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
Rcm
Legal name Rcm Capital Management LLC
Latest filing Mar 27, 2013
First filing on the tape Mar 29, 2012 · 8 filings
RAUM
$21B
reported, Item 5.F
Discretionary
97%
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
111
43 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$153M gross assets
History
8 filings and snapshots on the tape
RAUM$21B as of Mar 27, 2013
Mar 29, 2012$22B then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 111
Private funds4 as of Mar 27, 2013
Mar 29, 20124 then
RAUM -4.2% over the last fiscal year
Practice profile
derived from the filing of Mar 27, 2013; 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
- $130MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%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
- -4.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $153M, 4 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- controlled by a public reporting company (10.A)
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
- 163reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $153M for 4 clientsreported
- Compensation
- % of AUM, fixed, 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
- Mark Bradford Branson to Cornerstone Capital, Inc.May 2, 2008 · Other
Joined, latest
none on the tape
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Rcm Commingled Funds LLC | Other Private Fund | $153M | 21 | Mar 29, 2012 |
| Rcm Health Care Alpha Partners US, L.P. | Hedge Fund | $116M | 15 | Mar 29, 2012 |
| Tech Alpha Partners, L.P. | Hedge Fund | $85.0M | 10 | Mar 29, 2012 |
| The Rcm California Tax-Advantaged Partnership | Other Private Fund | $23.3M | 12 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Udo Frank · Chairman Of The Board, Board Of Managerscontrolsince 01/2003 · owns less than 5%
- Paul Koo · Chief Compliance Officercontrolsince 05/2011 · owns less than 5%
- T Scott Migliori · Chief Investment Officer, Board Of Managerscontrolsince 02/2009 · owns less than 5%
- Christopher David Owen · Chief Legal Officer, Board Of Managerscontrolsince 01/2010 · owns less than 5%
- Wolfgang Christian Pachtner · Member, Board Of Managerscontrolsince 01/2011 · owns less than 5%
- James Michael Puntoriero · Chief Financial Officercontrolsince 09/2012 · owns less than 5%
- Ernst Ferdinand Andreas Utermann · Global Chief Investment Officercontrolsince 01/2012 · owns less than 5%
Entity owners
- Allianz Global Investors U.S. Holdings LLC · Memberdirect · owns 75% or more
- Allianz Asset Management Of America L.P. · Memberindirect · owns 75% or more of Allianz Global Investors U.S. Holdings LLC
- Allianz Asset Management Of America LLC · Partnerindirect · owns 75% or more of Allianz Asset Management Of America L.P.
- Allianz Se · Sole Stockholderindirect · owns 75% or more of Allianz Europe B.V.
- Allianz Europe B.V. · Sole Stockholderindirect · owns 75% or more of Allianz Of America, Inc.
- Allianz Of America, Inc. · Memberindirect · owns 75% or more of Allianz Asset Management Of America LLC
Related persons
Schedule D 7.A
- Allianz Global Investors (Uk) Ltd.investment advisern
- Allianz Global Investors Distributors LLCbroker-dealerpooled vehicle sponsorn
- Allianz Global Investors Europe Gmbhinvestment adviserLP sponsorn
- Allianz Global Investors France S.A.investment advisern
- Allianz Global Investors Fund Management LLCinvestment adviserbanknRAUM $30B
- Allianz Global Investors Hong Kong Ltdinvestment adviserpooled vehicle sponsorn
- Allianz Global Investors Ireland Limitedinvestment adviserpooled vehicle sponsorn
- Allianz Global Investors Italia Sgr S.P.A.investment advisern
- Allianz Global Investors Japan Co. Ltd.investment advisern
- Allianz Global Investors Luxembourg S.A.investment adviserpooled vehicle sponsorn
- Allianz Global Investors Singapore Ltd.investment adviserpooled vehicle sponsorn
- Allianz Global Investors Taiwan Ltdinvestment adviserpooled vehicle sponsorn
- Allianz Global Investors U.S. LLCinvestment adviserbankpooled vehicle sponsornRAUM $5.0B
- Caywood-Scholl Capital Management LLCinvestment adviseryRAUM $1.7B
- Nfj Investment Group LLCinvestment advisernRAUM $20B
- Pallas Investment Partners, L.P.investment adviseryRAUM $24.6M
- Rcm (Uk) Ltd.investment advisern
- Rcm Asia Pacific Limitedinvestment adviserpooled vehicle sponsornRAUM $14B
- Rcm Capital Management Pty Ltdinvestment advisern
Advisers that list Rcm as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 238 to 163Jan 17, 2013 to Jan 30, 2013
- Advisory employees · 44 to 43Jan 17, 2013 to Jan 30, 2013
- BD registered reps · 16 to 13Jan 17, 2013 to Jan 30, 2013
- Employees · 119 to 111Jan 17, 2013 to Jan 30, 2013
- Private funds · 1 to 4Jan 17, 2013 to Jan 30, 2013
- Discretionary RAUM · $26B to $21BJan 17, 2013 to Jan 30, 2013
- Non-discretionary RAUM · $626M to $617MJan 17, 2013 to Jan 30, 2013
- RAUM · $27B to $21BJan 17, 2013 to Jan 30, 2013
- Advisory employees · unset to 44.0Jul 10, 2012 to Jan 3, 2013
- BD registered reps · unset to 16.0Jul 10, 2012 to Jan 3, 2013
- Assets in custody · $511M to $153MJul 10, 2012 to Jan 3, 2013
- Employees · unset to 119.0Jul 10, 2012 to Jan 3, 2013
- State-registered IARs · unset to 0.0Jul 10, 2012 to Jan 3, 2013
- Private funds · 4 to 1Jul 10, 2012 to Jan 3, 2013
- Accounts · 204 to 238Mar 29, 2012 to May 9, 2012
- Assets in custody · $331M to $511MMar 29, 2012 to May 9, 2012
- Discretionary RAUM · $22B to $26BMar 29, 2012 to May 9, 2012
- Non-discretionary RAUM · $585M to $626MMar 29, 2012 to May 9, 2012
- RAUM · $22B to $27BMar 29, 2012 to May 9, 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