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•••••• I••••••••• M••••••••• L•••
Latest filing Mar 31, 2026
First filing on the tape Sep 6, 2013 · 39 filings
SEC status approved since Sep 13, 2013
RAUM
$2.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
3.3%
$80.4M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$2.5B
derived; firm RAUM over IAPD count
Employees
39
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$2.5B as of Mar 31, 2026
Mar 28, 2014$195M then
HNW client RAUM$59.3M as of Mar 31, 2026
Mar 23, 2018$66.1M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 28, 20143 then
Employees (5.A)39 as of Mar 31, 2026
Mar 28, 20144 then
Private funds1 as of Mar 31, 2023
Mar 28, 20141 then
RAUM -2.9% over the last fiscal year+1.2% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 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
- $2.5BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 142derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $971,481derivedHNW RAUM over HNW clients
- Average account
- $4.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 39.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for investment companies, 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$1.4B56%
- Other investment advisers$1.0B41%
- High-net-worth individuals$59.3M2.4%
- Individuals$21.2M0.9%
- Individual clients
- 81reported
- HNW clients
- 61reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 524reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.03 fund_share=0.97 institutional_share=0.0 related_bd=false related_bank=false bd_reps=16.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• T••• M•••••••• | Los Angeles, Ca | Apr 12, 2010 | 24 y | 2 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 100% of current headcount1 left over 36 months
Left, latest
- B•••• N••••• to T••••••• I••••••••• M••••••••• I•••Jan 13, 2026 · Other
- S•••••• M• G••••• to M••••••••• W••••• A•••••••• L••Jun 4, 2019 · Other
- B•••• P••••••• D••••••••• to A•••• P•••••••• L••Feb 5, 2016 · Other
- A••••• S•••• R•••• to S••••••• F•••••••• G••••Feb 13, 2013 · Other
Joined, latest
- B•••• N••••• from C••••• I••••••••• A••••••• L••Oct 31, 2025 · Other
- S•••••• M• G••••• from W•••••• C•••••• M••••••••• L••Mar 26, 2019 · Other
- M•••••• T••• M•••••••• from C••••••• M••••••••• I••••••••• A•••••••• L••Apr 12, 2010 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••••• M•••••• R••• P•••• L• | Hedge Fund | $16.5M | 5 | Oct 21, 2013 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• M••••••• T••••••• · Managing Partnercontrolsince 11/2017 · owns less than 5%
- D•••• R••••••• M••••• · Managing Partnercontrolsince 03/2015 · owns less than 5%
- M••••••••• M••••••• T••• · Managing Partnercontrolsince 11/2017 · owns less than 5%
- Y•••• J•••• C•• W•• · Chief Compliance Officersince 05/2018 · owns less than 5%
Entity owners
- R•• H•••••• L•• · Ownerdirect · owns 75% or more
- G••••• S•••• I••••••••• H•••••••• L•• · Ownerindirect · owns 25% to 50% of R•••••• I••••••••• H•••••• L••
- M••••• P•••• I••••••••• H•••••••• L•• · Ownerindirect · owns 25% to 50% of R•••••• I••••••••• H•••••• L••
- R•••••• I••••••••• H•••••• L•• · Ownerindirect · owns 75% or more of R•• H•••••• L••
Related persons
Schedule D 7.A
- M••••••••• W••••• A•••••••• L••investment adviseryRAUM $612M
Advisers that list R•••••• I••••••••• M••••••••• L••• as a related person
- 282408 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| S••••Sdale, Az · principal | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,758 to 524Oct 31, 2025 to Mar 31, 2026
- Advisory employees · 6 to 5Oct 31, 2025 to Mar 31, 2026
- BD registered reps · 1 to 16Oct 31, 2025 to Mar 31, 2026
- HNW clients · 63 to 61Oct 31, 2025 to Mar 31, 2026
- Individual clients · 84 to 81Oct 31, 2025 to Mar 31, 2026
- Employees · 31 to 39Oct 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.5B to $2.5BOct 31, 2025 to Mar 31, 2026
- HNW RAUM · $56.8M to $59.3MOct 31, 2025 to Mar 31, 2026
- Individual RAUM · $21.5M to $21.2MOct 31, 2025 to Mar 31, 2026
- RAUM · $2.5B to $2.5BOct 31, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to Oct 31, 2025
- Accounts · 1,727 to 1,758Mar 29, 2024 to Mar 31, 2025
- Advisory activities · 4 to 3Mar 29, 2024 to Mar 31, 2025
- BD registered reps · 9 to 1Mar 29, 2024 to Mar 31, 2025
- HNW clients · 65 to 63Mar 29, 2024 to Mar 31, 2025
- Individual clients · 101 to 84Mar 29, 2024 to Mar 31, 2025
- Employees · 32 to 31Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $2.7B to $2.5BMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $55.4M to $56.8MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $22.5M to $21.5MMar 29, 2024 to Mar 31, 2025
- RAUM · $2.7B to $2.5BMar 29, 2024 to Mar 31, 2025
- Related insurance company · true to falseMar 29, 2024 to Mar 31, 2025
- Accounts · 1,444 to 1,727Mar 31, 2023 to Mar 29, 2024
- Advisory employees · 8 to 6Mar 31, 2023 to Mar 29, 2024
- HNW clients · 75 to 65Mar 31, 2023 to Mar 29, 2024
- Individual clients · 117 to 101Mar 31, 2023 to Mar 29, 2024
- Pooled vehicle clients · 1 to 0Mar 31, 2023 to Mar 29, 2024
- Employees · 31 to 32Mar 31, 2023 to Mar 29, 2024
- Private funds · 1 to unsetMar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $2.4B to $2.7BMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $68.4M to $55.4MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $23.9M to $22.5MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $16.5M to $0Mar 31, 2023 to Mar 29, 2024
- RAUM · $2.4B to $2.7BMar 31, 2023 to Mar 29, 2024
- Related insurance company · false to trueMar 31, 2023 to Mar 29, 2024
- Accounts · 1,217 to 1,444Feb 2, 2023 to Mar 31, 2023
- Advisory employees · 7 to 8Feb 2, 2023 to Mar 31, 2023
- BD registered reps · 6 to 9Feb 2, 2023 to Mar 31, 2023
- HNW clients · 106 to 75Feb 2, 2023 to Mar 31, 2023
- Individual clients · 619 to 117Feb 2, 2023 to Mar 31, 2023
Signals
6 dated events
- B•••• N••••• left R•••••• I••••••••• M••••••••• L••• for T••••••• I••••••••• M••••••••• I••• (registered 2026-07-31)Jan 13, 2026 · Advisor changed firm · fact
- R•••••• I••••••••• M••••••••• L••• reported RAUM $2.0B, up 40% from $1.4B (2020-12-03 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- R•••••• I••••••••• M••••••••• L••• reported RAUM $1.4B, up 30% from $1.1B (2019-09-19 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Michael Cheung (Portfolio Manager) appeared on Schedule A of R•••••• I••••••••• M••••••••• L•••May 24, 2019 · Control person joined · fact
- R•••••• I••••••••• M••••••••• L••• reported RAUM $1.1B, up 27% from $854.5M (2017-11-29 to 2018-03-23)Mar 23, 2018 · RAUM change · derived
- R•••••• I••••••••• M••••••••• L••• filed its initial SEC registration (Form ADV)Sep 6, 2013 · 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
- Firm profile
- LINKEDIN.COM/COMPANY/R••••••-INVESTMENT-MANAGEMENT-LLCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- R••••••IM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 3102728185reportedpublic record, Form ADV, Mar 31, 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
- $2.5Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026