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.
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SEC-registered adviser
R••••••••• C•••••• L••
Latest filing Mar 19, 2026
First filing on the tape Feb 9, 2012 · 18 filings
SEC status approved since Aug 18, 1994
RAUM
$144M
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
17
17 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$144M as of Mar 19, 2026
Feb 9, 2012$19.4M then
HNW client RAUM$0 as of Mar 19, 2026
Mar 26, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Feb 9, 20120 then
Employees (5.A)17 as of Mar 19, 2026
Mar 18, 201312 then
Private funds: no history
RAUM -8.1% over the last fiscal year+1.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 2026; 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
- $72.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- -8.1%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, subscriptionreportedItem 5.E
- Advisory activities
- portfolio management for investment companies, otherreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$144M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• K•••••••• S•••••• · Member And Chairmancontrolsince 09/1991 · owns 50% to 75%
- S••••• W••••••• K•••• · Member And Ceocontrolsince 09/1991 · owns 50% to 75%
- S•••••• K••••• A•• · Chief Compliance Officersince 12/2022 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 16 to 17Mar 13, 2025 to Mar 19, 2026
- Employees · 16 to 17Mar 13, 2025 to Mar 19, 2026
- Discretionary RAUM · $157M to $144MMar 13, 2025 to Mar 19, 2026
- RAUM · $157M to $144MMar 13, 2025 to Mar 19, 2026
- Advisory employees · 17 to 16Mar 28, 2024 to Mar 13, 2025
- Employees · 17 to 16Mar 28, 2024 to Mar 13, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 13, 2025
- Discretionary RAUM · $209M to $157MMar 28, 2024 to Mar 13, 2025
- RAUM · $209M to $157MMar 28, 2024 to Mar 13, 2025
- Discretionary RAUM · $137M to $209MMar 14, 2023 to Mar 28, 2024
- RAUM · $137M to $209MMar 14, 2023 to Mar 28, 2024
- Advisory employees · 18 to 17Mar 11, 2022 to Mar 14, 2023
- Employees · 18 to 17Mar 11, 2022 to Mar 14, 2023
- Discretionary RAUM · $406M to $137MMar 11, 2022 to Mar 14, 2023
- RAUM · $406M to $137MMar 11, 2022 to Mar 14, 2023
- Employees · 13 to 18Jan 7, 2021 to Mar 11, 2022
- Advisory employees · 13 to 18Jan 7, 2021 to Mar 11, 2022
- HQ city · GREENWICH to STAMFORDJan 7, 2021 to Mar 11, 2022
- State-registered IARs · 2 to 0Jan 7, 2021 to Mar 11, 2022
- Discretionary RAUM · $773M to $406MJan 7, 2021 to Mar 11, 2022
- RAUM · $773M to $406MJan 7, 2021 to Mar 11, 2022
- Accounts · 3 to 2Mar 9, 2020 to Jan 7, 2021
- Advisory employees · 15 to 13Mar 9, 2020 to Jan 7, 2021
- Advisory activities · 3 to 2Mar 9, 2020 to Jan 7, 2021
- BD registered reps · 3 to 0Mar 9, 2020 to Jan 7, 2021
- Charity clients · unset to 0.0Mar 9, 2020 to Jan 7, 2021
- Corporate clients · unset to 0.0Mar 9, 2020 to Jan 7, 2021
- HNW clients · unset to 0.0Mar 9, 2020 to Jan 7, 2021
- Individual clients · unset to 0.0Mar 9, 2020 to Jan 7, 2021
- Pension plan clients · unset to 0.0Mar 9, 2020 to Jan 7, 2021
- Commission compensation · true to falseMar 9, 2020 to Jan 7, 2021
- Employees · 15 to 13Mar 9, 2020 to Jan 7, 2021
- State-registered IARs · 3 to 2Mar 9, 2020 to Jan 7, 2021
- Discretionary RAUM · $72.3M to $773MMar 9, 2020 to Jan 7, 2021
- RAUM · $72.3M to $773MMar 9, 2020 to Jan 7, 2021
- Related broker-dealer · true to falseMar 9, 2020 to Jan 7, 2021
- Advisory employees · 16 to 15Mar 13, 2019 to Mar 9, 2020
- Employees · 16 to 15Mar 13, 2019 to Mar 9, 2020
- Discretionary RAUM · $46.7M to $72.3MMar 13, 2019 to Mar 9, 2020
- RAUM · $46.7M to $72.3MMar 13, 2019 to Mar 9, 2020
Signals
4 dated events
- R••••••••• C•••••• L•• reported RAUM $137.2M, down 66% from $406.0M (2022-03-11 to 2023-03-14)Mar 14, 2023 · RAUM change · derived
- R••••••••• C•••••• L•• reported RAUM $406.0M, down 47% from $773.0M (2021-01-07 to 2022-03-11)Mar 11, 2022 · RAUM change · derived
- R••••••••• C•••••• L•• reported RAUM $773.0M, up 968% from $72.3M (2020-03-09 to 2021-01-07)Jan 7, 2021 · RAUM change · derived
- Ruth Linda Killian (Member, Vice President And Chief Investment Officer) no longer on Schedule A of R••••••••• C•••••• L•• (listed 2020-03-09, absent 2021-01-07)Jan 7, 2021 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/R•••••••••-CAPITAL_3reportedpublic record, Form ADV, Sep 18, 2026
- Website
- IPOINTELLIGENCE.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-622-2978reportedpublic record, Form ADV, Mar 19, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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