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•••••• G••••
Legal name R•••••• G••••• L••
Latest filing Aug 28, 2026
First filing on the tape Mar 30, 2012 · 30 filings
SEC status approved since Apr 19, 2007
RAUM
$4.7B
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
30
15 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
20
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$4.7B as of Aug 28, 2026
Mar 30, 2012$424M then
HNW client RAUM$831M as of Mar 29, 2019
Mar 1, 2018$567M then
State-registered IARs (5.B.3)0 as of Aug 28, 2026
Mar 30, 20120 then
Employees (5.A)30 as of Aug 28, 2026
Apr 1, 201314 then
Private funds20 as of Aug 28, 2026
Mar 30, 20124 then
RAUM -2.8% over the last fiscal year-13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 28, 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
- $181MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.8%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
- $947M, 8 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)
- 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)
- 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 hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$4.7B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 26reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $947M for 8 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
24 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••• I• M••••• F•••• L••• | Hedge Fund | $1.5B | 41 | Mar 31, 2021 |
| R•••••• C•••••• O••••••• F•••• L•••no longer reported | Hedge Fund | $1.3B | 69 | Mar 30, 2012 |
| R•••••• B•••••••• I••••••••• I••• L••• | Private Equity Fund | $1.2B | 330 | Feb 26, 2021 |
| R•••••• S•••••••• M••••• F•••• L•no longer reported | Hedge Fund | $976M | 105 | Mar 1, 2018 |
| R•••••• C•••••• O••••••• I• M••••• F•••• L••• | Hedge Fund | $962M | 8 | Mar 29, 2019 |
| R•••••• B•••••••• I••••••••• I•• L••• | Venture Capital Fund | $828M | 138 | Mar 29, 2019 |
| R•••••• C•••••• O••••••• M••••• F•••• L••• | Hedge Fund | $729M | 217 | Mar 29, 2019 |
| R•••••• C•••••• F•••• L• | Hedge Fund | $654M | 348 | Mar 30, 2012 |
| R•••••• C•••••• O••••••• F••• I•• L•••no longer reported | Hedge Fund | $565M | 1 | Mar 30, 2012 |
| R•••••• S•••••••• L••• O••• T•••••• S••• L••• | Hedge Fund | $286M | 47 | Aug 15, 2022 |
| R••• L••• | Venture Capital Fund | $261M | 2 | Mar 1, 2018 |
| R•••••• S•••••••• T•••••• S••• L••• | Hedge Fund | $212M | 115 | Aug 15, 2022 |
| R•••••• G••••• I••••••••• I• L••• | Venture Capital Fund | $157M | 3 | Feb 9, 2022 |
| R•••••• B•••••••• I••••••••• I• L••• | Venture Capital Fund | $143M | 80 | Dec 15, 2015 |
| R•••• I• L••• | Hedge Fund | $109M | 52 | Aug 27, 2020 |
| R•••••• L••• O••• M••••• F•••• L•no longer reported | Hedge Fund | $81.7M | 2 | Dec 15, 2015 |
| R•••••• P•••••• I••••••••• I•• L••• | Venture Capital Fund | $61.6M | 29 | Dec 15, 2015 |
| R•••••• S•••••• O••••••••• F•••• L•••no longer reported | Hedge Fund | $58.5M | 32 | Mar 30, 2012 |
| R•••••• C•••••• O••••••• F••• ••••••• L••• | Hedge Fund | $55.2M | 24 | Feb 25, 2016 |
| R• S•••••• H••••••• 4• L•• | Private Equity Fund | $44.9M | 10 | Feb 26, 2021 |
| P• R•••••• L•••no longer reported | Hedge Fund | $30.6M | 24 | Mar 1, 2018 |
| R•••••• P•••••• I••••••••• I• L••• | Venture Capital Fund | $15.9M | 11 | Oct 30, 2013 |
| R•••••• P•••••• I••••••••• I• A••••••••• L••• | Venture Capital Fund | $11.9M | 17 | Mar 31, 2015 |
| R• S•••••• H••••••• 8• L•• | Private Equity Fund | $1.2M | 2 | Feb 9, 2022 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• J•••••••• K••• · General Counsel And Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- C••••• B••••• R••••• · Chief Operating Officercontrolsince 01/2014 · owns 5% to 10%
- G•••••• J•••••• D••••• · Chief Financial Officercontrolsince 01/2014 · owns less than 5%
- G••••• J•••••• C•••••• · Managing Membercontrolsince 03/2007 · owns 50% to 75%
- L••• M••••••• S•••••• · Managing Directorcontrolsince 01/2014 · owns 10% to 25%
- F•••••••• R•••••• C••••••••• · Managing Directorsince 01/2014 · owns 5% to 10%
- L••••• O•••• J••• · Managing Directorsince 01/2019 · owns less than 5%
- N•••••• A••••• N•• · Managing Directorsince 01/2019 · owns less than 5%
Related persons
Schedule D 7.A
