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••••••••• L•
Latest filing Mar 30, 2026
First filing on the tape Jun 4, 2013 · 30 filings
SEC status approved since Jun 13, 2013
RAUM
$14B
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
70
35 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$14B as of Mar 30, 2026
Mar 20, 2014$161M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 20, 20140 then
Employees (5.A)70 as of Mar 30, 2026
Mar 20, 20146 then
Private funds3 as of Mar 30, 2026
Mar 20, 20143 then
RAUM +44% over the last fiscal year+25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- +44%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $9.5B, 3 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)
- 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)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$14B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $9.5B for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•• M••••• F•••• L••• | Hedge Fund | $5.1B | 1,418 | Oct 31, 2012 |
| R•• I••••••••• M••••• F•••• L••• | Hedge Fund | $3.3B | 349 | Mar 30, 2016 |
| R•• O•••••• F••• O••• L•no longer reported | Hedge Fund | $290M | 131 | Oct 31, 2012 |
| R•• O••••••• F••• O••• L••no longer reported | Hedge Fund | $184M | 73 | Oct 31, 2012 |
| 4••• R•••••• I••••••••• I••• | Private Equity Fund | $81.1M | 35 | Mar 28, 2024 |
| R•• S•••••• P•••••• F••• I•• L••no longer reported | Hedge Fund | $73.8M | 6 | Nov 4, 2019 |
| R•• S•••••• P•••••• F••• I• L••no longer reported | Hedge Fund | $65.8M | 7 | Mar 29, 2017 |
| R•• I••••••••• O•••••• F•••• L•no longer reported | Hedge Fund | $11.0M | 8 | Mar 30, 2016 |
| R•• I••••••••• O••••••• F•••• L••no longer reported | Hedge Fund | $0 | 0 | Mar 30, 2016 |
Owners and control persons
Schedule A and B, latest filing
- A•••••••• R•••••• J••• · Partner, Chief Operating Officer And Chief Financial Officercontrolsince 08/2020 · owns less than 5%
- F•••• P••••• M• · Partner, Presidentcontrolsince 01/2022 · owns less than 5%
- L•••••••• S•••••• R••• · Partner Emerituscontrolsince 10/2009 · owns less than 5%
- M•••••• G•••• · Partner, Head Of Strategic Investmentscontrolsince 09/2023 · owns less than 5%
- P••••• D••••••• V••••• · Chief Compliance Officercontrolsince 02/2021 · owns less than 5%
- S•••••• C••••••••• J••• · Chief Corporate Finance Officercontrolsince 04/2021 · owns less than 5%
- S•••••• S••••••••• A••• · Partner, Chief Business Officercontrolsince 01/2014 · owns less than 5%
- W•••• R•••••••• T•• I•• · Managing Partner, Chief Investment Officercontrolsince 09/2009 · owns 75% or more
- Y••••••••• N••••• · Partner, Portfolio Managercontrolsince 01/2016 · owns 10% to 25%
Entity owners
- R•• I••••••••• G•• L•• · General Partner Of Rtw Investments, LPdirect · owns less than 5%
Related persons
Schedule D 7.A
- 4••• R•••••• F••• G•• L••pooled vehicle sponsorn
- H••• 2• H•••••••• L••pooled vehicle sponsory
- R•• F••• G•••• G•• L••bankpooled vehicle sponsory
- R•• G••••• I••••••••• L•••investment advisery
- R•• H•••••• L••••••pooled vehicle sponsory
- R•• H•••••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 32 to 35Mar 28, 2025 to Mar 30, 2026
- Assets in custody · $6.8B to $9.5BMar 28, 2025 to Mar 30, 2026
- Employees · 67 to 70Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $9.8B to $14BMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $9.8B to $14BMar 28, 2025 to Mar 30, 2026
- RAUM · $9.8B to $14BMar 28, 2025 to Mar 30, 2026
- Assets in custody · $5.8B to $6.8BMar 28, 2024 to Mar 28, 2025
