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.
SEC-registered adviser
R•• R••••••• C•••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 22, 2012 · 30 filings
SEC status approved since Jan 8, 2007
RAUM
$61.8M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
9.4%
$5.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$61.8M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$61.8M as of Mar 27, 2026
Mar 22, 2012$115M then
HNW client RAUM$5.8M as of Mar 27, 2026
Mar 20, 2018$1.6M then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 22, 20120 then
Employees (5.A)1 as of Mar 27, 2026
Apr 1, 20131 then
Private funds: no history
RAUM -43% over the last fiscal year-16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $61.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $966,586derivedHNW RAUM over HNW clients
- Average account
- $6.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 91%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -43%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 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
- 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
- State and municipal entities$56.0M91%
- High-net-worth individuals$5.8M9.4%
- Individual clients
- n/areported
- HNW clients
- 6reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.09 fund_share=0.0 institutional_share=0.91 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••••• C••••• R••••••• | Sacramento, Ca | Jul 13, 2005 | 37 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- D•••••• C••••• R••••••• from S••••••••• A•••••• A•••••••• I•••Jul 13, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••••• D••••••• C••••• · President/Chief Compliance Officercontrolsince 03/2005 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Advisers that list R•• R••••••• C•••••• M••••••••• L•• as a related person
- 1027 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $108,271,583 to $61,800,813 (-43.0%) between the annual amendments of 2025-03-13 and 2026-03-27; the peer median change was -1.0% (4 comparable advisers, 0.0th percentile of changes)peers: institutional managers (4) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 10 to 9Mar 13, 2025 to Mar 27, 2026
- HQ city · MILL VALLEY to SACRAMENTOMar 13, 2025 to Mar 27, 2026
- HNW RAUM · $5.4M to $5.8MMar 13, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $108M to $61.8MMar 13, 2025 to Mar 27, 2026
- RAUM · $108M to $61.8MMar 13, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 0Sep 6, 2024 to Mar 13, 2025
- HNW RAUM · $5.7M to $5.4MSep 6, 2024 to Mar 13, 2025
- Non-discretionary RAUM · $133M to $108MSep 6, 2024 to Mar 13, 2025
- RAUM · $133M to $108MSep 6, 2024 to Mar 13, 2025
- Advisory activities · 5 to 3Feb 9, 2024 to Aug 13, 2024
- Accounts · 9 to 10Mar 17, 2023 to Feb 2, 2024
- HNW clients · 5 to 6Mar 17, 2023 to Feb 2, 2024
- HNW RAUM · $5.3M to $5.7MMar 17, 2023 to Feb 2, 2024
- Non-discretionary RAUM · $103M to $133MMar 17, 2023 to Feb 2, 2024
- RAUM · $103M to $133MMar 17, 2023 to Feb 2, 2024
- Related broker-dealer · false to trueMar 17, 2023 to Feb 2, 2024
- HNW RAUM · $4.6M to $5.3MMar 11, 2022 to Mar 17, 2023
- Non-discretionary RAUM · $102M to $103MMar 11, 2022 to Mar 17, 2023
- RAUM · $102M to $103MMar 11, 2022 to Mar 17, 2023
- Accounts · 10 to 9Mar 11, 2021 to Mar 11, 2022
- HNW clients · 6 to 5Mar 11, 2021 to Mar 11, 2022
- HNW RAUM · $4.6M to $4.6MMar 11, 2021 to Mar 11, 2022
- Non-discretionary RAUM · $101M to $102MMar 11, 2021 to Mar 11, 2022
- RAUM · $101M to $102MMar 11, 2021 to Mar 11, 2022
- HNW RAUM · $2.9M to $4.6MDec 17, 2020 to Mar 11, 2021
- Non-discretionary RAUM · $119M to $101MDec 17, 2020 to Mar 11, 2021
- RAUM · $119M to $101MDec 17, 2020 to Mar 11, 2021
- Accounts · 6 to 10Feb 27, 2019 to Mar 10, 2020
- HNW clients · 1 to 6Feb 27, 2019 to Mar 10, 2020
- Other offices · 1 to 0Feb 27, 2019 to Mar 10, 2020
- HNW RAUM · $1.6M to $2.9MFeb 27, 2019 to Mar 10, 2020
- Non-discretionary RAUM · $119M to $119MFeb 27, 2019 to Mar 10, 2020
- RAUM · $119M to $119MFeb 27, 2019 to Mar 10, 2020
- HNW RAUM · $1.6M to $1.6MMar 27, 2018 to Feb 27, 2019
- Non-discretionary RAUM · $119M to $119MMar 27, 2018 to Feb 27, 2019
- RAUM · $119M to $119MMar 27, 2018 to Feb 27, 2019
- HNW clients · unset to 1.0Jan 23, 2017 to Mar 20, 2018
- Other offices · unset to 1.0Jan 23, 2017 to Mar 20, 2018
- HNW RAUM · unset to 1642234.0Jan 23, 2017 to Mar 20, 2018
- Non-discretionary RAUM · $130M to $119MJan 23, 2017 to Mar 20, 2018
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.
How to reach
public business contact points only, each with its source
- Website
- R•••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 415-771-9421reportedpublic record, Form ADV, Mar 27, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $61.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026