- R•• G•• L••pooled vehicle sponsory
- R•••• I• •••• L••bankpooled vehicle sponsory
- R•••• I• •••• L••bankpooled vehicle sponsory
- R•••••• B•••••••• I••••••••• I• •••• L••pooled vehicle sponsory
- R•••••• B•••••••• I••••••••• I• •••• L••pooled vehicle sponsory
- R•••••• B•••••••• I••••••••• I•• •••• L••bankpooled vehicle sponsory
- R•••••• G•••• ••• I••• L••bankpooled vehicle sponsory
- R•••••• G•••• ••• I•• L••pooled vehicle sponsory
- R•••••• G•••• •••• L••bankpooled vehicle sponsory
- R•••••• G••••• I••••••••• I• •••• L••pooled vehicle sponsory
- R•••••• P•••••• I••••••••• I• •••• L••pooled vehicle sponsory
- R•••••• P•••••• I••••••••• I• •••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- New York, NY5 employees
What changed
consecutive filings, newest first
- Private funds · 18 to 20Jun 30, 2026 to Aug 28, 2026
- HQ city · SAN FRANCISCO to LARKSPURMar 31, 2026 to Jun 30, 2026
- Other offices · 1 to 2Mar 31, 2026 to Jun 30, 2026
- Advisory employees · 13 to 15Mar 1, 2026 to Mar 31, 2026
- Assets in custody · $1.0B to $947MMar 1, 2026 to Mar 31, 2026
- Private funds · 19 to 18Mar 1, 2026 to Mar 31, 2026
- Discretionary RAUM · $4.8B to $4.7BMar 1, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $4.8B to $4.7BMar 1, 2026 to Mar 31, 2026
- RAUM · $4.8B to $4.7BMar 1, 2026 to Mar 31, 2026
- Other offices · 2 to 1Oct 9, 2025 to Mar 1, 2026
- Private funds · 18 to 19Oct 9, 2025 to Mar 1, 2026
- Accounts · 27 to 26Jul 3, 2024 to Mar 31, 2025
- Advisory employees · 20 to 13Jul 3, 2024 to Mar 31, 2025
- Pooled vehicle clients · 27 to 26Jul 3, 2024 to Mar 31, 2025
- Assets in custody · $2.4B to $1.0BJul 3, 2024 to Mar 31, 2025
- Employees · 35 to 30Jul 3, 2024 to Mar 31, 2025
- Financial planning clients · unset to Jul 3, 2024 to Mar 31, 2025
- Discretionary RAUM · $6.5B to $4.8BJul 3, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $6.5B to $4.8BJul 3, 2024 to Mar 31, 2025
- RAUM · $6.5B to $4.8BJul 3, 2024 to Mar 31, 2025
- Assets in custody · $3.3B to $2.4BMay 5, 2023 to Mar 28, 2024
- Employees · 38 to 35May 5, 2023 to Mar 28, 2024
- Discretionary RAUM · $7.2B to $6.5BMay 5, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $7.2B to $6.5BMay 5, 2023 to Mar 28, 2024
- RAUM · $7.2B to $6.5BMay 5, 2023 to Mar 28, 2024
- Accounts · 26 to 27Aug 15, 2022 to Mar 31, 2023
- Advisory employees · 21 to 20Aug 15, 2022 to Mar 31, 2023
- Pooled vehicle clients · 26 to 27Aug 15, 2022 to Mar 31, 2023
- Assets in custody · $4.7B to $3.3BAug 15, 2022 to Mar 31, 2023
- Employees · 39 to 38Aug 15, 2022 to Mar 31, 2023
- Private funds · 19 to 18Aug 15, 2022 to Mar 31, 2023
- Discretionary RAUM · $12B to $7.2BAug 15, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $12B to $7.2BAug 15, 2022 to Mar 31, 2023
- RAUM · $12B to $7.2BAug 15, 2022 to Mar 31, 2023
- Private funds · 17 to 19May 6, 2022 to Aug 15, 2022
- Accounts · 24 to 26Feb 9, 2022 to Mar 31, 2022
- Advisory employees · 17 to 21Feb 9, 2022 to Mar 31, 2022
- Advisory activities · 2 to 1Feb 9, 2022 to Mar 31, 2022
- Pooled vehicle clients · 29 to 26Feb 9, 2022 to Mar 31, 2022
- Assets in custody · $8.5B to $4.7BFeb 9, 2022 to Mar 31, 2022
Signals
6 dated events
- R•••••• G•••• reported RAUM $4.8B, down 25% from $6.5B (2024-07-03 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- R•••••• G•••• reported RAUM $7.2B, down 38% from $11.6B (2022-08-15 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- R•••••• G•••• reported RAUM $14.3B, up 86% from $7.7B (2021-02-26 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- R•••••• G•••• reported RAUM $7.7B, up 42% from $5.4B (2019-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- R•••••• G•••• reported RAUM $5.4B, up 37% from $4.0B (2018-03-01 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- R•••••• G•••• reported RAUM $4.0B, up 70% from $2.3B (2017-11-27 to 2018-03-01)Mar 1, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- R•••••• G•••• · Independent Sponsorsshared crd · capital_provider
- R•••••• G•••• · Private Equityshared crd · organization
- R•••••• G•••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- R••••••GROUP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 415-489-9980reportedpublic record, Form ADV, Aug 28, 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