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.

Former SEC-registered adviser

Roxbury Capital Management LLC

Former SEC-registered adviserMinnetonka, MinnesotaCRD 108832SEC 801-55521IAPD
Latest filing Apr 30, 2015
First filing on the tape Mar 29, 2012 · 13 filings
RAUM
$594M
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
12
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$594M as of Feb 13, 2015
Mar 29, 2012$919M then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Feb 13, 2015
Mar 29, 20120 then
Employees (5.A)12 as of Feb 13, 2015
Mar 15, 201316 then
Private funds: no history
RAUM -53% over the last fiscal year-14% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Apr 30, 2015; every figure names its basis
RAUM per advisor
$84.9MderivedRAUM 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
$17.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
2.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-53%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
34reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Joseph Joshua Honeycutt · Board Membercontrol
    since 01/2015 · owns 5% to 10%
  • Clarence Robert Marvin · Board Membercontrol
    since 01/2015 · owns 10% to 25%
  • Lee Brian Massey · Board Membercontrol
    since 01/2015 · owns 10% to 25%
  • Algia Silas Myers · Board Membercontrol
    since 01/2015 · owns 25% to 50%
  • Aloys Robert Schmaltz · Chief Operating Officer/ Chief Compliance Officercontrol
    since 06/2013 · owns less than 5%
  • Paul Brian Smoluch · Board Membercontrol
    since 01/2015 · owns 10% to 25%
  • Gordon David Swank · Board Membercontrol
    since 01/2015 · owns 10% to 25%
  • Clarence Robert Marvin · Member, Portfolio Managercontrol
    since 10/2012 · owns 25% to 50% of Hood River Capital Management LLC
  • Lee Brian Massey · President, Manager, Board Member, Common Membercontrol
    since 09/2007 · owns 25% to 50% of Mar Vista Investment Partners, LLC
  • Algia Silas Myers · Ceo, Manager, Chairman, Board Member, Common Membercontrol
    since 09/2007 · owns 50% to 75% of Mar Vista Investment Partners, LLC
  • Paul Brian Smoluch · Managing Member, Portfolio Managercontrol
    since 10/2012 · owns 25% to 50% of Hood River Capital Management LLC
  • Gordon David Swank · Member, Portfolio Managercontrol
    since 10/2012 · owns 25% to 50% of Hood River Capital Managment LLC
Entity owners
  • Hood River Capital Management LLC · Preferred Shareholder
    direct · owns 50% to 75%
  • Mar Vista Investment Partners LLC · Preferred Shareholder
    direct · owns 50% to 75%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Hinsdale, IL
  • ,
What changed
consecutive filings, newest first
  • Accounts · 42 to 34
    Dec 1, 2014 to Feb 13, 2015
  • Advisory activities · 5 to 2
    Dec 1, 2014 to Feb 13, 2015
  • Discretionary RAUM · $1.3B to $594M
    Dec 1, 2014 to Feb 13, 2015
  • RAUM · $1.3B to $594M
    Dec 1, 2014 to Feb 13, 2015
  • Related bank · true to false
    Dec 1, 2014 to Feb 13, 2015
  • Related broker-dealer · true to false
    Dec 1, 2014 to Feb 13, 2015
  • Accounts · 122 to 42
    Dec 18, 2013 to Mar 28, 2014
  • State-registered IARs · 4 to 7
    Dec 18, 2013 to Mar 28, 2014
  • Discretionary RAUM · $1.1B to $1.3B
    Dec 18, 2013 to Mar 28, 2014
  • RAUM · $1.1B to $1.3B
    Dec 18, 2013 to Mar 28, 2014
  • Advisory employees · 3 to 0
    May 1, 2013 to Jun 11, 2013
  • Employees · 16 to 12
    May 1, 2013 to Jun 11, 2013
  • State-registered IARs · 6 to 4
    May 1, 2013 to Jun 11, 2013
  • Related bank · false to true
    Mar 15, 2013 to Mar 28, 2013
  • Accounts · 203 to 122
    Dec 12, 2012 to Mar 15, 2013
  • State-registered IARs · 5 to 6
    Dec 12, 2012 to Mar 15, 2013
  • Discretionary RAUM · $919M to $1.1B
    Dec 12, 2012 to Mar 15, 2013
  • RAUM · $919M to $1.1B
    Dec 12, 2012 to Mar 15, 2013
  • Advisory employees · unset to 3.0
    Sep 21, 2012 to Nov 27, 2012
  • BD registered reps · unset to 5.0
    Sep 21, 2012 to Nov 27, 2012
  • Employees · unset to 16.0
    Sep 21, 2012 to Nov 27, 2012
  • State-registered IARs · 0 to 5
    Sep 21, 2012 to Nov 27, 2012
Signals
No event on the tape.
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