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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Former SEC-registered adviser
R•••• M••••••••• C••••••• L••
Latest filing Apr 29, 2024
First filing on the tape Mar 30, 2012 · 20 filings
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$1.3B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$30.3M gross assets
History
20 filings and snapshots on the tape
RAUM$1.4B as of Mar 27, 2024
Mar 30, 2012$914M then
HNW client RAUM$1.3B as of Mar 27, 2024
Mar 29, 2018$2.9B then
State-registered IARs (5.B.3)0 as of Mar 27, 2024
Mar 30, 20120 then
Employees (5.A)14 as of Mar 27, 2024
Mar 27, 201313 then
Private funds2 as of Mar 27, 2024
Mar 30, 20129 then
RAUM -67% over the last fiscal year-30% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 29, 2024; 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
- $73.3MderivedHNW RAUM over HNW clients
- Average account
- $58.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -67%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 feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $684M, 9 clientsreportedItem 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.3B98%
- Pooled investment vehicles$29.6M2.2%
- Charitable organizations$3.3M0.2%
- Individual clients
- n/areported
- HNW clients
- 18reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 23reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $684M for 9 clientsreported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••• L••••• H••••• L•••no longer reported | Hedge Fund | $9.8M | 4 | Mar 30, 2012 |
| R•••• E••••• P••••••• I••• L•••no longer reported | Private Equity Fund | $2.4M | 75 | Mar 30, 2012 |
| R•••• I•••••••• 2•••••• L••no longer reported | Private Equity Fund | $1.1M | 16 | Mar 30, 2012 |
| R•••• E••••• P••••••• I• L•••no longer reported | Private Equity Fund | $0 | 0 | Mar 30, 2012 |
| R•••• G••••• A••••••••• F•••• L•••no longer reported | Hedge Fund | $0 | 0 | Mar 30, 2012 |
| R•••• I•••• O••••••••• F•••• L•••no longer reported | Hedge Fund | $0 | 0 | Mar 30, 2012 |
| R•••• E••••• V••••••••• S•••••••• L•••no longer reported | Hedge Fund | $0 | 0 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A•••••••• A••••••• · Chief Compliance Officercontrolsince 03/2018 · owns less than 5%
- B••••••••• R•••••• F•••••• · Managing Membercontrolsince 01/2003 · owns 25% to 50%
- G••••••• P••••• B•••• · Managing Membercontrolsince 01/2021 · owns 10% to 25%
- G•• S•••••• S•••• · Chief Operating Officercontrolsince 09/2010 · owns less than 5%
- D••••••• S••••••• C• · Membersince 01/2021 · owns 10% to 25%
- K••••••• M••••••• A•••• · Membersince 01/2021 · owns 10% to 25%
Entity owners
- T•• F••••••••• F••••• T•••• · General Partnerindirect · owns 25% to 50% of T•• F••••••••• F••••• P•••••••••
- T•• F••••••••• F••••• P••••••••• · Memberdirect · owns 50% to 75%
- E••• F••••••••• F••••• 2••• T•••• · Limited Partnerindirect · owns 25% to 50% of T•• F••••••••• F••••• P•••••••••
- T•• G••• F• M•••• T•••• · Limited Partnerindirect · owns 25% to 50% of T•• F••••••••• F••••• P•••••••••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- San F••••••Co, CA3 employees
What changed
consecutive filings, newest first
- Accounts · 50 to 23Mar 30, 2023 to Mar 27, 2024
- Charity clients · 7 to 1Mar 30, 2023 to Mar 27, 2024
- HNW clients · 36 to 18Mar 30, 2023 to Mar 27, 2024
- Individual clients · 3.0 to unsetMar 30, 2023 to Mar 27, 2024