- Employees · 59 to 67Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $8.8B to $9.8BMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $8.8B to $9.8BMar 28, 2024 to Mar 28, 2025
- RAUM · $8.8B to $9.8BMar 28, 2024 to Mar 28, 2025
- Accounts · 7 to 10May 30, 2023 to Mar 28, 2024
- Advisory employees · 37 to 32May 30, 2023 to Mar 28, 2024
- Pooled vehicle clients · 7 to 10May 30, 2023 to Mar 28, 2024
- Assets in custody · $4.5B to $5.8BMay 30, 2023 to Mar 28, 2024
- Employees · 67 to 59May 30, 2023 to Mar 28, 2024
- Private funds · 2 to 3May 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $7.2B to $8.8BMay 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $7.2B to $8.8BMay 30, 2023 to Mar 28, 2024
- RAUM · $7.2B to $8.8BMay 30, 2023 to Mar 28, 2024
- Related adviser · false to trueMay 30, 2023 to Mar 28, 2024
- Advisory employees · 31 to 37Nov 7, 2022 to Mar 30, 2023
- Assets in custody · $5.6B to $4.5BNov 7, 2022 to Mar 30, 2023
- Employees · 54 to 67Nov 7, 2022 to Mar 30, 2023
- Discretionary RAUM · $8.7B to $7.2BNov 7, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $8.7B to $7.2BNov 7, 2022 to Mar 30, 2023
- RAUM · $8.7B to $7.2BNov 7, 2022 to Mar 30, 2023
- Accounts · 8 to 7Sep 8, 2021 to Mar 30, 2022
- Advisory employees · 23 to 31Sep 8, 2021 to Mar 30, 2022
- Assets in custody · $5.1B to $5.6BSep 8, 2021 to Mar 30, 2022
- Employees · 47 to 54Sep 8, 2021 to Mar 30, 2022
- Private funds · 3 to 2Sep 8, 2021 to Mar 30, 2022
- Discretionary RAUM · $8.0B to $8.7BSep 8, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $7.6B to $8.7BSep 8, 2021 to Mar 30, 2022
- RAUM · $8.0B to $8.7BSep 8, 2021 to Mar 30, 2022
- Advisory employees · 13 to 23Feb 19, 2021 to Mar 30, 2021
- Pooled vehicle clients · 6 to 7Feb 19, 2021 to Mar 30, 2021
- Assets in custody · $1.9B to $5.1BFeb 19, 2021 to Mar 30, 2021
- Employees · 30 to 47Feb 19, 2021 to Mar 30, 2021
Signals
10 dated events
- R•• I••••••••• L• reported RAUM $14.1B, up 44% from $9.8B (2025-03-28 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Gotam Makker (Partner, Head Of Strategic Investments) appeared on Schedule A of R•• I••••••••• L•Mar 28, 2024 · Control person joined · fact
- John C••••••••• S••••• (Chief Corporate Finance Officer) appeared on Schedule A of R•• I••••••••• L•Mar 30, 2022 · Control person joined · fact
- M Peter Fong (Partner, Chief Development Officer) appeared on Schedule A of R•• I••••••••• L•Mar 30, 2022 · Control person joined · fact
- R•• I••••••••• L• reported RAUM $8.0B, up 124% from $3.6B (2021-02-19 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- R•• I••••••••• L• reported RAUM $3.6B, up 100% from $1.8B (2019-11-04 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- R•• I••••••••• L• reported RAUM $1.8B, up 70% from $1.1B (2018-07-16 to 2019-03-05)Mar 5, 2019 · RAUM change · derived
- R•• I••••••••• L• reported RAUM $1.1B, up 69% from $621.1M (2017-03-29 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- R•• I••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 29, 2017 · Succession (Item 4) · fact
- R•• I••••••••• L•• filed its initial SEC registration (Form ADV)Jun 4, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R•• I••••••••• L• · Independent Sponsorsshared crd · capital_provider
- R•• I••••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/RTW-INVESTMENTS-LLCreportedpublic record, Form ADV, Sep 19, 2026
- Website
- w••.r•••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 646-597-6980reportedpublic record, Form ADV, Mar 30, 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