DFX Intelligence
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SEC-registered adviser
R•• A•••••••
Legal name R•• A•••••••• L••
Latest filing Mar 2, 2026
First filing on the tape May 19, 2022 · 17 filings
SEC status approved since Dec 20, 2022
RAUM
$78.1M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
98%
$76.9M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$78.1M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$78.1M as of Mar 2, 2026
Mar 2, 2023$34.2M then
HNW client RAUM$72.6M as of Mar 2, 2026
Mar 2, 2023$32.0M then
State-registered IARs (5.B.3)1 as of Mar 2, 2026
Mar 2, 20231 then
Employees (5.A)1 as of Mar 2, 2026
Mar 2, 20231 then
Private funds: no history
RAUM +62% over the last fiscal year+32% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $78.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +62%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$72.6M93%
- Individuals$4.3M5.5%
- Pension and profit-sharing plans$1.2M1.5%
- Individual clients
- 11reported
- HNW clients
- 15reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 65reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• S•••• D•••••Certified Financial Planner, Chartered Financial Analyst | Nov 14, 2025 | 21 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• R••••••• S•••• · President And Chief Compliance Officersince 11/2009 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 64 to 65Mar 6, 2025 to Feb 27, 2026
- HNW clients · 13 to 15Mar 6, 2025 to Feb 27, 2026
- Discretionary RAUM · $47.5M to $76.9MMar 6, 2025 to Feb 27, 2026
- HNW RAUM · $43.3M to $72.6MMar 6, 2025 to Feb 27, 2026
- Individual RAUM · $4.3M to $4.3MMar 6, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $719,864 to $1.2MMar 6, 2025 to Feb 27, 2026
- Pension RAUM · $719,864 to $1.2MMar 6, 2025 to Feb 27, 2026
- RAUM · $48.3M to $78.1MMar 6, 2025 to Feb 27, 2026
- Accounts · 62 to 64Aug 20, 2024 to Mar 6, 2025
- HNW clients · 11 to 13Aug 20, 2024 to Mar 6, 2025
- Individual clients · 12 to 11Aug 20, 2024 to Mar 6, 2025
- Financial planning clients · 1-10 to 0Aug 20, 2024 to Mar 6, 2025
- HQ city · unset to Aug 20, 2024 to Mar 6, 2025
- HQ state · unset to Aug 20, 2024 to Mar 6, 2025
- Discretionary RAUM · $43.6M to $47.5MAug 20, 2024 to Mar 6, 2025
- HNW RAUM · $37.0M to $43.3MAug 20, 2024 to Mar 6, 2025
- Individual RAUM · $6.6M to $4.3MAug 20, 2024 to Mar 6, 2025
- Non-discretionary RAUM · $391,812 to $719,864Aug 20, 2024 to Mar 6, 2025
- Pension RAUM · $391,812 to $719,864Aug 20, 2024 to Mar 6, 2025
- RAUM · $44.0M to $48.3MAug 20, 2024 to Mar 6, 2025
- Accounts · 46 to 62Oct 12, 2023 to Feb 28, 2024
- HNW clients · 12 to 11Oct 12, 2023 to Feb 28, 2024
- Individual clients · 8 to 12Oct 12, 2023 to Feb 28, 2024
- Discretionary RAUM · $34.0M to $43.6MOct 12, 2023 to Feb 28, 2024
- HNW RAUM · $32.0M to $37.0MOct 12, 2023 to Feb 28, 2024
- Individual RAUM · $2.0M to $6.6MOct 12, 2023 to Feb 28, 2024
- Non-discretionary RAUM · $181,685 to $391,812Oct 12, 2023 to Feb 28, 2024
- Pension RAUM · $181,685 to $391,812Oct 12, 2023 to Feb 28, 2024
- RAUM · $34.2M to $44.0MOct 12, 2023 to Feb 28, 2024
- Accounts · 54 to 46Dec 16, 2022 to Mar 2, 2023
- Advisory activities · 3 to 2Dec 16, 2022 to Mar 2, 2023
- HNW clients · 11 to 12Dec 16, 2022 to Mar 2, 2023
- Individual clients · 9 to 8Dec 16, 2022 to Mar 2, 2023
- Pension plan clients · unset to 1.0Dec 16, 2022 to Mar 2, 2023
- Discretionary RAUM · $39.4M to $34.0MDec 16, 2022 to Mar 2, 2023
- HNW RAUM · $36.6M to $32.0MDec 16, 2022 to Mar 2, 2023
- Individual RAUM · $2.7M to $2.0MDec 16, 2022 to Mar 2, 2023
- Non-discretionary RAUM · $0 to $181,685Dec 16, 2022 to Mar 2, 2023
- Pension RAUM · $78,702 to $181,685Dec 16, 2022 to Mar 2, 2023
- RAUM · $39.4M to $34.2MDec 16, 2022 to Mar 2, 2023
Signals
1 dated events
- R•• A••••••• filed its initial SEC registration (Form ADV)May 19, 2022 · 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 email
- i•••@r•••••••••.netreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 347-689-2237reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/rsdadvisors-llc/aboutreportedpublic record, Form ADV, Mar 2, 2026
- Website
- w••.r•••••••••.netreportedpublic record, Form ADV, Mar 2, 2026
- Principal office phone
- 347-689-2237reportedpublic record, Form ADV, Mar 2, 2026
- Contact form
- r•••••••••.netreportedpublished 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
- $78.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026