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•••••• A•••••••• L••

Former SEC-registered adviserGreenwich, ConnecticutCRD 135305SEC 801-67883IAPD
Latest filing Mar 29, 2019
First filing on the tape Mar 21, 2012 · 10 filings
RAUM
$142M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
89%
$126M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$142M as of Mar 29, 2019
Mar 21, 2012$195M then
HNW client RAUM$126M as of Mar 29, 2019
Mar 29, 2018$117M then
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 28, 20130 then
Employees (5.A)4 as of Mar 29, 2019
Mar 28, 20133 then
Private funds: no history
RAUM +12% over the last fiscal year-19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 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
$1.6MderivedHNW RAUM over HNW clients
Average account
$1.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
11%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
+12%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 5.E
Advisory activities
financial planning, selection of other advisers, educational seminarsreportedItem 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • 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$126M89%
  • Charitable organizations$15.6M11%
Individual clients
n/areported
HNW clients
78reported
Pension plan clients
n/areported
Charitable clients
5reported
Accounts
83reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • R•••••• G••••••• T••• · Managing Partner/Member/Chief Compliance Officercontrol
        since 12/2004 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list R•••••• A•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 70 to 83
        Dec 4, 2018 to Mar 29, 2019
      • Advisory employees · 2 to 1
        Dec 4, 2018 to Mar 29, 2019
      • Advisory activities · 4 to 3
        Dec 4, 2018 to Mar 29, 2019
      • Charity clients · unset to 5.0
        Dec 4, 2018 to Mar 29, 2019
      • HNW clients · 45 to 78
        Dec 4, 2018 to Mar 29, 2019
      • Individual clients · 16.0 to unset
        Dec 4, 2018 to Mar 29, 2019
      • Assets in custody · 17028113.0 to unset
        Dec 4, 2018 to Mar 29, 2019
      • Custody of client assets · true to false
        Dec 4, 2018 to Mar 29, 2019
      • Discretionary RAUM · $127M to $0
        Dec 4, 2018 to Mar 29, 2019
      • HNW RAUM · $117M to $126M
        Dec 4, 2018 to Mar 29, 2019
      • Individual RAUM · 3619719.0 to unset
        Dec 4, 2018 to Mar 29, 2019
      • Non-discretionary RAUM · $989 to $142M
        Dec 4, 2018 to Mar 29, 2019
      • RAUM · $127M to $142M
        Dec 4, 2018 to Mar 29, 2019
      • Related adviser · true to false
        Dec 4, 2018 to Mar 29, 2019
      • HNW clients · unset to 45.0
        Mar 30, 2017 to Mar 29, 2018
      • Individual clients · unset to 16.0
        Mar 30, 2017 to Mar 29, 2018
      • Assets in custody · unset to 17028113.0
        Mar 30, 2017 to Mar 29, 2018
      • Custody of client assets · false to true
        Mar 30, 2017 to Mar 29, 2018
      • Employees · 5 to 4
        Mar 30, 2017 to Mar 29, 2018
      • State-registered IARs · 1 to 0
        Mar 30, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Discretionary RAUM · $124M to $127M
        Mar 30, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 117402343.0
        Mar 30, 2017 to Mar 29, 2018
      • Individual RAUM · unset to 3619719.0
        Mar 30, 2017 to Mar 29, 2018
      • Non-discretionary RAUM · $292,085 to $989
        Mar 30, 2017 to Mar 29, 2018
      • RAUM · $124M to $127M
        Mar 30, 2017 to Mar 29, 2018
      • Accounts · 67 to 70
        Mar 30, 2017 to Mar 29, 2018
      • Accounts · 205 to 67
        Mar 30, 2016 to Mar 30, 2017
      • Employees · 6 to 5
        Mar 30, 2016 to Mar 30, 2017
      • Discretionary RAUM · $152M to $124M
        Mar 30, 2016 to Mar 30, 2017
      • Non-discretionary RAUM · $118M to $292,085
        Mar 30, 2016 to Mar 30, 2017
      • RAUM · $270M to $124M
        Mar 30, 2016 to Mar 30, 2017
      • Related bank · true to false
        Mar 30, 2016 to Mar 30, 2017
      • Accounts · 185 to 205
        Apr 1, 2015 to Mar 30, 2016
      • Employees · 4 to 6
        Apr 1, 2015 to Mar 30, 2016
      • State-registered IARs · 0 to 1
        Apr 1, 2015 to Mar 30, 2016
      • Discretionary RAUM · $155M to $152M
        Apr 1, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $86.2M to $118M
        Apr 1, 2015 to Mar 30, 2016
      • RAUM · $241M to $270M
        Apr 1, 2015 to Mar 30, 2016
      • Accounts · 171 to 185
        Mar 28, 2014 to Apr 1, 2015
      Signals
      No event on the tape.
      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