, 2022 to Mar 30, 2022
    • Pension RAUM · $156M to $16.8M
      Jan 21, 2022 to Mar 30, 2022
    • Pooled vehicle RAUM · $34.0M to $35.6M
      Jan 21, 2022 to Mar 30, 2022
    • RAUM · $5.2B to $6.2B
      Jan 21, 2022 to Mar 30, 2022
    • Succession · true to false
      Jan 21, 2022 to Mar 30, 2022
    • Succession · false to true
      Jan 3, 2022 to Jan 21, 2022
    • Accounts · 1,851 to 2,020
      Oct 22, 2020 to Mar 31, 2021
    • Advisory employees · 45 to 41
      Oct 22, 2020 to Mar 31, 2021
    • Charity clients · 18 to 24
      Oct 22, 2020 to Mar 31, 2021
    • Corporate clients · 15 to 37
      Oct 22, 2020 to Mar 31, 2021
    • HNW clients · 1,270 to 1,296
      Oct 22, 2020 to Mar 31, 2021
    • Individual clients · 497 to 616
      Oct 22, 2020 to Mar 31, 2021
    • Pension plan clients · 47 to 44
      Oct 22, 2020 to Mar 31, 2021
    • Pooled vehicle clients · 4 to 3
      Oct 22, 2020 to Mar 31, 2021
    • Assets in custody · $1.5B to $1.7B
      Oct 22, 2020 to Mar 31, 2021
    • State-registered IARs · 34 to 37
      Oct 22, 2020 to Mar 31, 2021
    • Discretionary RAUM · $4.9B to $5.1B
      Oct 22, 2020 to Mar 31, 2021
    • HNW RAUM · $4.4B to $4.5B
      Oct 22, 2020 to Mar 31, 2021
    • Individual RAUM · $236M to $296M
      Oct 22, 2020 to Mar 31, 2021
    • Non-discretionary RAUM · $49.4M to $52.9M
      Oct 22, 2020 to Mar 31, 2021
    • Pension RAUM · $143M to $156M
      Oct 22, 2020 to Mar 31, 2021
    • Pooled vehicle RAUM · $73.2M to $34.0M
      Oct 22, 2020 to Mar 31, 2021
    • RAUM · $4.9B to $5.2B
      Oct 22, 2020 to Mar 31, 2021
    • Assets in custody · $1.5B to $1.5B
      Aug 13, 2020 to Oct 20, 2020
    • Other offices · 2 to 4
      Jul 1, 2020 to Aug 13, 2020
    Signals
    7 dated events
    • Triston Larry Nakamura (Chief Compliance Officer) appeared on Schedule A of Regentatlantic
      Mar 1, 2023 · Control person joined · fact
    • R••••• P••••• W•••• left Regentatlantic for Wealthfd (registered 2022-10-28)
      Nov 14, 2022 · Advisor changed firm · fact
    • Stuart Paul Platkin (Board Member) appeared on Schedule A of Regentatlantic
      Mar 30, 2022 · Control person joined · fact
    • Ward Chadderdon O'Brien (Board Member) appeared on Schedule A of Regentatlantic
      Mar 30, 2022 · Control person joined · fact
    • Regentatlantic reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Jan 21, 2022 · Succession (Item 4) · fact
    • Regentatlantic reported RAUM $4.6B, up 28% from $3.6B (2019-03-19 to 2019-09-10)
      Sep 10, 2019 · RAUM change · derived
    • Jay J••••••• Hochberg (Managing Member) appeared on Schedule A of Regentatlantic
      Sep 10, 2019 · Control person joined · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered 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