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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Former SEC-registered adviser

R••••• T•••••• S••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 153417SEC 801-71521IAPD
Latest filing May 11, 2017
First filing on the tape Mar 28, 2012 · 9 filings
RAUM
$52.6M
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
21
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$52.6M as of Mar 28, 2017
Mar 28, 2012$234M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2017
Mar 22, 20130 then
Employees (5.A)21 as of Mar 28, 2017
Mar 22, 201322 then
Private funds: no history
RAUM -68% over the last fiscal year-30% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 11, 2017; 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
$8.8MderivedRAUM 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
-68%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, otherreportedItem 5.E
Advisory activities
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
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• M••••••• G• · General Counselcontrol
        since 01/2012 · owns less than 5%
      • S••••••• T•••••• W•••• · Chairman Of Ramius LLCcontrol
        since 12/2012 · owns less than 5%
      • H•••••• N•••••• K• · Head Of Business Due Diligence
        since 09/2009 · owns less than 5%
      • R•••• J••••• D•••• · Chief Financial Officer
        since 08/2015 · owns less than 5%
      • S•••••• A•••••• J••• · Chief Compliance Officer
        since 09/2011 · owns less than 5%
      Entity owners
      • R••••• L•• · Member
        direct · owns 75% or more
      • C•••• G••••• I••• · Sole Member
        indirect · owns 75% or more of Ramius LLC · public reporting company
      Related persons
      Schedule D 7.A
      • A•• E•••••••• L••
        broker-dealern
      • C••••• I•••••••• G•• L••
        pooled vehicle sponsorn
      • Caerus Investors, LLC
        investment adviserbanknRAUM $218M
      • Cowen Advisors LLC
        investment advisernRAUM $102M
      • C•••• A•• C••••••• L••
        broker-dealern
      • C•••• I••••••••• L••••••
        broker-dealern
      • Cowen Prime Advisors
        broker-dealerinvestment advisernRAUM $359M
      • C•••• P•••••• I••••••••• G• L••
        bankpooled vehicle sponsorn
      • H•• H••••• F••• G•• L••
        pooled vehicle sponsorn
      • H•• S••••••• F••• G•• L••
        pooled vehicle sponsorn
      • H••• M•• A•••••• M••••••••• L••
        investment advisern
      • H••• O••••••• F••• G•• L••
        pooled vehicle sponsorn
      • H••••••••• R•••••• G• I•• L••
        pooled vehicle sponsorn
      • H••••••••• R•••••• G• I••• L••
        pooled vehicle sponsorn
      • H••••••••• R•••••• G•• L••
        pooled vehicle sponsorn
      • Healthcare Royalty Management, LLC
        investment advisernRAUM $3.8B
      • M•••••• C•••••• M••••••••• L••
        bankpooled vehicle sponsorn
      • Margate Capital Management, LP
        investment adviserbanknRAUM $117M
      • Quadratic Capital Management LLC
        investment adviserbankpooled vehicle sponsornRAUM $508M
      • Ramius Advisors, LLC
        investment adviserbankpooled vehicle sponsornRAUM $489M
      • Cowen Investment Management LLC
        investment adviserpooled vehicle sponsoryRAUM $2.1B
      • R••••• U• L••••••
        investment advisern
      • Rcg Longview
        investment adviserpooled vehicle sponsornRAUM $130M
      • R•• L••••••• D••• F••• I• P• P•••• G•• L••
        pooled vehicle sponsorn
      • R•• L••••••• D••• F••• I• P••••••• L••
        pooled vehicle sponsorn
      • R•• L••••••• D••• F••• V• P•••••••• L••
        pooled vehicle sponsorn
      • R•• L••••••• D••• F••• V• P•••••••• L••
        pooled vehicle sponsorn
      • Rcg Longview
        investment adviserpooled vehicle sponsornRAUM $398M
      • R•• L••••••• E••••• P••••••• P• P••••• L••
        pooled vehicle sponsorn
      • R•• L••••••• E••••• P•••••••• L••
        pooled vehicle sponsorn
      Advisers that list R••••• T•••••• S••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 12 to 6
        Mar 16, 2016 to Mar 28, 2017
      • BD registered reps · 7 to 2
        Mar 16, 2016 to Mar 28, 2017
      • Assets in custody · 63419152.0 to unset
        Mar 16, 2016 to Mar 28, 2017
      • Custody of client assets · true to false
        Mar 16, 2016 to Mar 28, 2017
      • Employees · 22 to 21
        Mar 16, 2016 to Mar 28, 2017
      • Discretionary RAUM · $162M to $52.6M
        Mar 16, 2016 to Mar 28, 2017
      • RAUM · $162M to $52.6M
        Mar 16, 2016 to Mar 28, 2017
      • Accounts · 11 to 12
        Mar 25, 2015 to Mar 16, 2016
      • BD registered reps · 8 to 7
        Mar 25, 2015 to Mar 16, 2016
      • Assets in custody · $80.6M to $63.4M
        Mar 25, 2015 to Mar 16, 2016
      • Employees · 26 to 22
        Mar 25, 2015 to Mar 16, 2016
      • Discretionary RAUM · $244M to $162M
        Mar 25, 2015 to Mar 16, 2016
      • RAUM · $244M to $162M
        Mar 25, 2015 to Mar 16, 2016
      • Advisory employees · 3 to 0
        Mar 12, 2014 to Mar 25, 2015
      • Advisory activities · 4 to 2
        Mar 12, 2014 to Mar 25, 2015
      • BD registered reps · 5 to 8
        Mar 12, 2014 to Mar 25, 2015
      • Assets in custody · $81.5M to $80.6M
        Mar 12, 2014 to Mar 25, 2015
      • Employees · 21 to 26
        Mar 12, 2014 to Mar 25, 2015
      • Discretionary RAUM · $155M to $244M
        Mar 12, 2014 to Mar 25, 2015
      • RAUM · $155M to $244M
        Mar 12, 2014 to Mar 25, 2015
      • Accounts · 16 to 11
        Mar 22, 2013 to Mar 12, 2014
      • Assets in custody · $85.3M to $81.5M
        Mar 22, 2013 to Mar 12, 2014
      • Employees · 22 to 21
        Mar 22, 2013 to Mar 12, 2014
      • Discretionary RAUM · $179M to $155M
        Mar 22, 2013 to Mar 12, 2014
      • RAUM · $179M to $155M
        Mar 22, 2013 to Mar 12, 2014
      • Accounts · 18 to 16
        Jul 3, 2012 to Mar 22, 2013
      • Advisory employees · unset to 3.0
        Jul 3, 2012 to Mar 22, 2013
      • BD registered reps · 0 to 5
        Jul 3, 2012 to Mar 22, 2013
      • Assets in custody · $21.0M to $85.3M
        Jul 3, 2012 to Mar 22, 2013
      • Employees · unset to 22.0
        Jul 3, 2012 to Mar 22, 2013
      • State-registered IARs · unset to 0.0
        Jul 3, 2012 to Mar 22, 2013
      • Discretionary RAUM · $234M to $179M
        Jul 3, 2012 to Mar 22, 2013
      • RAUM · $234M to $179M
        Jul 3, 2012 to Mar 22, 2013
      • Assets in custody · unset to 21021808.0
        Mar 28, 2012 to Mar 30, 2012
      • Custody of client assets · false to true
        Mar 28, 2012 to Mar 30, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      Former SEC-registered 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