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•••••••• C•••••• M••••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Mar 30, 2012 · 22 filings
SEC status approved since Jul 30, 2009
RAUM
$299M
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
5
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$299M as of Mar 20, 2026
Mar 30, 2012$63.4M then
HNW client RAUM$0 as of Mar 20, 2026
Mar 16, 2018$2.9M 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 funds5 as of Mar 20, 2026
Mar 29, 20171 then
RAUM -5.1% over the last fiscal year-16% 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
- $29.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 18%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
- -5.1%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $16.0M, 5 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
- 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)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$246M82%
- Pension and profit-sharing plans$53.0M18%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 10reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $16.0M for 5 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.82 institutional_share=0.18 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••••••• V••••••• I• L• | Venture Capital Fund | $86.0M | 125 | Mar 27, 2023 |
| R•••••••• V••••••• I•• L• | Venture Capital Fund | $83.0M | 90 | Mar 24, 2020 |
| R•••••••• V••••••• I• L• | Venture Capital Fund | $41.0M | 60 | Mar 29, 2017 |
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 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 06/2009 · 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•••••••• A•••••••• L••investment advisernRAUM $836M
- 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•••••••• C•••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 20, 2026institutional share of RAUM of 18% against a peer median of 0% (1567 comparable advisers, 98.0th percentile, 6.0 robust deviations)peers: asset managers, $100M to $500M (1,567) · 98% percentile
What changed
consecutive filings, newest first
- Advisory employees · 7 to 6Mar 26, 2025 to Mar 20, 2026
- Advisory activities · 3 to 2Mar 26, 2025 to Mar 20, 2026
- Assets in custody · $7.0M to $16.0MMar 26, 2025 to Mar 20, 2026
- Private funds · 4 to 5Mar 26, 2025 to Mar 20, 2026
- Discretionary RAUM · $315M to $299MMar 26, 2025 to Mar 20, 2026
- Pension RAUM · $60.0M to $53.0MMar 26, 2025 to Mar 20, 2026
- Pooled vehicle RAUM · $255M to $246MMar 26, 2025 to Mar 20, 2026
- RAUM · $315M to $299MMar 26, 2025 to Mar 20, 2026
- BD registered reps · 0 to 2Mar 21, 2024 to Mar 26, 2025
- Assets in custody · $8.9M to $7.0MMar 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
- Private funds · 3 to 4Mar 21, 2024 to Mar 26, 2025
- Discretionary RAUM · $337M to $315MMar 21, 2024 to Mar 26, 2025
- Pension RAUM · $70.0M to $60.0MMar 21, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $267M to $255MMar 21, 2024 to Mar 26, 2025
- RAUM · $337M to $315MMar 21, 2024 to Mar 26, 2025
- Assets in custody · $16.5M to $8.9MMar 27, 2023 to Mar 21, 2024
- Employees · 17 to 16Mar 27, 2023 to Mar 21, 2024
- Discretionary RAUM · $509M to $337MMar 27, 2023 to Mar 21, 2024
- Pension RAUM · $46.0M to $70.0MMar 27, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $463M to $267MMar 27, 2023 to Mar 21, 2024
- RAUM · $509M to $337MMar 27, 2023 to Mar 21, 2024
- Accounts · 16 to 10Mar 29, 2022 to Mar 27, 2023
- Advisory employees · 9 to 7Mar 29, 2022 to Mar 27, 2023
- HNW clients · 1 to 0Mar 29, 2022 to Mar 27, 2023
- Pooled vehicle clients · 8 to 9Mar 29, 2022 to Mar 27, 2023
- Assets in custody · $4.4M to $16.5MMar 29, 2022 to Mar 27, 2023
- Employees · 19 to 17Mar 29, 2022 to Mar 27, 2023
- Private funds · 2 to 3Mar 29, 2022 to Mar 27, 2023
- Discretionary RAUM · $653M to $509MMar 29, 2022 to Mar 27, 2023
- HNW RAUM · $3.0M to $0Mar 29, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $860M to $0Mar 29, 2022 to Mar 27, 2023
- Pension RAUM · $87.0M to $46.0MMar 29, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $372M to $463MMar 29, 2022 to Mar 27, 2023
- RAUM · $1.5B to $509MMar 29, 2022 to Mar 27, 2023
- Accounts · 15 to 16Mar 26, 2021 to Mar 29, 2022
- Pooled vehicle clients · 7 to 8Mar 26, 2021 to Mar 29, 2022
- Assets in custody · $1.6M to $4.4MMar 26, 2021 to Mar 29, 2022
- Discretionary RAUM · $448M to $653MMar 26, 2021 to Mar 29, 2022
Signals
6 dated events
- R•••••••• C•••••• M••••••••• L•• reported RAUM $337.0M, down 34% from $509.0M (2023-03-27 to 2024-03-21)Mar 21, 2024 · RAUM change · derived
- R•••••••• C•••••• M••••••••• L•• reported RAUM $509.0M, down 66% from $1.5B (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•••••••• C•••••• M••••••••• L•• (listed 2022-03-29, absent 2023-03-27)Mar 27, 2023 · Control person left · inference
- R•••••••• C•••••• M••••••••• L•• reported RAUM $1.3B, up 95% from $669.0M (2020-06-30 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- R•••••••• C•••••• M••••••••• L•• reported RAUM $627.8M, down 37% from $998.4M (2018-03-16 to 2019-03-24)Mar 24, 2019 · RAUM change · derived
- Philip David Berkowitz (Co-Chief Investment Officer) no longer on Schedule A of R•••••••• C•••••• M••••••••• L•• (listed 2018-03-16, absent 2019-03-24)Mar 24, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- R•••••••• C•••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- riverparkvc.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