- Assets in custody · $816M to $684MMar 30, 2023 to Mar 27, 2024
- Insurance-licensed employees · 0 to 4Mar 30, 2023 to Mar 27, 2024
- Financial planning clients · 26-50 to 11-25Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $4.1B to $1.4BMar 30, 2023 to Mar 27, 2024
- HNW RAUM · $3.3B to $1.3BMar 30, 2023 to Mar 27, 2024
- Individual RAUM · 3724965.0 to unsetMar 30, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $40.1M to $29.6MMar 30, 2023 to Mar 27, 2024
- RAUM · $4.1B to $1.4BMar 30, 2023 to Mar 27, 2024
- Accounts · 48 to 50Sep 27, 2022 to Mar 30, 2023
- Advisory employees · 5 to 6Sep 27, 2022 to Mar 30, 2023
- HNW clients · 33 to 36Sep 27, 2022 to Mar 30, 2023
- Individual clients · 4 to 3Sep 27, 2022 to Mar 30, 2023
- Assets in custody · $975M to $816MSep 27, 2022 to Mar 30, 2023
- Discretionary RAUM · $4.4B to $4.1BSep 27, 2022 to Mar 30, 2023
- HNW RAUM · $3.5B to $3.3BSep 27, 2022 to Mar 30, 2023
- Individual RAUM · $6.8M to $3.7MSep 27, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $49.3M to $40.1MSep 27, 2022 to Mar 30, 2023
- RAUM · $4.4B to $4.1BSep 27, 2022 to Mar 30, 2023
- Accounts · 53 to 48Mar 21, 2021 to Mar 24, 2022
- Individual clients · 3 to 4Mar 21, 2021 to Mar 24, 2022
- Pooled vehicle clients · 5 to 4Mar 21, 2021 to Mar 24, 2022
- Assets in custody · $765M to $975MMar 21, 2021 to Mar 24, 2022
- Discretionary RAUM · $3.9B to $4.4BMar 21, 2021 to Mar 24, 2022
- HNW RAUM · $3.0B to $3.5BMar 21, 2021 to Mar 24, 2022
- Individual RAUM · $8.6M to $6.8MMar 21, 2021 to Mar 24, 2022
- Pooled vehicle RAUM · $42.6M to $49.3MMar 21, 2021 to Mar 24, 2022
- RAUM · $3.9B to $4.4BMar 21, 2021 to Mar 24, 2022
- Charity clients · 6 to 7Jun 22, 2020 to Mar 21, 2021
- HNW clients · 37 to 33Jun 22, 2020 to Mar 21, 2021
- Individual clients · 7 to 3Jun 22, 2020 to Mar 21, 2021
- Pooled vehicle clients · 3 to 5Jun 22, 2020 to Mar 21, 2021
- Assets in custody · $30.8M to $765MJun 22, 2020 to Mar 21, 2021
- Employees · 15 to 14Jun 22, 2020 to Mar 21, 2021
- Discretionary RAUM · $3.7B to $3.9BJun 22, 2020 to Mar 21, 2021
- HNW RAUM · $2.9B to $3.0BJun 22, 2020 to Mar 21, 2021
- Individual RAUM · $8.6M to $8.6MJun 22, 2020 to Mar 21, 2021
Signals
6 dated events
- R•••• M••••••••• C••••••• L•• reported RAUM $1.4B, down 67% from $4.1B (2023-03-30 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- Eric Freidenrich (Limited Partner) no longer on Schedule A of R•••• M••••••••• C••••••• L•• (listed 2023-03-30, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Clumeck Jill Freidenrich (General Partner) no longer on Schedule A of R•••• M••••••••• C••••••• L•• (listed 2023-03-30, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Gail Marks (Limited Partner) no longer on Schedule A of R•••• M••••••••• C••••••• L•• (listed 2023-03-30, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Berry Peter Gifford (Managing Member) appeared on Schedule A of R•••• M••••••••• C••••••• L••Mar 27, 2024 · Control person joined · fact
- R•••• M••••••••• C••••••• L•• reported RAUM $3.6B, up 75% from $2.1B (2017-03-29 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- R•••• M••••••••• C••••••• L•• · Private Equityshared crd · organization
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
Across the graphs
R•••• M••••••••• C••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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