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.
SEC-registered adviser
View Capital Ria, LP
Latest filing Mar 30, 2026
First filing on the tape Dec 8, 2011 · 29 filings
SEC status approved since Apr 9, 2004
RAUM
$1.8B
reported, Item 5.F
Discretionary
34%
of RAUM
Private clients
96%
$1.7B individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$202M
derived; firm RAUM over IAPD count
Employees
18
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$1.8B as of Mar 30, 2026
Mar 30, 2012$711M then
HNW client RAUM$1.7B as of Mar 30, 2026
Mar 30, 2018$989M then
State-registered IARs (5.B.3)9 as of Mar 30, 2026
Mar 28, 20138 then
Employees (5.A)18 as of Mar 30, 2026
Mar 28, 201318 then
Private funds4 as of Mar 30, 2026
Mar 31, 20151 then
RAUM +2.3% over the last fiscal year+7.6% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $202MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 15derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $13.8MderivedHNW RAUM over HNW clients
- Average account
- $12.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 34%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -17%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, 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
- is an insurance broker or agent (6.A.6)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.7B95%
- Pooled investment vehicles$53.3M2.9%
- Charitable organizations$24.8M1.4%
- Individuals$4.9M0.3%
- Individual clients
- 9reported
- HNW clients
- 126reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 141reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.96 fund_share=0.03 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jaime Ernesto Palmer | Dallas, Tx | Jan 26, 2006 | 28 y | 2 |
| Jeffrey Gordon Rupp | Dallas, Tx | Jan 26, 2006 | 39 y | 2 |
| Stephanie Adair ByrdCertified Financial Planner | Dallas, Tx | Jun 20, 2007 | 30 y | 1 |
| Raymond Craig Brubaker | Dallas, Tx | Aug 24, 2011 | 31 y | 3 |
| Peter Warren PaddockChartered Financial Analyst | Dallas, Tx | Dec 19, 2011 | 19 y | 0 |
| Salvador Daniel Sanchez | Dallas, Tx | Oct 13, 2014 | 15 y | 0 |
| Kenichi ShojiChartered Financial Analyst | Dallas, Tx | Apr 7, 2017 | 20 y | 0 |
| Kelly HohertzChartered Financial Analyst | Dallas, Tx | Sep 28, 2020 | 10 y | 0 |
| Austin Dean TatumChartered Financial Analyst | Dallas, Tx | Oct 31, 2023 | 11 y | 0 |
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
- Pallavi Srivastava to Tolleson Private Wealth ManagementJan 19, 2022 · RIA to RIA
- Charles W Durham to Birnam Wood Capital, LLCJul 7, 2015 · Other
- Craig Lawrence Caudle to RBC Capital Markets, LLCJan 5, 2015 · Other
- Michael John Gavett to Fiduciary Financial Services Wealth ManagementFeb 10, 2014 · Other
- Redding E May to Redding Holdings, LLCJul 6, 2012 · Other
Joined, latest
- Pallavi Srivastava from Raymond James Financial Services Advisors, IncJul 15, 2021 · Affiliated broker-dealer or bank to independent RIA
- Craig Lawrence Caudle from St. James Investment Company, LLCOct 2, 2014 · Other
- Redding E May from Merrill Lynch, Pierce, Fenner & Smith IncorporatedDec 1, 2011 · Other
- Charles W Durham from Merrill Lynch, Pierce, Fenner & Smith IncorporatedApr 20, 2009 · Other
- Stephanie Adair Byrd from Kpmg Investment AdvisorsJun 20, 2007 · Other
- Jaime Ernesto Palmer from Deutsche Bank Securities Inc.Feb 15, 2005 · Other
- Raymond Craig Brubaker from Deutsche Bank Securities Inc.Feb 8, 2005 · Other
- Jeffrey Gordon Rupp from Deutsche Bank Securities Inc.May 12, 2004 · Other
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Vca Multi-Strategy Fund, LLC | Hedge Fund | $31.7M | 46 | Mar 30, 2020 |
| View Digital Infrastructure Fund LP | Private Equity Fund | $19.5M | 15 | Mar 26, 2024 |
| View Wireless Infrastructure Fund LP | Private Equity Fund | $3.3M | 14 | Mar 30, 2018 |
| Vca Oil & Gas Program I, LP | Other Private Fund | $2.0M | 52 | Mar 31, 2015 |
Owners and control persons
Schedule A and B, latest filing
- Gordon Jeffrey Rupp · Chief Compliance Officercontrolsince 11/2003 · owns less than 5%
- Gordon Jeffrey Rupp · Membercontrolsince 11/2003 · owns 75% or more of Rcb Partners, LLC
Entity owners
