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
O•••• I••••••••• S••••••••• L••
Latest filing Aug 7, 2026
First filing on the tape Mar 31, 2012 · 34 filings
SEC status approved since May 7, 2010
RAUM
$5.7B
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
10
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$5.7B as of Aug 7, 2026
Mar 31, 2012$3.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 7, 2026
Mar 25, 20130 then
Employees (5.A)10 as of Aug 7, 2026
Mar 25, 201311 then
Private funds1 as of Mar 29, 2024
Mar 31, 20122 then
RAUM +4.8% over the last fiscal year-8.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 7, 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
- $1.4BderivedRAUM 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
- +4.8%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 assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $5.7B, 4 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 acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$5.7B100%
- Pooled investment vehicles$17.7M0.3%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.7B for 4 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived
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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O•••• T••• L•••••••• F••• L•• | Hedge Fund | $459M | 23 | Apr 1, 2021 |
| O•••••• A••••••••• S•••••••• I••••••••• S••••••••• L•• ••••• R• O••••• • O•••• H•••• A••••••• S••••• | Hedge Fund | $37.7M | 24 | Mar 31, 2022 |
| G••••• D••••••••• M•••••• F•••••• F•••• L•••no longer reported | Other Private Fund | $16.5M | 14 | Mar 31, 2012 |
| R•• G••••• T••••no longer reported | Other Private Fund | $4.1M | 718 | Mar 31, 2012 |
| C••••• O••• L••no longer reported | Hedge Fund | $1.6M | 6 | Apr 1, 2021 |
Owners and control persons
Schedule A and B, latest filing
- G•••••••• J••••• A••••• · Manager - Board Of Managerscontrolsince 11/2019 · owns less than 5%
- G••••••• E•••• G•••••• · Chief Financial Officer, Manager - Board Of Managerscontrolsince 11/2019 · owns less than 5%
- R••••• D••••• C••••••••• · Manager, Head Of Funds Divisioncontrolsince 11/2019 · owns less than 5%
- S•••• A•••• U• · Manager - Board Of Managerscontrolsince 11/2019 · owns less than 5%
- B•••• C••••••••• E••••• · Chief Compliance Officersince 01/2024 · owns less than 5%
- C•••••••• M•••• T••••• · Chief Investment Officersince 12/2018 · owns less than 5%
- R••••••• C••••••• M•••• · Chief Operating Officersince 12/2018 · owns less than 5%
Entity owners
- J••• H••••••• C••• · Sole Memberdirect · owns 75% or more
- R•• I••••••• C••• · Sole Shareholderindirect · owns 75% or more of J••• H••••••• C•••
- W••••••• T•••• P•••••••• L•• · Shareholderindirect · owns 25% to 50% of R•• I••••••• C•••
Related persons
Schedule D 7.A
- R••• O•••••• ••• L••••••trust companyn
- R••• O•••••• • A••••••••• C••••• I••trust companyn
- R••• O•••••• • A••••••••• H• L••••••trust companyn
- R••• O•••••• A•• A••••••••• L••trust companycustodiann
- R••• O•••••• L••••••trust companyn
- R••• O•••••• M••• C•••••• L••••••broker-dealern
- R••• O•••••• S••••••••• L••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 4 to 3Aug 25, 2025 to Mar 31, 2026
- Assets in custody · $5.5B to $5.7BAug 25, 2025 to Mar 31, 2026
- Employees · 11 to 10Aug 25, 2025 to Mar 31, 2026
- Discretionary RAUM · $5.5B to $5.7BAug 25, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $13.2M to $17.7MAug 25, 2025 to Mar 31, 2026
- RAUM · $5.5B to $5.7BAug 25, 2025 to Mar 31, 2026
- Related adviser · false to trueAug 25, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 30, 2025 to Aug 25, 2025
- Accounts · 6 to 4Mar 29, 2024 to Mar 30, 2025
- Advisory employees · 8 to 4Mar 29, 2024 to Mar 30, 2025
- BD registered reps · 1 to 0Mar 29, 2024 to Mar 30, 2025
- Corporate clients · 4 to 3Mar 29, 2024 to Mar 30, 2025
