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•• F••••••••
Legal name R•• F•••••••• L••
Latest filing Mar 6, 2026
First filing on the tape Sep 19, 2023 · 6 filings
SEC status approved since Oct 19, 2023
RAUM
$174M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$174M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$57.9M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$174M as of Mar 6, 2026
Feb 12, 2024$128M then
HNW client RAUM$73.9M as of Mar 6, 2026
Feb 12, 2024$52.9M then
State-registered IARs (5.B.3)3 as of Mar 6, 2026
Feb 12, 20243 then
Employees (5.A)4 as of Mar 6, 2026
Feb 12, 20244 then
Private funds: no history
RAUM +16% over the last fiscal yearIARs 3 to 3offices 2 to 1
Practice profile
derived from the filing of Mar 6, 2026; every figure names its basis
- RAUM per advisor
- $57.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 202derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $285,053derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +59%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$99.7M57%
- High-net-worth individuals$73.9M43%
- Individual clients
- 583reported
- HNW clients
- 24reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 609reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• L•• B••••••• | Springfield, Mo | Jun 9, 2015 | 19 y | 4 |
| M•••••• J•••• T••••• | Springfield, Mo | Sep 18, 2018 | 19 y | 1 |
| W•••• A•••••• M••••• | Ventura, Ca | Jan 1, 2025 | 17 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- W•••• A•••••• M••••• from H••••••••• A••••••• G•••• L••Jan 1, 2025 · Other
- M•••••• J•••• T••••• from 1•• G••••• A••••••• I••Sep 18, 2018 · Affiliated broker-dealer or bank to independent RIA
- R••••• L•• B••••••• from E••••••• I••••••••• A•••••••• L••Oct 8, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• R•••••• L•• · Managing Member/Ccocontrolsince 09/2009 · owns 75% or more
Related persons
Schedule D 7.A
- R••••• B•••••••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Springfield, Mo · principal | 3 | 0 | 0 | ||
| Ventura, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Northridge, CA2 employees
- Oxnard, CA1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 6, 2026accounts (Item 5.F.2.f) moved from 381.0 to 609.0 (+60.0%) between the annual amendments of 2025-02-06 and 2026-03-06; the peer median change was +5.0% (3687 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 96% percentile
- client count surgeChange between filings · filing Mar 6, 2026individual and HNW clients (Item 5.D) moved from 381.0 to 607.0 (+59.0%) between the annual amendments of 2025-02-06 and 2026-03-06; the peer median change was +3.0% (3309 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 604 to 609Oct 3, 2025 to Mar 6, 2026
- Individual clients · 580 to 583Oct 3, 2025 to Mar 6, 2026
- Other offices · 2 to 1Oct 3, 2025 to Mar 6, 2026
- Discretionary RAUM · $172M to $174MOct 3, 2025 to Mar 6, 2026
- HNW RAUM · $78.1M to $73.9MOct 3, 2025 to Mar 6, 2026
- Individual RAUM · $94.0M to $99.7MOct 3, 2025 to Mar 6, 2026
- RAUM · $172M to $174MOct 3, 2025 to Mar 6, 2026
- Accounts · 381 to 604Feb 6, 2025 to Oct 3, 2025
- HNW clients · 28 to 24Feb 6, 2025 to Oct 3, 2025
- Individual clients · 353 to 580Feb 6, 2025 to Oct 3, 2025
- Financial planning clients · 0 to 0Feb 6, 2025 to Oct 3, 2025
- Discretionary RAUM · $149M to $172MFeb 6, 2025 to Oct 3, 2025
- HNW RAUM · $64.9M to $78.1MFeb 6, 2025 to Oct 3, 2025
- Individual RAUM · $84.3M to $94.0MFeb 6, 2025 to Oct 3, 2025
- RAUM · $149M to $172MFeb 6, 2025 to Oct 3, 2025
- Accounts · 626 to 381Aug 6, 2024 to Feb 6, 2025
- HNW clients · 20 to 28Aug 6, 2024 to Feb 6, 2025
- Individual clients · 447 to 353Aug 6, 2024 to Feb 6, 2025
- Discretionary RAUM · $0 to $149MAug 6, 2024 to Feb 6, 2025
- HNW RAUM · $52.9M to $64.9MAug 6, 2024 to Feb 6, 2025
- Individual RAUM · $75.1M to $84.3MAug 6, 2024 to Feb 6, 2025
- Non-discretionary RAUM · $128M to $0Aug 6, 2024 to Feb 6, 2025
- RAUM · $128M to $149MAug 6, 2024 to Feb 6, 2025
- Accounts · 492 to 626Sep 19, 2023 to Feb 12, 2024
- HNW clients · 18 to 20Sep 19, 2023 to Feb 12, 2024
- Individual clients · 284 to 447Sep 19, 2023 to Feb 12, 2024
- Discretionary RAUM · $105M to $0Sep 19, 2023 to Feb 12, 2024
- HNW RAUM · $38.0M to $52.9MSep 19, 2023 to Feb 12, 2024
- Individual RAUM · $67.2M to $75.1MSep 19, 2023 to Feb 12, 2024
- Non-discretionary RAUM · $0 to $128MSep 19, 2023 to Feb 12, 2024
- RAUM · $105M to $128MSep 19, 2023 to Feb 12, 2024
Signals
1 dated events
- R•• F•••••••• filed its initial SEC registration (Form ADV)Sep 19, 2023 · First SEC registration · fact
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
- Business phone
- 213-260-5348reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 417-861-4407reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 818-718-1040reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- RLBFINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 866-686-8097reportedpublic record, Form ADV, Mar 6, 2026
- Team page
- RLBFINANCIAL.COM/teamreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $57.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026