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• C•••••• M••••••••• L••
Latest filing Mar 28, 2024
First filing on the tape Mar 28, 2012 · 28 filings
RAUM
$549M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$347M gross assets
History
28 filings and snapshots on the tape
RAUM$549M as of Mar 28, 2024
Mar 28, 2012$295M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2024
Mar 28, 20134 then
Employees (5.A)11 as of Mar 28, 2024
Mar 28, 20139 then
Private funds3 as of Mar 28, 2024
Mar 28, 20123 then
RAUM +2.9% over the last fiscal year+0.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $91.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 37%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.9%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $313M, 5 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$347M63%
- State and municipal entities$202M37%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $313M for 5 clientsreported
- Compensation
- % of AUM, performancereported
- 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•••••• F•••• F•••• L••• | Hedge Fund | $214M | 9 | Sep 26, 2019 |
| T•••••• F•••• L••• | Hedge Fund | $82.3M | 28 | Mar 28, 2012 |
| P• M•••••• F•••• S••• • S••••••••• P•••••••• 1•no longer reported | Hedge Fund | $52.8M | 12 | Mar 28, 2012 |
| T•••••• M••••• F•••• L••• | Hedge Fund | $50.6M | 23 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• R•••••• T••• · Managing Membercontrolsince 06/2004 · owns 50% to 75%
- B••••••••• S••••• A••• · Chief Financial Officer/Chief Compliance Officercontrolsince 06/2012 · owns less than 5%
- S••••••• K••••• S•••• · Managing Membercontrolsince 06/2004 · owns 50% to 75%
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
- Assets in custody · $311M to $313MMar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $534M to $549MMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $352M to $347MMar 30, 2023 to Mar 28, 2024
- RAUM · $534M to $549MMar 30, 2023 to Mar 28, 2024
- Assets in custody · $347M to $311MMar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $559M to $534MMar 31, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $387M to $352MMar 31, 2022 to Mar 30, 2023
- RAUM · $559M to $534MMar 31, 2022 to Mar 30, 2023
- Advisory employees · 7 to 6Oct 8, 2021 to Mar 31, 2022
- Assets in custody · $337M to $347MOct 8, 2021 to Mar 31, 2022
- Employees · 12 to 11Oct 8, 2021 to Mar 31, 2022
- Discretionary RAUM · $545M to $559MOct 8, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $389M to $387MOct 8, 2021 to Mar 31, 2022
- RAUM · $545M to $559MOct 8, 2021 to Mar 31, 2022
- Advisory employees · 6 to 7Sep 15, 2020 to Mar 30, 2021
- Pooled vehicle clients · 6 to 5Sep 15, 2020 to Mar 30, 2021
- Assets in custody · $236M to $337MSep 15, 2020 to Mar 30, 2021
- Employees · 11 to 12Sep 15, 2020 to Mar 30, 2021
- State-registered IARs · 5 to 0Sep 15, 2020 to Mar 30, 2021
- Other offices · 1 to 0Sep 15, 2020 to Mar 30, 2021
- Discretionary RAUM · $307M to $545MSep 15, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $307M to $389MSep 15, 2020 to Mar 30, 2021
- RAUM · $307M to $545MSep 15, 2020 to Mar 30, 2021
- Other offices · 0 to 1Apr 28, 2020 to Sep 15, 2020
- Private funds · 4 to 3Apr 28, 2020 to Sep 15, 2020
- Accounts · 5 to 6Dec 13, 2019 to Mar 27, 2020
- Pooled vehicle clients · 5 to 6Dec 13, 2019 to Mar 27, 2020
- Assets in custody · $310M to $236MDec 13, 2019 to Mar 27, 2020
- Discretionary RAUM · $547M to $307MDec 13, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $547M to $307MDec 13, 2019 to Mar 27, 2020
- RAUM · $547M to $307MDec 13, 2019 to Mar 27, 2020
- Private funds · 3 to 4Apr 18, 2019 to Sep 26, 2019
- Assets in custody · $420M to $310MApr 18, 2018 to Mar 20, 2019
- Employees · 12 to 11Apr 18, 2018 to Mar 20, 2019
- Discretionary RAUM · $720M to $547MApr 18, 2018 to Mar 20, 2019
- Pooled vehicle RAUM · $720M to $547MApr 18, 2018 to Mar 20, 2019
- RAUM · $720M to $547MApr 18, 2018 to Mar 20, 2019
- Accounts · 3 to 5Mar 29, 2017 to Mar 21, 2018
- Pooled vehicle clients · unset to 5.0Mar 29, 2017 to Mar 21, 2018
- Assets in custody · $413M to $420MMar 29, 2017 to Mar 21, 2018
Signals
2 dated events
- R• C•••••• M••••••••• L•• reported RAUM $545.3M, up 77% from $307.3M (2020-09-15 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- R• C•••••• M••••••••• L•• reported RAUM $307.3M, down 44% from $547.3M (2019-12-13 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
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