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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SEC-registered adviser

N•• I••••••••• S••••••••

Independent wealth managerSmithfiled, Rhode IslandCRD 134804SEC 801-136827websiteIAPD
Legal name R•••••• F•••••••• G••••• L••
Latest filing Jul 6, 2026
First filing on the tape Jul 6, 2026 · 1 filings
SEC status approved since Jul 23, 2026
RAUM
$108M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
95%
$102M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$12.0M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $108M
HNW client RAUM: $68.2M
State-registered IARs (5.B.3): 5
Employees (5.A): 8
Private funds: no history
Practice profile
derived from the filing of Jul 6, 2026; every figure names its basis
Archetypes, each a printed rule
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
  • 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
RAUM per advisor
$12.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
17derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$288,343derivedRAUM over accounts (5.F.2.f)
Discretionary
88%derivedof RAUM
Institutional
4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.9derivedItem 5.A over advisors
Advisors per office
9.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$68.2M63%
  • Individuals$33.7M31%
  • Pension and profit-sharing plans$4.4M4.1%
  • Corporations and businesses$1.3M1.2%
Individual clients
123reported
HNW clients
30reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
373reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.95 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=6.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
O••••• R•••••• T•••Certified Financial PlannerS••••Filed, RiJun 3, 200524 y1
M•••••• P• H••••S••••Filed, RiSep 8, 202523 y4
R••• H•••••• H•••••Certified Financial Planner, Chartered Financial ConsultantS••••Filed, RiSep 8, 202529 y8
E•••• S••••••S••••Filed, RiDec 16, 202511 y1
R•••••• A••••• B•••••S••••Filed, RiFeb 11, 202611 y1
A•••••••• H••• C•••••Warwick, Ri Mar 25, 202613 y0
R••••• J••••• D•••••S••••Filed, Ri Jun 18, 202610 y1
J••••••••• S•• P•••••••S••••Filed, RiJun 30, 202611 y0
M•••• E•••••••••S••••Filed, RiAug 27, 202610 y1
Advisor movement
0 left, 4 joined in 12 months
net +4 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • D••••••••• L••• · Managercontrol
      since 02/2025 · owns less than 5%
    • J••••• J••••• M• · Managercontrol
      since 02/2025 · owns less than 5%
    • P••••••••• D•••• · Managercontrol
      since 02/2025 · owns less than 5%
    • T•••• O•••••• R•••••• · Chief Compliance Officercontrol
      since 09/2002 · owns less than 5%
    Entity owners
    • N•• H•••••• C••••••• L•• · Member
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    S••••Filed, Ri · principal960
    Providence, Ri000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    Signals
    3 dated events
    • 2 advisors left L•• F•••••••• L•• (Warren, RI) for N•• I••••••••• S•••••••• on the same day
      Sep 8, 2025 · Team lift-out · derived
    • M•••••• W•••••• S•••• left N•• I••••••••• S•••••••• for A••• W••••• P•••••••• L•• (registered 2025-01-17)
      Jan 16, 2025 · Advisor changed firm · fact
    • M••• R••••• B•••••• left N•• I••••••••• S•••••••• for A••• W••••• P•••••••• L•• (registered 2024-12-23)
      Dec 16, 2024 · Advisor changed firm · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    How to reach
    public business contact points only, each with its source
    Business phone
    401-233-3456reportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    401-233-4337reportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    401-233-3489reportedpublished by the firm, firm site, Sep 16, 2026
    Website
    RFINANCIALGROUP.COMreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    401-228-0100reportedpublic record, Form ADV, Jul 6, 2026
    Contact form
    ncuinvestments.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
    Team page
    ncuinvestments.com/meet-the-teamreportedpublished 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
    $12.0Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026