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••••••• M••••••••• L••
Latest filing Jun 9, 2026
First filing on the tape Nov 15, 2011 · 27 filings
SEC status approved since Jan 2, 2009
RAUM
$844M
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
23
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$844M as of Jun 9, 2026
Mar 30, 2012$158M then
HNW client RAUM$0 as of Jun 9, 2026
Mar 28, 2018$1.7M then
State-registered IARs (5.B.3)0 as of Jun 9, 2026
Mar 25, 20130 then
Employees (5.A)23 as of Jun 9, 2026
Mar 25, 20137 then
Private funds8 as of Jun 9, 2026
Mar 30, 20122 then
RAUM -28% over the last fiscal year-14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 9, 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
- $64.9MderivedRAUM 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
- -28%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $844M, 13 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$844M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 13reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $844M for 13 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=3.0derived
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
11 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••••••• M•••••••• P••••••• F••• L• | Hedge Fund | $657M | 176 | Mar 30, 2012 |
| R••••••• C•••••• V• L• | Private Equity Fund | $204M | 200 | Mar 31, 2021 |
| R••••••• C•••••• V• L• | Private Equity Fund | $183M | 51 | Mar 28, 2024 |
| R••••••• C•••••• I• L• | Private Equity Fund | $175M | 167 | Mar 30, 2020 |
| R• C•••••• M••••• F••• L• | Hedge Fund | $142M | 64 | Mar 30, 2020 |
| R••••••• C•••••• I•• L• | Private Equity Fund | $52.9M | 151 | Mar 29, 2017 |
| R•• C•••••• P••••••• L•no longer reported | Private Equity Fund | $37.1M | 6 | Mar 30, 2016 |
| R••••••• C•••••• I• L•no longer reported | Private Equity Fund | $29.2M | 80 | Mar 25, 2013 |
| F••• H••••••• L•no longer reported | Private Equity Fund | $24.7M | 5 | Mar 30, 2012 |
| R•• E•• F••• L• | Private Equity Fund | $19.6M | 34 | Mar 31, 2023 |
| R••••••• C•••••• I• L•no longer reported | Private Equity Fund | $14.1M | 95 | Mar 31, 2015 |
Owners and control persons
Schedule A and B, latest filing
- C••••• J•••• · Chief Financial Officercontrolsince 01/2017 · owns less than 5%
- H••••••••• B•••••• Z• · Chief Compliance Officercontrolsince 02/2011 · owns less than 5%
- S••••••••• G•••••• · Managing Membercontrolsince 11/2008 · owns 50% to 75%
- D••••• A•••• J•• · Trusteecontrolsince 12/2012 · owns F of G••• S•••••••• 2••• I••••••••• T••••
- D••••• R•••• M•• · Trusteecontrolsince 12/2012 · owns F of G••• S•••••••• 2••• I••••••••• T••••
- S••••••••• E••••• · Trusteecontrolsince 12/2012 · owns F of G••• S•••••••• 2••• I••••••••• T••••
- S••••••••• G•••••• · Ownercontrolsince 01/2017 · owns 25% to 50% of R••••••• C•••••• M••••••••• L•
Entity owners
- R••••••• C•••••• M••••••••• L• · Ownerdirect · owns 75% or more
- G••• S•••••••• 2••• I••••••••• T•••• · Ownerindirect · owns 25% to 50% of S•••••••• F••••• I••••••••• L••
- S•••••••• F••••• I••••••••• L•• · Ownerindirect · owns 25% to 50% of R••••••• C•••••• M••••••••• L•
Related persons
Schedule D 7.A
- R• C•••••• A••••••••• L••bankpooled vehicle sponsorn
- R•• E•• A••••••••• L••bankpooled vehicle sponsorn
- R••••••• A••••••••• L••bankpooled vehicle sponsorn
- R••••••• C•••••• A••••••••• I•• L••bankpooled vehicle sponsorn
- R••••••• C•••••• A••••••••• I• L••bankpooled vehicle sponsorn
- R••••••• C•••••• A••••••••• V• L••bankpooled vehicle sponsorn
