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••
Latest filing Mar 13, 2014
First filing on the tape Mar 28, 2012 · 5 filings
RAUM
$27.6M
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
27
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$27.6M as of Mar 13, 2014
Mar 28, 2012$82.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 13, 2014
Mar 22, 20130 then
Employees (5.A)27 as of Mar 13, 2014
Mar 22, 201327 then
Private funds: no history
RAUM -65% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 13, 2014; 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
- $13.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- -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
- Custody
- $27.6M, 2 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $27.6M for 2 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• M••••••• G• · General Counselcontrolsince 01/2012 · owns less than 5%
- S•••••• M••••••• E••• · Chief Executive Officercontrolsince 12/2012 · owns less than 5%
- S••••••• T•••••• W•••• · Chairmancontrolsince 12/2012 · owns less than 5%
- L•••••• S•••••• · Chief Financial Officersince 02/2008 · owns less than 5%
- S•••••• A•••••• J••• · Chief Compliance Officersince 09/2011 · owns less than 5%
Entity owners
- R••••• L•• · Managing Memberdirect · owns 75% or more
- C•••• G••••• I••• · Parentindirect · owns 75% or more of R••••• L•• · public reporting company
Related persons
Schedule D 7.A
- A•• E•••••••• L••broker-dealern
- A•• U••• L••broker-dealern
- C•••• A•• C••••••• L••broker-dealern
- C•••• E••••• F•••••• L•broker-dealern
- C•••• I••••••••• L••••••broker-dealern
- H••• O••••••• F••• G•• L••pooled vehicle sponsorn
- H••••••••• R•••••• G• I•• L••pooled vehicle sponsorn
- H••••••••• R•••••• G• I••• L••pooled vehicle sponsorn
- H••••••••• R•••••• G•• L••pooled vehicle sponsorn
- H••••••••• R•••••• M••••••••• L••investment advisern
- O•••••• S••••• P••••••• G•• L••pooled vehicle sponsorn
- O•••••• S••••• P•••••••• L••investment adviserbanknRAUM $1.9B
- R••••• A•••••••• L••investment adviserbankpooled vehicle sponsornRAUM $489M
- Ab Custom A••••••••• S•••••••• LLCinvestment adviserbankpooled vehicle sponsornRAUM $1.4B
- C•••• Investment Management LLCinvestment adviserpooled vehicle sponsoryRAUM $2.1B
- C•••• Advisors LLCinvestment advisernRAUM $102M
- R••••• T•••••• S••••••••• G• L••bankpooled vehicle sponsorn
- R••••• T•••••• S••••••••• L••investment adviserbankpooled vehicle sponsornRAUM $52.6M
- R•• L•••••••investment advisernRAUM $130M
- R•• L•••••••investment advisernRAUM $398M
- R•• L•••••••investment advisernRAUM $1.1B
- R•• L•••••••investment advisernRAUM $49.4M
- R•• R• M•••••• L••pooled vehicle sponsorn
- S•••••••• V•••• L•investment adviserbankpooled vehicle sponsornRAUM $8.2B
- V••••••••• A•••••• M••••••••• L••investment advisern
Advisers that list R••••• A••• L•• as a related person
- 166278 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 4 to 2Mar 22, 2013 to Mar 13, 2014
- Assets in custody · $78.1M to $27.6MMar 22, 2013 to Mar 13, 2014
- Discretionary RAUM · $78.1M to $27.6MMar 22, 2013 to Mar 13, 2014
- RAUM · $78.1M to $27.6MMar 22, 2013 to Mar 13, 2014
- Advisory employees · unset to 4.0Jul 10, 2012 to Mar 22, 2013
- BD registered reps · unset to 5.0Jul 10, 2012 to Mar 22, 2013
- Assets in custody · $82.2M to $78.1MJul 10, 2012 to Mar 22, 2013
- Employees · unset to 27.0Jul 10, 2012 to Mar 22, 2013
- State-registered IARs · unset to 0.0Jul 10, 2012 to Mar 22, 2013
- Discretionary RAUM · $82.2M to $78.1MJul 10, 2012 to Mar 22, 2013
- RAUM · $82.2M to $78.1MJul 10, 2012 to Mar 22, 2013
- Assets in custody · unset to 82158664.0Mar 28, 2012 to Mar 30, 2012
- Custody of client assets · false to trueMar 28, 2012 to Mar 30, 2012
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