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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
R•• C••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 29, 2012 · 19 filings
SEC status approved since Feb 1, 2006
RAUM
$2.6B
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
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$2.6B as of Mar 31, 2026
Mar 29, 2012$208M then
HNW client RAUM$98.2M as of Mar 29, 2019
Mar 23, 2018$128M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20120 then
Employees (5.A)7 as of Mar 31, 2026
Mar 28, 20134 then
Private funds3 as of Mar 31, 2026
Mar 29, 20124 then
RAUM -15% over the last fiscal year+5.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- $118MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 42%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
- -15%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1.0B, 3 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.0B39%
- Charitable organizations$920M35%
- Corporations and businesses$281M11%
- Other investment advisers$212M8.2%
- Pension and profit-sharing plans$184M7.1%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 10reported
- Accounts
- 22reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.0B for 3 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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•• V•••• O••••••••• F••• I•• L• | Hedge Fund | $477M | 36 | Mar 29, 2012 |
| R•• V•••• O••••••••• F•••• L• | Hedge Fund | $330M | 80 | Mar 29, 2012 |
| R•• V•••• O••••••••• F••• I•• L• | Hedge Fund | $244M | 8 | Mar 29, 2012 |
| B•••••••• P•••••••• L•• • R•• C••••no longer reported | Hedge Fund | $162M | 2 | Mar 28, 2013 |
| R•• V•••• O••••••••• F••• I••• L• | Hedge Fund | $93.3M | 2 | Mar 29, 2012 |
| P•••••• L•no longer reported | Hedge Fund | $34.1M | 2 | Mar 28, 2013 |
| R•• S•• F••• I• L•no longer reported | Private Equity Fund | $15.6M | 21 | Mar 29, 2019 |
Owners and control persons
Schedule A and B, latest filing
- M••••• R•••••• G••• · Managing Membercontrolsince 04/2003 · owns 25% to 50%
- C••••••• E•••••• T•••••• · Chief Operating Officersince 02/2006 · owns less than 5%
- M••••••••• W••••••• C•••• · Chief Compliance Officersince 03/2022 · owns less than 5%
Entity owners
- M•••• F••••• T•••• · Memberdirect · owns 50% to 75%
- A•• M•••• · Trustee, M•••• F••••• T••••direct · owns 50% to 75%
Related persons
Schedule D 7.A
- R•• G•• L••pooled vehicle sponsorn
- R•• W••••• P•••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $1.1B to $1.0BMar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $3.1B to $2.6BMar 28, 2025 to Mar 31, 2026
- Pension RAUM · $238M to $184MMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.1B to $1.0BMar 28, 2025 to Mar 31, 2026
- RAUM · $3.1B to $2.6BMar 28, 2025 to Mar 31, 2026
- Advisory employees · 6 to 5Mar 29, 2024 to Mar 28, 2025
- Charity clients · 9 to 10Mar 29, 2024 to Mar 28, 2025
- Pooled vehicle clients · 4 to 3Mar 29, 2024 to Mar 28, 2025
- Assets in custody · $1.1B to $1.1BMar 29, 2024 to Mar 28, 2025
- Employees · 8 to 7Mar 29, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 28, 2025
- Private funds · 4 to 3Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $2.9B to $3.1BMar 29, 2024 to Mar 28, 2025
- Pension RAUM · $248M to $238MMar 29, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.1B to $1.1BMar 29, 2024 to Mar 28, 2025
- RAUM · $2.9B to $3.1BMar 29, 2024 to Mar 28, 2025
- Accounts · 24 to 22Mar 29, 2023 to Mar 29, 2024
- Charity clients · 10 to 9Mar 29, 2023 to Mar 29, 2024
- Assets in custody · $772M to $1.1BMar 29, 2023 to Mar 29, 2024
- Discretionary RAUM · $2.2B to $2.9BMar 29, 2023 to Mar 29, 2024
- Pension RAUM · $217M to $248MMar 29, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $772M to $1.1BMar 29, 2023 to Mar 29, 2024
- RAUM · $2.2B to $2.9BMar 29, 2023 to Mar 29, 2024
- Advisory employees · 4 to 6Mar 25, 2022 to Mar 29, 2023
- Assets in custody · $990M to $772MMar 25, 2022 to Mar 29, 2023
- Employees · 6 to 8Mar 25, 2022 to Mar 29, 2023
- Discretionary RAUM · $3.0B to $2.2BMar 25, 2022 to Mar 29, 2023
- Pension RAUM · $346M to $217MMar 25, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $990M to $772MMar 25, 2022 to Mar 29, 2023
- RAUM · $3.0B to $2.2BMar 25, 2022 to Mar 29, 2023
- Pooled vehicle clients · 5 to 4Mar 30, 2021 to Mar 25, 2022
- Assets in custody · $923M to $990MMar 30, 2021 to Mar 25, 2022
- Private funds · 5 to 4Mar 30, 2021 to Mar 25, 2022
- Discretionary RAUM · $2.7B to $3.0BMar 30, 2021 to Mar 25, 2022
- Pension RAUM · $305M to $346MMar 30, 2021 to Mar 25, 2022
- Pooled vehicle RAUM · $923M to $990MMar 30, 2021 to Mar 25, 2022
- RAUM · $2.7B to $3.0BMar 30, 2021 to Mar 25, 2022
- Assets in custody · $633M to $923MMar 27, 2020 to Mar 30, 2021
- Discretionary RAUM · $2.0B to $2.7BMar 27, 2020 to Mar 30, 2021
- Pension RAUM · $226M to $305MMar 27, 2020 to Mar 30, 2021
Signals
5 dated events
- R•• C••••••• L•• no longer on the SEC adviser roster (last listed 2026-06-01, RAUM $2.6B)Jul 1, 2026 · Left the SEC roster · derived
- R•• C••••••• L•• reported RAUM $2.9B, up 29% from $2.2B (2023-03-29 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- R•• C••••••• L•• reported RAUM $2.2B, down 26% from $3.0B (2022-03-25 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- R•• C••••••• L•• reported RAUM $2.7B, up 38% from $2.0B (2020-03-27 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- R•• C••••••• L•• reported RAUM $2.0B, up 45% from $1.4B (2019-06-17 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- R•• C••••••• L•• · 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