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••• M•••• S•••••••• L••
Latest filing Mar 27, 2014
First filing on the tape Mar 23, 2012 · 5 filings
RAUM
$252M
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
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$252M gross assets
History
5 filings and snapshots on the tape
RAUM$252M as of Mar 27, 2014
Mar 23, 2012$787M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2014
Mar 23, 20120 then
Employees (5.A)7 as of Mar 27, 2014
Apr 1, 201312 then
Private funds3 as of Mar 27, 2014
Mar 23, 20123 then
RAUM -63% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $4.3MderivedRAUM 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
- -63%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
- selection of other advisersreportedItem 5.G
- Custody
- $252M, 59 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
- 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)
- 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)
- 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
- 59reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $252M for 59 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••• M•••• E••••••••• T•••• | Other Private Fund | $92.7M | 7 | Mar 23, 2012 |
| R••• M•••• C••••••••• A•••• T•••• | Other Private Fund | $81.7M | 1 | Mar 23, 2012 |
| R••• M•••• P••••••• L• | Other Private Fund | $77.9M | 53 | Mar 23, 2012 |
Owners and control persons
Schedule A and B, latest filing
- F•••••••• D••••• W••••••• · Managing Membercontrolsince 11/2002 · owns 75% or more
- V•••••• T••••••• M•••• · Member/Chief Administrative Officercontrolsince 11/2002 · owns 10% to 25%
- A••••• J••••• W••••• · Presidentsince 08/2012 · owns less than 5%
- C•••• K•• · Ccosince 01/2014 · owns less than 5%
Related persons
Schedule D 7.A
- D•• M•• A•••• M••••••••• L•investment advisernRAUM $213M
Advisers that list R••• M•••• S•••••••• L•• as a related person
- 137049 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 63 to 59Jul 19, 2013 to Mar 27, 2014
- Advisory employees · 6 to 2Jul 19, 2013 to Mar 27, 2014
- Assets in custody · $442M to $252MJul 19, 2013 to Mar 27, 2014
- Employees · 12 to 7Jul 19, 2013 to Mar 27, 2014
- Discretionary RAUM · $442M to $252MJul 19, 2013 to Mar 27, 2014
- Non-discretionary RAUM · $241M to $0Jul 19, 2013 to Mar 27, 2014
- RAUM · $683M to $252MJul 19, 2013 to Mar 27, 2014
- Accounts · 79 to 63Jun 13, 2012 to Apr 1, 2013
- Advisory employees · unset to 6.0Jun 13, 2012 to Apr 1, 2013
- Assets in custody · $516M to $442MJun 13, 2012 to Apr 1, 2013
- Employees · unset to 12.0Jun 13, 2012 to Apr 1, 2013
- Discretionary RAUM · $516M to $442MJun 13, 2012 to Apr 1, 2013
- Non-discretionary RAUM · $271M to $241MJun 13, 2012 to Apr 1, 2013
- RAUM · $787M to $683MJun 13, 2012 to Apr 1, 2013
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