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

Rex Capital Advisors, LLC

Former SEC-registered adviserProvidence, Rhode IslandCRD 123796SEC 801-61630IAPD
Latest filing Jun 24, 2022
First filing on the tape Mar 30, 2012 · 22 filings
RAUM
$1.3B
reported, Item 5.F
Discretionary
75%
of RAUM
Private clients
82%
$1.0B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$3.6M gross assets
History
22 filings and snapshots on the tape
RAUM$1.3B as of Mar 30, 2022
Mar 30, 2012$636M then
HNW client RAUM$1.0B as of Mar 30, 2022
Mar 29, 2018$589M then
State-registered IARs (5.B.3)2 as of Mar 30, 2022
Mar 30, 20120 then
Employees (5.A)11 as of Mar 30, 2022
Apr 1, 201311 then
Private funds2 as of Mar 30, 2022
Apr 1, 20132 then
RAUM +8.3% over the last fiscal year+16% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 24, 2022; every figure names its basis
RAUM per advisor
$626MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$68.7MderivedHNW RAUM over HNW clients
Average account
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
75%derivedof RAUM
Institutional
3.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+8.3%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, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.0B82%
  • Corporations and businesses$175M14%
  • Charitable organizations$47.9M3.8%
Individual clients
n/areported
HNW clients
15reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
872reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      St. Davids Fm, L.P.no longer reportedPrivate Equity Fund$1.7M15Apr 1, 2013
      Rex Advisors Copley X Investors, LLCno longer reportedPrivate Equity Fund$1.6M4Nov 1, 2016
      Rex Advisors Bv Investors, LLCno longer reportedPrivate Equity Fund$1.2M3Nov 1, 2016
      Rex Advisors K Viii Investors, LLCno longer reportedPrivate Equity Fund$1.1M3Nov 1, 2016
      Rex Advisors Berkshire Investors, LLCno longer reportedPrivate Equity Fund$914,9063Nov 1, 2016
      China Private Equity Management Limitedno longer reportedPrivate Equity Fund$911,9171Apr 1, 2013
      Rex Advisors Thl Investors, LLCno longer reportedPrivate Equity Fund$760,8941Nov 1, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • Christopher Michael Chase · Chief Operating Officer, Member, Class A Sharescontrol
        since 03/2007 · owns 10% to 25%
      • Patrick Timothy Devlin · Portfolio Manager, Member, Class A Sharescontrol
        since 01/2017 · owns less than 5%
      • Xavier Arthur Duffy · Ceo, Managing Member, Class A Sharescontrol
        since 09/2002 · owns 50% to 75%
      • William Mark Smith · Chief Compliance Officercontrol
        since 06/2020 · owns less than 5%
      • Andrew Matthew Thibault · Chief Financial Officer, Member, Class A Sharescontrol
        since 09/2002 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • Arthur Xavier Duffy
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 822 to 872
        Jun 25, 2021 to Mar 30, 2022
      • Advisory employees · 8 to 9
        Jun 25, 2021 to Mar 30, 2022
      • Corporate clients · unset to 5.0
        Jun 25, 2021 to Mar 30, 2022
      • HNW clients · 14 to 15
        Jun 25, 2021 to Mar 30, 2022
      • Employees · 10 to 11
        Jun 25, 2021 to Mar 30, 2022
      • Discretionary RAUM · $871M to $940M
        Jun 25, 2021 to Mar 30, 2022
      • HNW RAUM · $978M to $1.0B
        Jun 25, 2021 to Mar 30, 2022
      • Non-discretionary RAUM · $285M to $313M
        Jun 25, 2021 to Mar 30, 2022
      • RAUM · $1.2B to $1.3B
        Jun 25, 2021 to Mar 30, 2022
      • Accounts · 779 to 822
        Jun 30, 2020 to Mar 30, 2021
      • Discretionary RAUM · $758M to $871M
        Jun 30, 2020 to Mar 30, 2021
      • HNW RAUM · $778M to $978M
        Jun 30, 2020 to Mar 30, 2021
      • Non-discretionary RAUM · $190M to $285M
        Jun 30, 2020 to Mar 30, 2021
      • RAUM · $948M to $1.2B
        Jun 30, 2020 to Mar 30, 2021
      • Accounts · 784 to 779
        Jun 28, 2019 to Apr 23, 2020
      • Advisory employees · 7 to 8
        Jun 28, 2019 to Apr 23, 2020
      • HNW clients · 12 to 14
        Jun 28, 2019 to Apr 23, 2020
      • Discretionary RAUM · $676M to $758M
        Jun 28, 2019 to Apr 23, 2020
      • HNW RAUM · $673M to $778M
        Jun 28, 2019 to Apr 23, 2020
      • Non-discretionary RAUM · $136M to $190M
        Jun 28, 2019 to Apr 23, 2020
      • RAUM · $812M to $948M
        Jun 28, 2019 to Apr 23, 2020
      • Accounts · 707 to 784
        Jun 29, 2018 to Mar 27, 2019
      • HNW clients · 11 to 12
        Jun 29, 2018 to Mar 27, 2019
      • Discretionary RAUM · $688M to $676M
        Jun 29, 2018 to Mar 27, 2019
      • HNW RAUM · $589M to $673M
        Jun 29, 2018 to Mar 27, 2019
      • Non-discretionary RAUM · $45.6M to $136M
        Jun 29, 2018 to Mar 27, 2019
      • RAUM · $733M to $812M
        Jun 29, 2018 to Mar 27, 2019
      • Related adviser · true to false
        Jun 29, 2018 to Mar 27, 2019
      • Accounts · 648 to 707
        Jun 26, 2017 to Mar 29, 2018
      • HNW clients · unset to 11.0
        Jun 26, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Jun 26, 2017 to Mar 29, 2018
      • Discretionary RAUM · $628M to $688M
        Jun 26, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 589010270.0
        Jun 26, 2017 to Mar 29, 2018
      • Non-discretionary RAUM · $21.2M to $45.6M
        Jun 26, 2017 to Mar 29, 2018
      • RAUM · $650M to $733M
        Jun 26, 2017 to Mar 29, 2018
      • Accounts · 606 to 648
        Feb 17, 2017 to Mar 30, 2017
      • Private funds · 7 to 2
        Feb 17, 2017 to Mar 30, 2017
      • Discretionary RAUM · $622M to $628M
        Feb 17, 2017 to Mar 30, 2017
      • Non-discretionary RAUM · $21.1M to $21.2M
        Feb 17, 2017 to Mar 30, 2017
      • RAUM · $643M to $650M
        Feb 17, 2017 to Mar 30, 2017
      Signals
      4 dated events
      • Matthew Andrew Thibault left Rex Capital Advisors, Llc for Pathstone (registered 2023-03-10)
        Mar 8, 2023 · Advisor changed firm · fact
      • Arthur Xavier Duffy left Rex Capital Advisors, Llc for Pathstone (registered 2023-03-09)
        Mar 8, 2023 · Advisor changed firm · fact
      • 2 advisors left Rex Capital Advisors, LLC (Providence, RI) for Pathstone on the same day
        Mar 8, 2023 · Team lift-out · derived
      • William Mark Smith (Chief Compliance Officer) appeared on Schedule A of Rex Capital Advisors, Llc
        Jun 26, 2020 · Control person joined · fact
      Across DFX
      shared identifiers only, never a name match
      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