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•• H••• M•••••••••

Former SEC-registered adviserMorristown, New JerseyCRD 148237SEC 801-69570IAPD
Legal name R•• H••• M••••••••• L••
Latest filing Mar 10, 2022
First filing on the tape Dec 16, 2011 · 22 filings
RAUM
$421M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$368M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$43.1M gross assets
History
22 filings and snapshots on the tape
RAUM$421M as of Mar 2, 2022
Mar 7, 2012$110M then
HNW client RAUM$342M as of Mar 2, 2022
Mar 14, 2018$174M then
State-registered IARs (5.B.3)2 as of Mar 2, 2022
Mar 7, 20120 then
Employees (5.A)4 as of Mar 2, 2022
Mar 26, 20134 then
Private funds1 as of Mar 2, 2022
Mar 7, 20121 then
RAUM +8.3% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 10, 2022; every figure names its basis
RAUM per advisor
$210MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
40derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$8.8MderivedHNW RAUM over HNW clients
Average account
$1.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+8.3%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-5.9%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$342M81%
  • Pooled investment vehicles$43.1M10%
  • Individuals$26.3M6.3%
  • Charitable organizations$9.4M2.2%
Individual clients
41reported
HNW clients
39reported
Pension plan clients
n/areported
Charitable clients
2reported
Accounts
277reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    R••••• H•••• H•••••••• L••Private Equity Fund$43.1M11Mar 7, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • T•••••• T•••••• C• · Manager, Member, President, Chief Compliance Officercontrol
      since 01/2017 · owns 75% or more
    • S••••••• L•••• A•• · Member
      since 01/2018 · owns 5% to 10%
    Related persons
    Schedule D 7.A
    • W•••••• C•••••
      pooled vehicle sponsory
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 242 to 277
      May 12, 2021 to Mar 2, 2022
    • HNW clients · 51 to 39
      May 12, 2021 to Mar 2, 2022
    • Individual clients · 34 to 41
      May 12, 2021 to Mar 2, 2022
    • Assets in custody · unset to 0.0
      May 12, 2021 to Mar 2, 2022
    • Discretionary RAUM · $388M to $421M
      May 12, 2021 to Mar 2, 2022
    • HNW RAUM · $330M to $342M
      May 12, 2021 to Mar 2, 2022
    • Individual RAUM · $12.2M to $26.3M
      May 12, 2021 to Mar 2, 2022
    • Pooled vehicle RAUM · $39.0M to $43.1M
      May 12, 2021 to Mar 2, 2022
    • RAUM · $388M to $421M
      May 12, 2021 to Mar 2, 2022
    • Accounts · 290 to 242
      Jun 29, 2020 to Mar 29, 2021
    • HNW clients · 38 to 51
      Jun 29, 2020 to Mar 29, 2021
    • Individual clients · 43 to 34
      Jun 29, 2020 to Mar 29, 2021
    • Discretionary RAUM · $264M to $388M
      Jun 29, 2020 to Mar 29, 2021
    • HNW RAUM · $287M to $330M
      Jun 29, 2020 to Mar 29, 2021
    • Individual RAUM · $14.5M to $12.2M
      Jun 29, 2020 to Mar 29, 2021
    • Non-discretionary RAUM · $84.3M to $0
      Jun 29, 2020 to Mar 29, 2021
    • Pooled vehicle RAUM · $41.7M to $39.0M
      Jun 29, 2020 to Mar 29, 2021
    • RAUM · $348M to $388M
      Jun 29, 2020 to Mar 29, 2021
    • Accounts · 235 to 290
      Mar 29, 2019 to Mar 23, 2020
    • Other offices · 1 to 0
      Mar 29, 2019 to Mar 23, 2020
    • Discretionary RAUM · $285M to $264M
      Mar 29, 2019 to Mar 23, 2020
    • HNW RAUM · $236M to $287M
      Mar 29, 2019 to Mar 23, 2020
    • Individual RAUM · $16.8M to $14.5M
      Mar 29, 2019 to Mar 23, 2020
    • Non-discretionary RAUM · $16.0M to $84.3M
      Mar 29, 2019 to Mar 23, 2020
    • Pooled vehicle RAUM · $39.4M to $41.7M
      Mar 29, 2019 to Mar 23, 2020
    • RAUM · $301M to $348M
      Mar 29, 2019 to Mar 23, 2020
    • Accounts · 218 to 235
      Mar 14, 2018 to Mar 29, 2019
    • Charity clients · 3 to 2
      Mar 14, 2018 to Mar 29, 2019
    • HNW clients · 37 to 38
      Mar 14, 2018 to Mar 29, 2019
    • Individual clients · 39 to 43
      Mar 14, 2018 to Mar 29, 2019
    • State-registered IARs · 3 to 2
      Mar 14, 2018 to Mar 29, 2019
    • Discretionary RAUM · $200M to $285M
      Mar 14, 2018 to Mar 29, 2019
    • HNW RAUM · $174M to $236M
      Mar 14, 2018 to Mar 29, 2019
    • Individual RAUM · $16.1M to $16.8M
      Mar 14, 2018 to Mar 29, 2019
    • Non-discretionary RAUM · $43.5M to $16.0M
      Mar 14, 2018 to Mar 29, 2019
    • Pooled vehicle RAUM · $43.6M to $39.4M
      Mar 14, 2018 to Mar 29, 2019
    • RAUM · $243M to $301M
      Mar 14, 2018 to Mar 29, 2019
    • Accounts · 211 to 218
      May 3, 2017 to Mar 14, 2018
    • Advisory activities · 3 to 4
      May 3, 2017 to Mar 14, 2018
    • Charity clients · unset to 3.0
      May 3, 2017 to Mar 14, 2018
    Signals
    4 dated events
    • T••••• C• T••••• left R•• H••• M••••••••• for S•••• Q•••• A•••••••• L•• (registered 2022-06-15)
      Jun 10, 2022 · Advisor changed firm · fact
    • 2 advisors left R•• H••• M••••••••• (Morristown, NJ) for S•••• Q•••• A•••••••• L•• on the same day
      Jun 10, 2022 · Team lift-out · derived
    • W•••••• F•••••• C••••• left R•• H••• M••••••••• for S•••• Q•••• A•••••••• L•• (registered 2022-06-16)
      Jun 10, 2022 · Advisor changed firm · fact
    • Fleming W•••••• C••••• (Manager, Member) no longer on Schedule A of R•• H••• M••••••••• (listed 2021-05-12, absent 2022-03-02)
      Mar 2, 2022 · Control person left · inference
    Across DFX
    shared identifiers only, never a name match
    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