- R••••••• C•••••• A••••••••• V• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $1,167,859,000 to $843,571,000 (-28.0%) between the annual amendments of 2025-03-28 and 2026-03-30; the peer median change was +8.0% (673 comparable advisers, 7.0th percentile of changes)peers: asset managers, $500M to $1B (673) · 6.8% percentile
What changed
consecutive filings, newest first
- Accounts · 12 to 13Jul 25, 2025 to Mar 30, 2026
- Pooled vehicle clients · 11 to 13Jul 25, 2025 to Mar 30, 2026
- Assets in custody · $1.2B to $844MJul 25, 2025 to Mar 30, 2026
- Employees · 22 to 23Jul 25, 2025 to Mar 30, 2026
- Private funds · 7 to 8Jul 25, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.2B to $844MJul 25, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.2B to $844MJul 25, 2025 to Mar 30, 2026
- RAUM · $1.2B to $844MJul 25, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 0May 9, 2025 to Jul 25, 2025
- Assets in custody · $1.4B to $1.2BMay 20, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.4B to $1.2BMay 20, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.4B to $1.2BMay 20, 2024 to Mar 28, 2025
- RAUM · $1.4B to $1.2BMay 20, 2024 to Mar 28, 2025
- Assets in custody · $1.3B to $1.4BSep 20, 2023 to Mar 28, 2024
- Employees · 21 to 22Sep 20, 2023 to Mar 28, 2024
- Private funds · 6 to 7Sep 20, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.3B to $1.4BSep 20, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.3B to $1.4BSep 20, 2023 to Mar 28, 2024
- RAUM · $1.3B to $1.4BSep 20, 2023 to Mar 28, 2024
- Accounts · 11 to 12Nov 3, 2022 to Mar 31, 2023
- BD registered reps · 2 to 3Nov 3, 2022 to Mar 31, 2023
- Pooled vehicle clients · 10 to 11Nov 3, 2022 to Mar 31, 2023
- Assets in custody · $1.4B to $1.3BNov 3, 2022 to Mar 31, 2023
- Employees · 18 to 21Nov 3, 2022 to Mar 31, 2023
- Other offices · 1 to 0Nov 3, 2022 to Mar 31, 2023
- Private funds · 5 to 6Nov 3, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.4B to $1.3BNov 3, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.4B to $1.3BNov 3, 2022 to Mar 31, 2023
- RAUM · $1.4B to $1.3BNov 3, 2022 to Mar 31, 2023
- Advisory employees · 11 to 12Mar 31, 2021 to Mar 30, 2022
- Assets in custody · $1.5B to $1.4BMar 31, 2021 to Mar 30, 2022
- Employees · 17 to 18Mar 31, 2021 to Mar 30, 2022
- HQ city · NEW YORK to MIAMI BEACHMar 31, 2021 to Mar 30, 2022
- HQ state · NY to FLMar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $1.5B to $1.4BMar 31, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $1.5B to $1.4BMar 31, 2021 to Mar 30, 2022
- RAUM · $1.5B to $1.4BMar 31, 2021 to Mar 30, 2022
- Accounts · 13 to 11Mar 30, 2020 to Mar 31, 2021
- Advisory employees · 7 to 11Mar 30, 2020 to Mar 31, 2021
- Pooled vehicle clients · 11 to 10Mar 30, 2020 to Mar 31, 2021
Signals
4 dated events
- R••••••• M••••••••• L•• reported RAUM $843.6M, down 28% from $1.2B (2025-07-25 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- R••••••• M••••••••• L•• reported RAUM $1.5B, up 29% from $1.2B (2020-03-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- R••••••• M••••••••• L•• reported RAUM $1.2B, up 51% from $778.4M (2019-03-25 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- R••••••• M••••••••• L•• reported RAUM $809.6M, down 33% from $1.2B (2017-03-29 to 2018-03-28)Mar 28, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- R••••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- R••••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/rosemawr-management-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- R•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-286-9474reportedpublic record, Form ADV, Jun 9, 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