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
The Rikoon Group, LLC
Latest filing Mar 21, 2025
First filing on the tape Mar 19, 2012 · 45 filings
SEC status approved since May 12, 2004
RAUM
$72.2M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$71.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$72.2M as of Mar 21, 2025
Mar 19, 2012$420M then
HNW client RAUM$71.8M as of Mar 21, 2025
Mar 30, 2018$495M then
State-registered IARs (5.B.3)2 as of Mar 21, 2025
Mar 19, 20120 then
Employees (5.A)2 as of Mar 21, 2025
Feb 22, 20136 then
Private funds: no history
RAUM -18% over the last fiscal year-9.5% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 21, 2025; every figure names its basis
- RAUM per advisor
- $36.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 96derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $374,188derivedHNW RAUM over HNW clients
- Average account
- $372,183derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminars, otherreportedItem 5.G
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$71.8M100%
- Charitable organizations$359,3850.5%
- Individual clients
- 0reported
- HNW clients
- 192reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 194reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Left, latest
- Kyle James Burns to Hightower Advisors, LLCDec 31, 2024 · RIA to affiliated broker-dealer or bank
- Contessa Maria Archuleta to Hightower Advisors, LLCDec 31, 2024 · RIA to affiliated broker-dealer or bank
- Jeffrey Wayne Sand to Hightower Advisors, LLCJun 7, 2021 · RIA to affiliated broker-dealer or bank
- Keren Elizabeth James to Hightower Advisors, LLCJun 7, 2021 · RIA to affiliated broker-dealer or bank
- Emily L Zinn to Multnomah Group, Inc.Jul 31, 2015 · Other
Joined, latest
- Jeffrey Wayne Sand from Carret And Company, LLC.Mar 9, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Hightower Advisors, LLCDec 31, 2024 · Santa Fe, Nm
- 2 left for Hightower Advisors, LLCJun 7, 2021 · Santa Fe, Nm
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Shannon Bultemeier · Controllersince 12/2018 · owns less than 5%
- J Kyle Burns · President, Chief Compliance Officersince 01/2021 · owns less than 5%
Entity owners
- Hightower Holding, LLC · Holding Companydirect · owns 75% or more
- Thl Ht Spv, LP · 25-50% Owner Of Applicant'S Holding Companyindirect · owns 25% to 50% of Hightower Holding, LLC
Related persons
Schedule D 7.A
- Bel Air Investment Advisors LLCinvestment advisernRAUM $8.1B
- Gfs Advisors LLCinvestment advisernRAUM $3.8B
- Global Financial Services, L.L.C.broker-dealern
- Hightower Advisors, LLCinvestment advisernRAUM $199B
- Hightower Securities, LLCbroker-dealern
- Kissinger Financial Services, LLCinvestment advisernRAUM $262M
- Leonetti & Associates, LLCinvestment advisernRAUM $713M
- Madison Avenue Solutions, LLCinvestment advisernRAUM $2.1B
- Rdm Investment Services, LLCbroker-dealern
Advisers that list The Rikoon Group, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Santa Fe, Nm | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10Mar 22, 2024 to Mar 21, 2025
- HQ city · unset to Mar 22, 2024 to Mar 21, 2025
- HQ state · unset to Mar 22, 2024 to Mar 21, 2025
- HNW RAUM · $88.1M to $71.8MMar 22, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $88.3M to $72.2MMar 22, 2024 to Mar 21, 2025
- RAUM · $88.3M to $72.2MMar 22, 2024 to Mar 21, 2025
- Accounts · 189 to 194Mar 30, 2023 to Mar 22, 2024
- HNW clients · 186 to 192Mar 30, 2023 to Mar 22, 2024
- Pension plan clients · 1 to 0Mar 30, 2023 to Mar 22, 2024
- HNW RAUM · $94.4M to $88.1MMar 30, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $95.5M to $88.3MMar 30, 2023 to Mar 22, 2024
- Pension RAUM · $400,000 to $0Mar 30, 2023 to Mar 22, 2024
- RAUM · $95.5M to $88.3MMar 30, 2023 to Mar 22, 2024
- Accounts · 217 to 189Mar 31, 2022 to Mar 30, 2023
- Charity clients · 1 to 2Mar 31, 2022 to Mar 30, 2023
- HNW clients · 214 to 186Mar 31, 2022 to Mar 30, 2023
- Pension plan clients · 2 to 1Mar 31, 2022 to Mar 30, 2023
- HNW RAUM · $96.1M to $94.4MMar 31, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $97.3M to $95.5MMar 31, 2022 to Mar 30, 2023
- Pension RAUM · $771,479 to $400,000Mar 31, 2022 to Mar 30, 2023
- RAUM · $97.3M to $95.5MMar 31, 2022 to Mar 30, 2023
- Accounts · 219 to 217Jun 7, 2021 to Mar 31, 2022
- HNW clients · 216 to 214Jun 7, 2021 to Mar 31, 2022
- HNW RAUM · $85.2M to $96.1MJun 7, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $86.3M to $97.3MJun 7, 2021 to Mar 31, 2022
- RAUM · $86.3M to $97.3MJun 7, 2021 to Mar 31, 2022
- Accounts · 1,226 to 219Mar 31, 2021 to May 12, 2021
- Advisory employees · 4 to 2Mar 31, 2021 to May 12, 2021
- Charity clients · 10 to 1Mar 31, 2021 to May 12, 2021
- HNW clients · 315 to 216Mar 31, 2021 to May 12, 2021
- Pension plan clients · 21 to 2Mar 31, 2021 to May 12, 2021
- Assets in custody · $181M to $0Mar 31, 2021 to May 12, 2021
- Custody of client assets · true to falseMar 31, 2021 to May 12, 2021
- Employees · 4 to 2Mar 31, 2021 to May 12, 2021
- State-registered IARs · 4 to 2Mar 31, 2021 to May 12, 2021
- Discretionary RAUM · $590M to $0Mar 31, 2021 to May 12, 2021
- HNW RAUM · $608M to $85.2MMar 31, 2021 to May 12, 2021
- Non-discretionary RAUM · $26.9M to $86.3MMar 31, 2021 to May 12, 2021
- Pension RAUM · $4.8M to $771,479Mar 31, 2021 to May 12, 2021
- RAUM · $617M to $86.3MMar 31, 2021 to May 12, 2021
Signals
6 dated events
- The Rikoon Group, Llc no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $72.2M)Feb 2, 2026 · Left the SEC roster · derived
- Contessa Maria Archuleta left The Rikoon Group, Llc for Hightower Advisors, Llc (registered 2021-04-21)Dec 31, 2024 · Advisor changed firm · fact
- Kyle James Burns left The Rikoon Group, Llc for Hightower Advisors, Llc (registered 2021-04-21)Dec 31, 2024 · Advisor changed firm · fact
- 2 advisors left The Rikoon Group, LLC (Santa FE, NM) for Hightower Advisors, LLC on the same dayDec 31, 2024 · Team lift-out · derived
- The Rikoon Group, Llc reported RAUM $86.3M, down 86% from $616.7M (2021-03-31 to 2021-05-12)May 12, 2021 · RAUM change · derived
- Allen Robert Rikoon (President,Chief Executive Officer, Chief Compliance Officer) no longer on Schedule A of The Rikoon Group, Llc (listed 2020-06-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
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