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
R••• R•••• C•••••• M••••••••• L•
Latest filing Mar 29, 2026
First filing on the tape Feb 13, 2012 · 17 filings
SEC status approved since Mar 1, 2012
RAUM
$758M
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
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$758M as of Mar 29, 2026
Mar 21, 2013$709M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2026
Mar 21, 20130 then
Employees (5.A)8 as of Mar 29, 2026
Mar 21, 20138 then
Private funds5 as of Mar 29, 2026
Mar 21, 20131 then
RAUM +9.0% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 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
- $68.9MderivedRAUM 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
- +9.0%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 vehicles, otherreportedItem 5.G
- Custody
- $710M, 9 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$710M94%
- Corporations and businesses$47.2M6.2%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $710M for 9 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.94 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••• R•••• M••••• F•••• L••• | Hedge Fund | $426M | 76 | Feb 13, 2012 |
| G•••• C•••••• L• | Hedge Fund | $125M | 33 | Mar 27, 2023 |
| R••• P••••• M••••• F•••• L• | Hedge Fund | $9.5M | 1 | Mar 29, 2017 |
| H••••••••• L•• | Hedge Fund | $9.3M | 22 | Mar 28, 2019 |
| R••• P•••• F••• L•no longer reported | Hedge Fund | $3.3M | 2 | Mar 24, 2016 |
Owners and control persons
Schedule A and B, latest filing
- F••••••• P••••• T••••• · Managing Partner And Portfolio Manager, Limited Partnercontrolsince 01/2015 · owns less than 5%
- G•••••• S••••••• H••••• · Founding Partner And Portfolio Manager, Limited Partnercontrolsince 02/2003 · owns 75% or more
- P••••• D•••••• E••• · Cfo, Ccocontrolsince 06/2003 · owns less than 5%
- S•••• J••••• •••• · Founding Partner And Senior Advisor, Limited Partnercontrolsince 02/2003 · owns less than 5%
- F••••••• P••••• T••••• · Managing Membercontrolsince 04/2024 · owns 25% to 50% of R••• R•••• G• L••
- G•••••• S••••••• H••••• · Managing Membercontrolsince 04/2003 · owns 50% to 75% of R••• R•••• G• L••
Entity owners
- R••• R•••• G• L•• · General Partnerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- R••• P••••• A••••••• L••investment adviserbankpooled vehicle sponsorn
- R••• R•••• A••••••• L••investment adviserbankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $653M to $710MMar 21, 2025 to Mar 29, 2026
- Discretionary RAUM · $695M to $758MMar 21, 2025 to Mar 29, 2026
- Pooled vehicle RAUM · $653M to $710MMar 21, 2025 to Mar 29, 2026
- RAUM · $695M to $758MMar 21, 2025 to Mar 29, 2026
- Accounts · 9 to 11Mar 25, 2024 to Mar 21, 2025
- Advisory employees · 7 to 6Mar 25, 2024 to Mar 21, 2025
- Corporate clients · unset to 2.0Mar 25, 2024 to Mar 21, 2025
- Pooled vehicle clients · 8 to 9Mar 25, 2024 to Mar 21, 2025
- Assets in custody · $569M to $653MMar 25, 2024 to Mar 21, 2025
- Employees · 9 to 8Mar 25, 2024 to Mar 21, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 21, 2025
- Private funds · 4 to 5Mar 25, 2024 to Mar 21, 2025
- Discretionary RAUM · $607M to $695MMar 25, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $569M to $653MMar 25, 2024 to Mar 21, 2025
- RAUM · $607M to $695MMar 25, 2024 to Mar 21, 2025
- Related adviser · true to falseMar 25, 2024 to Mar 21, 2025
- Advisory employees · 6 to 7Mar 27, 2023 to Mar 25, 2024
- Assets in custody · $520M to $569MMar 27, 2023 to Mar 25, 2024
- Employees · 8 to 9Mar 27, 2023 to Mar 25, 2024
- Discretionary RAUM · $548M to $607MMar 27, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $520M to $569MMar 27, 2023 to Mar 25, 2024
- RAUM · $548M to $607MMar 27, 2023 to Mar 25, 2024
- Assets in custody · $310M to $520MMar 29, 2022 to Mar 27, 2023
- Private funds · 3 to 4Mar 29, 2022 to Mar 27, 2023
- Discretionary RAUM · $321M to $548MMar 29, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $310M to $520MMar 29, 2022 to Mar 27, 2023
- RAUM · $321M to $548MMar 29, 2022 to Mar 27, 2023
- Assets in custody · $151M to $310MMar 26, 2021 to Mar 29, 2022
- Discretionary RAUM · $242M to $321MMar 26, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $230M to $310MMar 26, 2021 to Mar 29, 2022
- RAUM · $242M to $321MMar 26, 2021 to Mar 29, 2022
- Advisory employees · 5 to 6Mar 30, 2020 to Mar 26, 2021
- Assets in custody · $291M to $151MMar 30, 2020 to Mar 26, 2021
- Discretionary RAUM · $387M to $242MMar 30, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $382M to $230MMar 30, 2020 to Mar 26, 2021
- RAUM · $387M to $242MMar 30, 2020 to Mar 26, 2021
- Advisory activities · 1 to 2Mar 28, 2019 to Mar 30, 2020
- Pooled vehicle clients · 9 to 8Mar 28, 2019 to Mar 30, 2020
- Assets in custody · $360M to $291MMar 28, 2019 to Mar 30, 2020
- Private funds · 4 to 3Mar 28, 2019 to Mar 30, 2020
Signals
4 dated events
- Thomas Peter Finelli (Managing Partner And Portfolio Manager, Limited Partner) appeared on Schedule A of R••• R•••• C•••••• M••••••••• L•Mar 25, 2024 · Control person joined · fact
- R••• R•••• C•••••• M••••••••• L• reported RAUM $547.8M, up 70% from $321.4M (2022-03-29 to 2023-03-27)Mar 27, 2023 · RAUM change · derived
- R••• R•••• C•••••• M••••••••• L• reported RAUM $242.3M, down 37% from $387.5M (2020-03-30 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- R••• R•••• C•••••• M••••••••• L• reported RAUM $387.5M, down 25% from $519.8M (2019-03-28 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
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
- Website
- R•••R••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 646-284-9904reportedpublic record, Form ADV, Mar 29, 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
- Asset manager (funds and pooled vehicles)deriveda 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