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•••••••• A•••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Mar 30, 2012 · 20 filings
SEC status approved since Jun 22, 2009
RAUM
$836M
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
17
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$836M as of Mar 20, 2026
Mar 30, 2012$327M then
HNW client RAUM$0 as of Mar 20, 2026
Mar 16, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 20, 2026
Apr 1, 20130 then
Employees (5.A)17 as of Mar 20, 2026
Apr 1, 201311 then
Private funds: no history
RAUM -7.8% over the last fiscal year-25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 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
- $119MderivedRAUM 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
- -7.8%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$836M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• P•••• C•••• · Chief Financial Officercontrolsince 06/2009 · owns less than 5%
- G••••••• K••••••• R• · Chief Operating Officer / Chief Compliance Officercontrolsince 10/2017 · owns less than 5%
- K••••• H• M•••••• · Chief Marketing Officercontrolsince 09/2010 · owns less than 5%
- S•••••• M•••••••• A••• · Chief Executive Officercontrolsince 05/2009 · owns less than 5%
- S•••••• M•••••••• A••• · Membercontrolsince 05/2009 · owns 25% to 50% of R• H•••••• G•••• L••
Entity owners
- R• H•••••• G•••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- R•••••••• C•••••• M••••••••• L••investment advisernRAUM $299M
- R• V••••••• I••••••••• I•• L••pooled vehicle sponsorn
- R• V••••••• I••••••••• I••• L••pooled vehicle sponsorn
- R• V••••••• I••••••••• I•• L••pooled vehicle sponsorn
- R• V••••••• I••••••••• L••pooled vehicle sponsorn
Advisers that list R•••••••• A•••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 7 to 6Mar 26, 2025 to Mar 20, 2026
- Discretionary RAUM · $907M to $836MMar 26, 2025 to Mar 20, 2026
- RAUM · $907M to $836MMar 26, 2025 to Mar 20, 2026
- BD registered reps · 0 to 2Mar 21, 2024 to Mar 26, 2025
- Employees · 16 to 17Mar 21, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 21, 2024 to Mar 26, 2025
- Discretionary RAUM · $935M to $907MMar 21, 2024 to Mar 26, 2025
- RAUM · $935M to $907MMar 21, 2024 to Mar 26, 2025
- Accounts · 8 to 7Mar 27, 2023 to Mar 21, 2024
- Employees · 17 to 16Mar 27, 2023 to Mar 21, 2024
- Discretionary RAUM · $1.3B to $935MMar 27, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $665M to $0Mar 27, 2023 to Mar 21, 2024
- RAUM · $2.0B to $935MMar 27, 2023 to Mar 21, 2024
- Accounts · 9 to 8Mar 29, 2022 to Mar 27, 2023
- Advisory employees · 9 to 7Mar 29, 2022 to Mar 27, 2023
- Employees · 19 to 17Mar 29, 2022 to Mar 27, 2023
- Discretionary RAUM · $1.9B to $1.3BMar 29, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $897M to $665MMar 29, 2022 to Mar 27, 2023
- RAUM · $2.8B to $2.0BMar 29, 2022 to Mar 27, 2023
- Discretionary RAUM · $1.7B to $1.9BMar 26, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $731M to $897MMar 26, 2021 to Mar 29, 2022
- RAUM · $2.4B to $2.8BMar 26, 2021 to Mar 29, 2022
- Advisory employees · 10 to 9Mar 24, 2020 to Mar 26, 2021
- Employees · 22 to 19Mar 24, 2020 to Mar 26, 2021
- Discretionary RAUM · $2.3B to $1.7BMar 24, 2020 to Mar 26, 2021
- Non-discretionary RAUM · $0 to $731MMar 24, 2020 to Mar 26, 2021
- RAUM · $2.3B to $2.4BMar 24, 2020 to Mar 26, 2021
- Employees · 23 to 22Mar 24, 2019 to Mar 24, 2020
- Other offices · 1 to 0Mar 24, 2019 to Mar 24, 2020
- Discretionary RAUM · $1.5B to $2.3BMar 24, 2019 to Mar 24, 2020
- Non-discretionary RAUM · $727M to $0Mar 24, 2019 to Mar 24, 2020
- RAUM · $2.2B to $2.3BMar 24, 2019 to Mar 24, 2020
- Accounts · 8 to 9Mar 16, 2018 to Mar 24, 2019
- Employees · 22 to 23Mar 16, 2018 to Mar 24, 2019
- Discretionary RAUM · $2.0B to $1.5BMar 16, 2018 to Mar 24, 2019
- Non-discretionary RAUM · $52.6M to $727MMar 16, 2018 to Mar 24, 2019
- RAUM · $2.1B to $2.2BMar 16, 2018 to Mar 24, 2019
- Employees · 23 to 22Oct 19, 2017 to Mar 16, 2018
- Financial planning clients · 0 to unsetOct 19, 2017 to Mar 16, 2018
- Discretionary RAUM · $3.2B to $2.0BOct 19, 2017 to Mar 16, 2018
Signals
5 dated events
- R•••••••• A•••••••• L•• reported RAUM $935.0M, down 53% from $2.0B (2023-03-27 to 2024-03-21)Mar 21, 2024 · RAUM change · derived
- R•••••••• A•••••••• L•• reported RAUM $2.0B, down 31% from $2.8B (2022-03-29 to 2023-03-27)Mar 27, 2023 · RAUM change · derived
- Joseph Mitchell Rubin (Chief Investment Officer) no longer on Schedule A of R•••••••• A•••••••• L•• (listed 2022-03-29, absent 2023-03-27)Mar 27, 2023 · Control person left · inference
- Philip David Berkowitz (Co-Chief Investment Officer) no longer on Schedule A of R•••••••• A•••••••• L•• (listed 2018-03-16, absent 2019-03-24)Mar 24, 2019 · Control person left · inference
- R•••••••• A•••••••• L•• reported RAUM $2.1B, down 34% from $3.2B (2017-10-19 to 2018-03-16)Mar 16, 2018 · 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•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (212) 484-2100reportedpublic record, Form ADV, Mar 20, 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