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•••
Legal name R••••••• F•••••••• F••• M••••••••• L••
Latest filing Mar 27, 2019
First filing on the tape Dec 23, 2011 · 26 filings
RAUM
$74.0M
reported, Item 5.F
Discretionary
20%
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
80
7 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
12
$74.0M gross assets
History
26 filings and snapshots on the tape
RAUM$74.0M as of Mar 27, 2019
Dec 23, 2011$3.9B then
HNW client RAUM$0 as of Mar 27, 2019
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 27, 2019
Dec 23, 20110 then
Employees (5.A)80 as of Mar 27, 2019
Dec 5, 201212 then
Private funds12 as of Mar 27, 2019
Dec 23, 201118 then
RAUM -65% over the last fiscal year-71% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2019; 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
- $6.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 20%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -65%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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$74.0M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 12reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
13 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••• C•••••• P••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $30.5M | 3 | Mar 31, 2015 |
| C•••••• I••••• I••••••••• O••••••••• F••• A• L••• | Private Equity Fund | $7.4M | 2 | Apr 2, 2012 |
| C••••• C••• P••••••• I•• L••• | Private Equity Fund | $4.6M | 81 | Apr 2, 2012 |
| C••••• C••• I••••••••• O••••••••• F•••• L••• | Private Equity Fund | $2.7M | 29 | Apr 2, 2012 |
| C•••••• I••••• P•••••••• L••• | Private Equity Fund | $52,242 | 24 | Apr 2, 2012 |
| C••••• C••• P•••••••• L••• | Private Equity Fund | $51,549 | 75 | Apr 2, 2012 |
| C•••••• I••••• I••••••••• O••••••••• F••• C• L••• | Private Equity Fund | $50,420 | 2 | Apr 2, 2012 |
| C•••••• I••••• P••••••• A• L••• | Private Equity Fund | $49,916 | 12 | Jan 18, 2013 |
| T•••••• P••••••• I••• L•••no longer reported | Private Equity Fund | $0 | 40 | Dec 23, 2011 |
| T•••••• P••••••• V• L•••no longer reported | Private Equity Fund | $0 | 15 | Dec 23, 2011 |
| T•••••• P••••••• I•• L•••no longer reported | Private Equity Fund | $0 | 13 | Dec 23, 2011 |
| T•••••• P••••••• I•• L•••no longer reported | Private Equity Fund | $0 | 33 | Dec 23, 2011 |
| T•••••• P•••••••• L•••no longer reported | Private Equity Fund | $0 | 8 | Dec 23, 2011 |
Owners and control persons
Schedule A and B, latest filing
- B••••• L•••••••• S••••• · Senior Vice President, Chief Compliance Officer & Secretarycontrolsince 03/2018 · owns less than 5%
- B••••••••• J••••••• D••• · President & Managing Directorcontrolsince 09/2003 · owns less than 5%
- C••••• J••••••• P•••••• · Member Of The Board Of M••••••Scontrolsince 09/2016 · owns less than 5%
- E••••••• T•••••• C•••••• · Senior Vice President; Member Of The Board Of M••••••Scontrolsince 11/2004 · owns less than 5%
- H••••••• B••••• S•••••• · Senior Vice President & Chief Financial Officercontrolsince 01/2012 · owns less than 5%