- Rcb Partners, LLC · General Partnerdirect · owns less than 5%
- View Capital Advisors, LLC · Limted Partnerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Bluffview Insurance Agency, LPreal estaten
- Vca Energy Management, LLCpooled vehicle sponsorn
- View Capital Management LLCpooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 9 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 169 to 141Mar 26, 2025 to Mar 30, 2026
- Advisory employees · 12 to 11Mar 26, 2025 to Mar 30, 2026
- Corporate clients · 0.0 to unsetMar 26, 2025 to Mar 30, 2026
- HNW clients · 145 to 126Mar 26, 2025 to Mar 30, 2026
- Individual clients · 18 to 9Mar 26, 2025 to Mar 30, 2026
- Pension plan clients · 0.0 to unsetMar 26, 2025 to Mar 30, 2026
- Discretionary RAUM · $543M to $619MMar 26, 2025 to Mar 30, 2026
- HNW RAUM · $1.7B to $1.7BMar 26, 2025 to Mar 30, 2026
- Individual RAUM · $8.5M to $4.9MMar 26, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $1.2B to $1.2BMar 26, 2025 to Mar 30, 2026
- Pension RAUM · 0.0 to unsetMar 26, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $43.0M to $53.3MMar 26, 2025 to Mar 30, 2026
- RAUM · $1.8B to $1.8BMar 26, 2025 to Mar 30, 2026
- Accounts · 162 to 169Jul 1, 2024 to Mar 26, 2025
- Advisory employees · 11 to 12Jul 1, 2024 to Mar 26, 2025
- Charity clients · 1 to 2Jul 1, 2024 to Mar 26, 2025
- HNW clients · 138 to 145Jul 1, 2024 to Mar 26, 2025
- Individual clients · 19 to 18Jul 1, 2024 to Mar 26, 2025
- Employees · 17 to 18Jul 1, 2024 to Mar 26, 2025
- Financial planning clients · 101-250 to 101-250Jul 1, 2024 to Mar 26, 2025
- Discretionary RAUM · $412M to $543MJul 1, 2024 to Mar 26, 2025
- HNW RAUM · $1.5B to $1.7BJul 1, 2024 to Mar 26, 2025
- Individual RAUM · $13.1M to $8.5MJul 1, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $1.2B to $1.2BJul 1, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $34.2M to $43.0MJul 1, 2024 to Mar 26, 2025
- RAUM · $1.6B to $1.8BJul 1, 2024 to Mar 26, 2025
- Accounts · 197 to 162Mar 31, 2023 to Mar 26, 2024
- Advisory employees · 10 to 11Mar 31, 2023 to Mar 26, 2024
- HNW clients · 166 to 138Mar 31, 2023 to Mar 26, 2024
- Individual clients · 27 to 19Mar 31, 2023 to Mar 26, 2024
- Pooled vehicle clients · 3 to 4Mar 31, 2023 to Mar 26, 2024
- State-registered IARs · 8 to 9Mar 31, 2023 to Mar 26, 2024
- Private funds · 3 to 4Mar 31, 2023 to Mar 26, 2024
- Discretionary RAUM · $393M to $412MMar 31, 2023 to Mar 26, 2024
- HNW RAUM · $1.4B to $1.5BMar 31, 2023 to Mar 26, 2024
- Individual RAUM · $8.3M to $13.1MMar 31, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $1.1B to $1.2BMar 31, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $33.9M to $34.2MMar 31, 2023 to Mar 26, 2024
- RAUM · $1.5B to $1.6BMar 31, 2023 to Mar 26, 2024
- Accounts · 173 to 197Mar 29, 2022 to Mar 31, 2023
Signals
2 dated events
- View Capital Ria, Lp reported RAUM $1.6B, up 33% from $1.2B (2021-03-31 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- Pallavi Srivastava left View Capital Ria, Lp for Tolleson Private Wealth Management (registered 2024-10-07)Jan 19, 2022 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- View Capital Ria, LP · Independent Sponsorsshared crd · capital_provider
- View Capital Ria, LP · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- awerksman@view-cap.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- bherms@view-cap.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- cbrubaker@view-cap.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- dguerra@view-cap.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- gricaud@view-cap.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- jflores@view-cap.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- ljordoin@view-cap.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- manthony@view-cap.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- mhogan@view-cap.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- rfannin@view-cap.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- wpaddock@view-cap.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 214-855-2550reportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $202Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026