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

Rj Capital, LLC

Former SEC-registered adviserHouston, TexasCRD 118931SEC 801-67119IAPD
Latest filing Jan 11, 2019
First filing on the tape Feb 9, 2012 · 16 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$0 as of Jan 11, 2019
Feb 9, 2012$95.0M then
HNW client RAUM$0 as of Jan 11, 2019
Mar 7, 2018$141M then
State-registered IARs (5.B.3)4 as of Jan 11, 2019
Jan 15, 20135 then
Employees (5.A)5 as of Jan 11, 2019
Jan 15, 20135 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Jan 11, 2019; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-100%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-100%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Custody
yesreportedItem 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)
  • 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)
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
0reported
HNW clients
0reported
Pension plan clients
n/areported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$0 for 10 clientsreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Joseph Gregory Litts · Principal & Chief Compliance Officercontrol
      since 12/2001 · owns 75% or more
    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
    • Accounts · 898 to 0
      Mar 7, 2018 to Jan 11, 2019
    • Business name · RJ CAPITAL to RJ CAPITAL, LLC
      Mar 7, 2018 to Jan 11, 2019
    • Charity clients · 1 to 0
      Mar 7, 2018 to Jan 11, 2019
    • HNW clients · 46 to 0
      Mar 7, 2018 to Jan 11, 2019
    • Individual clients · 227 to 0
      Mar 7, 2018 to Jan 11, 2019
    • Assets in custody · $49.6M to $0
      Mar 7, 2018 to Jan 11, 2019
    • Legal name · GREGORY JOSEPH LITTS to RJ CAPITAL, LLC
      Mar 7, 2018 to Jan 11, 2019
    • Discretionary RAUM · $198M to $0
      Mar 7, 2018 to Jan 11, 2019
    • HNW RAUM · $141M to $0
      Mar 7, 2018 to Jan 11, 2019
    • Individual RAUM · $67.8M to $0
      Mar 7, 2018 to Jan 11, 2019
    • Non-discretionary RAUM · $12.0M to $0
      Mar 7, 2018 to Jan 11, 2019
    • RAUM · $210M to $0
      Mar 7, 2018 to Jan 11, 2019
    • Succession · true to false
      Mar 7, 2018 to Jan 11, 2019
    • Accounts · 750 to 898
      Apr 26, 2017 to Mar 7, 2018
    • Advisory employees · 5 to 4
      Apr 26, 2017 to Mar 7, 2018
    • Charity clients · unset to 1.0
      Apr 26, 2017 to Mar 7, 2018
    • HNW clients · unset to 46.0
      Apr 26, 2017 to Mar 7, 2018
    • Individual clients · unset to 227.0
      Apr 26, 2017 to Mar 7, 2018
    • Assets in custody · unset to 49617714.0
      Apr 26, 2017 to Mar 7, 2018
    • Custody of client assets · false to true
      Apr 26, 2017 to Mar 7, 2018
    • State-registered IARs · 5 to 4
      Apr 26, 2017 to Mar 7, 2018
    • Other offices · unset to 0.0
      Apr 26, 2017 to Mar 7, 2018
    • Organization form · Sole Proprietorship to Limited Liability Company
      Apr 26, 2017 to Mar 7, 2018
    • Discretionary RAUM · $165M to $198M
      Apr 26, 2017 to Mar 7, 2018
    • HNW RAUM · unset to 141299998.0
      Apr 26, 2017 to Mar 7, 2018
    • Individual RAUM · unset to 67777532.0
      Apr 26, 2017 to Mar 7, 2018
    • Non-discretionary RAUM · $0 to $12.0M
      Apr 26, 2017 to Mar 7, 2018
    • RAUM · $165M to $210M
      Apr 26, 2017 to Mar 7, 2018
    • Succession · false to true
      Apr 26, 2017 to Mar 7, 2018
    • Wrap assets (manager) · unset to 0.0
      Apr 26, 2017 to Mar 7, 2018
    • Wrap assets (sponsor) · unset to 0.0
      Apr 26, 2017 to Mar 7, 2018
    • Accounts · 660 to 750
      Jan 22, 2016 to Jan 12, 2017
    • Insurance-licensed employees · 1 to 0
      Jan 22, 2016 to Jan 12, 2017
    • Discretionary RAUM · $168M to $165M
      Jan 22, 2016 to Jan 12, 2017
    • RAUM · $168M to $165M
      Jan 22, 2016 to Jan 12, 2017
    • Accounts · 607 to 660
      Sep 28, 2015 to Jan 22, 2016
    • Advisory employees · 3 to 5
      Sep 28, 2015 to Jan 22, 2016
    • Insurance-licensed employees · 0 to 1
      Sep 28, 2015 to Jan 22, 2016
    • Discretionary RAUM · $166M to $168M
      Sep 28, 2015 to Jan 22, 2016
    • Non-discretionary RAUM · $8.5M to $0
      Sep 28, 2015 to Jan 22, 2016
    Signals
    2 dated events
    • Rj Capital, Llc reported RAUM $0, down 100% from $210.1M (2018-03-07 to 2019-01-11)
      Jan 11, 2019 · RAUM change · derived
    • Rj Capital reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Mar 7, 2018 · Succession (Item 4) · 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