- A••••• J••••• A••••• · Member Of Board Of M••••••Scontrolsince 01/2019 · owns F of C•••• C•••••• P••••••• L••
- C••••• J••••••• P•••••• · Member Of Board Of M••••••Scontrolsince 02/2010 · owns F of C•••• C•••••• P••••••• L••
- F•••••• A•••••• L••••••• · Membercontrolsince 07/2003 · owns 75% or more of I••••• C•••••• G•••• L••
- F•••••• A•••••• L••••••• · Member Of Board Of M••••••Scontrolsince 02/2010 · owns F of C•••• C•••••• P••••••• L••
- J••••••••• M••••••• G•••••• · Member Of Board Of M••••••Scontrolsince 05/2012 · owns F of C•••• C•••••• P••••••• L••
- R••••••• S•••••• J••••• · Member Of Board Of M••••••Scontrolsince 02/2010 · owns F of C•••• C•••••• P••••••• L••
- G•••• M••••••••• F••••• · Vice President - Compliance & Secretarysince 03/2018 · owns less than 5%
Entity owners
- R••••••• A••••••• I••• · Sole Memberdirect · owns 75% or more
- A••••• A••••••• L•• · Memberindirect · owns 75% or more of I••••• C•••• M•••••• L••
- C•••• C•••••• P••••••• L•• · Sole Shareholderindirect · owns 75% or more of R••••••• A••••••• I•••
- I••••• C•••• D••••••••• I• L•• · Managing Memberindirect · owns F of I••••• C•••• H••••••• L••
- I••••• C•••• D••••••••• L•• · Managing Memberindirect · owns F of I••••• C•••• H••••••• L••
- I••••• C•••• H••••••• I• L•• · Memberindirect · owns 25% to 50% of C•••• C•••••• P••••••• L••
- I••••• C•••• H••••••• L•• · Memberindirect · owns 25% to 50% of C•••• C•••••• P••••••• L••
- I••••• C•••• M•••••• L•• · M••••••indirect · owns F of C•••• C•••••• P••••••• L••
- I••••• C•••••• G•••• L•• · Memberindirect · owns 75% or more of A••••• A••••••• L••
- I••••• C•••••• G•••• L•• · Memberindirect · owns 75% or more of I••••• C•••• D••••••••• L••
- I••••• C•••••• G•••• L•• · Memberindirect · owns 75% or more of I••••• C•••• D••••••••• I• L••
Related persons
Schedule D 7.A
- A••••• S••••••••• L••broker-dealern
- C•••• C•••••• P••••••• L••pooled vehicle sponsory
- C•••• H• D••••••••• I•• L••investment adviserpooled vehicle sponsorn
- C•••• H• D••••••••• I• L••investment adviserbankpooled vehicle sponsorn
- C•••• I••••••••• M••••••••• L••investment adviserbanknRAUM $2.5B
- C•••• J•••• M•••••• L••investment advisern
- C•••• R••••• S••••••• L••investment companyn
- C•••• R• D••••••••• I• L••investment adviserpooled vehicle sponsorn
- C•••• R•• D••••••••• L••investment adviserpooled vehicle sponsorn
- C•••• S• M••••••••• L••investment advisern
- E•••••• C•••••• M•••••• I•••investment advisernRAUM $2.5B
- I•• R••••• L••investment companyn
- I••••• C•••••• G•••• L••pooled vehicle sponsory
- I••••• D••••••••• I•• L••investment adviserpooled vehicle sponsorn
- J•• I•••••••• T•••• I•••investment advisern
- N•• A•••••• N•••••• I•••investment companyn
- R••••••• A••••••••• A••••••• L••investment adviserbanknRAUM $294M
- R••••••• R••• E••••• L••investment adviserbanknRAUM $366M
- R••••••• S••••••••• L••broker-dealern
- R• I• N•• C••••••••• G• L••investment adviserpooled vehicle sponsorn
- U•• R••••••••• G•••• L••investment companyn
Advisers that list R••• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY2 employees
- Greenville, SC1 employees
- Philadelphia, PA1 employees