- Pooled vehicle clients · 2 to 1Mar 29, 2024 to Mar 30, 2025
- Assets in custody · $5.2B to $5.5BMar 29, 2024 to Mar 30, 2025
- Employees · 15 to 11Mar 29, 2024 to Mar 30, 2025
- Private funds · 1 to unsetMar 29, 2024 to Mar 30, 2025
- Discretionary RAUM · $5.3B to $5.5BMar 29, 2024 to Mar 30, 2025
- Pooled vehicle RAUM · $49.1M to $13.2MMar 29, 2024 to Mar 30, 2025
- RAUM · $5.3B to $5.5BMar 29, 2024 to Mar 30, 2025
- Related bank · true to falseMar 29, 2024 to Mar 30, 2025
- Accounts · 8 to 6Sep 7, 2023 to Mar 29, 2024
- BD registered reps · 2 to 1Sep 7, 2023 to Mar 29, 2024
- Pooled vehicle clients · 4 to 2Sep 7, 2023 to Mar 29, 2024
- Assets in custody · $6.0B to $5.2BSep 7, 2023 to Mar 29, 2024
- Private funds · 2 to 1Sep 7, 2023 to Mar 29, 2024
- Discretionary RAUM · $7.4B to $5.3BSep 7, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $557M to $49.1MSep 7, 2023 to Mar 29, 2024
- RAUM · $7.4B to $5.3BSep 7, 2023 to Mar 29, 2024
- Accounts · 11 to 8Oct 12, 2022 to Mar 31, 2023
- Advisory employees · 7 to 8Oct 12, 2022 to Mar 31, 2023
- BD registered reps · 3 to 2Oct 12, 2022 to Mar 31, 2023
- Pooled vehicle clients · 7 to 4Oct 12, 2022 to Mar 31, 2023
- Assets in custody · $5.9B to $6.0BOct 12, 2022 to Mar 31, 2023
- Employees · 18 to 15Oct 12, 2022 to Mar 31, 2023
- Private funds · 3 to 2Oct 12, 2022 to Mar 31, 2023
- Discretionary RAUM · $7.6B to $7.4BOct 12, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $915M to $557MOct 12, 2022 to Mar 31, 2023
- RAUM · $7.6B to $7.4BOct 12, 2022 to Mar 31, 2023
- Accounts · 9 to 11Apr 1, 2021 to Mar 31, 2022
- Advisory employees · 6 to 7Apr 1, 2021 to Mar 31, 2022
Signals
11 dated events
- O•••• I••••••••• S••••••••• L•• reported RAUM $5.3B, down 28% from $7.4B (2023-09-07 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- Richard Augustine Perrotta (Chief Compliance Officer) no longer on Schedule A of O•••• I••••••••• S••••••••• L•• (listed 2022-06-08, absent 2022-10-12)Oct 12, 2022 · Control person left · inference
- O•••• I••••••••• S••••••••• L•• reported RAUM $7.6B, up 52% from $5.0B (2021-04-01 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Glenn Bradley Giemza (Manager And Director) no longer on Schedule A of O•••• I••••••••• S••••••••• L•• (listed 2020-09-04, absent 2021-04-01)Apr 1, 2021 · Control person left · inference
- Arthur Stephen Brodsky (Manager And Director) no longer on Schedule A of O•••• I••••••••• S••••••••• L•• (listed 2020-06-30, absent 2020-09-04)Sep 4, 2020 · Control person left · inference
- Julie Dematteo (Chief Executive Officer And Chief Investment Officer Mfm) no longer on Schedule A of O•••• I••••••••• S••••••••• L•• (listed 2019-03-30, absent 2019-11-23)Nov 23, 2019 · Control person left · inference
- Arthur Stephen Brodsky (Manager And Director) appeared on Schedule A of O•••• I••••••••• S••••••••• L••Nov 23, 2019 · Control person joined · fact
- Glenn Bradley Giemza (Manager And Director) appeared on Schedule A of O•••• I••••••••• S••••••••• L••Nov 23, 2019 · Control person joined · fact
- Amar Shah (Manager And Director) appeared on Schedule A of O•••• I••••••••• S••••••••• L••Nov 23, 2019 · Control person joined · fact
- A James Gabriele (Chief Executive Officer, Manager And Director) appeared on Schedule A of O•••• I••••••••• S••••••••• L••Nov 23, 2019 · Control person joined · fact
- A James Gabriele (Chief Financial Officer) no longer on Schedule A of O•••• I••••••••• S••••••••• L•• (listed 2018-12-03, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
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
- RJO••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-373-5366reportedpublic record, Form ADV, Aug 7, 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
- Other adviserderiveda 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