What changed
consecutive filings, newest first
- Advisory employees · 3 to 7Jan 2, 2019 to Mar 27, 2019
- BD registered reps · 1 to 3Jan 2, 2019 to Mar 27, 2019
- Employees · 15 to 80Jan 2, 2019 to Mar 27, 2019
- Discretionary RAUM · $36.3M to $15.0MJan 2, 2019 to Mar 27, 2019
- Non-discretionary RAUM · $80.9M to $59.1MJan 2, 2019 to Mar 27, 2019
- Pooled vehicle RAUM · $117M to $74.0MJan 2, 2019 to Mar 27, 2019
- RAUM · $117M to $74.0MJan 2, 2019 to Mar 27, 2019
- Related insurance company · true to falseJan 2, 2019 to Mar 27, 2019
- Discretionary RAUM · $19.7M to $36.3MMar 29, 2018 to Apr 26, 2018
- Non-discretionary RAUM · $193M to $80.9MMar 29, 2018 to Apr 26, 2018
- Pooled vehicle RAUM · $213M to $117MMar 29, 2018 to Apr 26, 2018
- RAUM · $213M to $117MMar 29, 2018 to Apr 26, 2018
- Advisory employees · 4 to 3Feb 27, 2018 to Mar 29, 2018
- BD registered reps · 3 to 1Feb 27, 2018 to Mar 29, 2018
- Assets in custody · 19739570.0 to unsetFeb 27, 2018 to Mar 29, 2018
- Custody of client assets · true to falseFeb 27, 2018 to Mar 29, 2018
- Employees · 22 to 15Feb 27, 2018 to Mar 29, 2018
- Legal name · R••••••• F•••••••• F••• M••••••••• I••• to R••••••• FINANCIAL FUND MANAGEMENT, LLCFeb 27, 2018 to Mar 29, 2018
- Other offices · 1 to 3Feb 27, 2018 to Mar 29, 2018
- Succession · true to falseFeb 27, 2018 to Mar 29, 2018
- Accounts · 13 to 12Sep 29, 2017 to Feb 27, 2018
- Advisory employees · 10 to 4Sep 29, 2017 to Feb 27, 2018
- BD registered reps · 5 to 3Sep 29, 2017 to Feb 27, 2018
- Charity clients · unset to 0.0Sep 29, 2017 to Feb 27, 2018
- Corporate clients · unset to 0.0Sep 29, 2017 to Feb 27, 2018
- HNW clients · unset to 0.0Sep 29, 2017 to Feb 27, 2018
- Individual clients · unset to 0.0Sep 29, 2017 to Feb 27, 2018
- Pension plan clients · unset to 0.0Sep 29, 2017 to Feb 27, 2018
- Pooled vehicle clients · unset to 12.0Sep 29, 2017 to Feb 27, 2018
- Assets in custody · $35.9M to $19.7MSep 29, 2017 to Feb 27, 2018
- Employees · 26 to 22Sep 29, 2017 to Feb 27, 2018
- Other offices · unset to 1.0Sep 29, 2017 to Feb 27, 2018
- Organization form · Corporation to Limited Liability CompanySep 29, 2017 to Feb 27, 2018
- Discretionary RAUM · $35.9M to $19.7MSep 29, 2017 to Feb 27, 2018
- HNW RAUM · unset to 0.0Sep 29, 2017 to Feb 27, 2018
- Individual RAUM · unset to 0.0Sep 29, 2017 to Feb 27, 2018
- Non-discretionary RAUM · $238M to $193MSep 29, 2017 to Feb 27, 2018
- Pension RAUM · unset to 0.0Sep 29, 2017 to Feb 27, 2018
- Pooled vehicle RAUM · unset to 212743581.0Sep 29, 2017 to Feb 27, 2018
- RAUM · $274M to $213MSep 29, 2017 to Feb 27, 2018
Signals
3 dated events
- Andrew James Aston (Member Of Board Of Managers) appeared on Schedule A of RffmJan 2, 2019 · Control person joined · fact
- Mcmurry Frank Garrison (Member Of Board Of Managers) no longer on Schedule A of Rffm (listed 2018-06-27, absent 2019-01-02)Jan 2, 2019 · Control person left · inference
- Rffm reported succeeding to the business of Another Adviser (Form ADV Item 4)Feb 27, 2018 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- Rffm · 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