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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
R•• A•••• M••••••••• L••
Latest filing Aug 5, 2026
First filing on the tape Dec 1, 2011 · 31 filings
SEC status approved since May 24, 2010
RAUM
$589M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
20%
$115M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$589M as of Aug 5, 2026
Mar 30, 2012$840M then
HNW client RAUM$115M as of Aug 5, 2026
Mar 27, 2020$0 then
State-registered IARs (5.B.3)0 as of Aug 5, 2026
Mar 30, 20120 then
Employees (5.A)8 as of Aug 5, 2026
Jan 4, 20138 then
Private funds2 as of Aug 5, 2026
Mar 16, 20171 then
RAUM -41% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 5, 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
- $23.1MderivedHNW RAUM over HNW clients
- Average account
- $42.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 38%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
- -41%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 fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$245M42%
- Charitable organizations$170M29%
- High-net-worth individuals$115M20%
- State and municipal entities$55.1M9.4%
- Other investment advisers$3.7M0.6%
- Individual clients
- 0reported
- HNW clients
- 5reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 14reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.2 fund_share=0.42 institutional_share=0.38 related_bd=false 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•• V••••••• H•••• I• L• | Hedge Fund | $269M | 3 | Mar 27, 2020 |
| R•• P••••••• S••••• F••• L• | Hedge Fund | $48.4M | 5 | Jun 7, 2016 |
| R•• T••• H•••• I• L• | Hedge Fund | $33.2M | 2 | Mar 26, 2024 |
Owners and control persons
Schedule A and B, latest filing
- J••••••• A•••••• M••• · Managing Membercontrolsince 10/2011 · owns 25% to 50%
- J••••••• K•••••• A••• · Chief Compliance Officercontrolsince 12/2018 · owns less than 5%
- L•••••• N•••••••• J••••• · Managing Membercontrolsince 01/2017 · owns 25% to 50%
Related persons
Schedule D 7.A
- R•• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- institutional asset share shiftChange between filings · filing Feb 23, 2026institutional share of RAUM moved from 21.0% to 39.0% between the annual amendments of 2025-03-20 and 2026-02-23peers: other advisers, $500M to $1B (95)
- RAUM down 25 %Change between filings · filing Feb 23, 2026RAUM (Item 5.F) moved from $992,490,453 to $588,940,507 (-41.0%) between the annual amendments of 2025-03-20 and 2026-02-23; the peer median change was +12.0% (87 comparable advisers, 3.0th percentile of changes)peers: other advisers, $500M to $1B (87) · 3.5% percentile
What changed
consecutive filings, newest first
- Accounts · 8 to 14Mar 20, 2025 to Feb 23, 2026
- HNW clients · unset to 5.0Mar 20, 2025 to Feb 23, 2026
- Pooled vehicle clients · 2 to 1Mar 20, 2025 to Feb 23, 2026
- Discretionary RAUM · $992M to $589MMar 20, 2025 to Feb 23, 2026
- HNW RAUM · $255M to $115MMar 20, 2025 to Feb 23, 2026
- Pooled vehicle RAUM · $529M to $245MMar 20, 2025 to Feb 23, 2026
- RAUM · $992M to $589MMar 20, 2025 to Feb 23, 2026
- Accounts · 9 to 8Mar 26, 2024 to Mar 20, 2025
- Pooled vehicle clients · 3 to 2Mar 26, 2024 to Mar 20, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 20, 2025
- Private funds · 3 to 2Mar 26, 2024 to Mar 20, 2025
- Discretionary RAUM · $720M to $992MMar 26, 2024 to Mar 20, 2025
- HNW RAUM · $184M to $255MMar 26, 2024 to Mar 20, 2025
- Pooled vehicle RAUM · $350M to $529MMar 26, 2024 to Mar 20, 2025
- RAUM · $720M to $992MMar 26, 2024 to Mar 20, 2025
- Advisory activities · 4 to 3Apr 28, 2023 to Mar 26, 2024
- HNW clients · 6.0 to unsetApr 28, 2023 to Mar 26, 2024
- Pension plan clients · unset to 0.0Apr 28, 2023 to Mar 26, 2024
- Pooled vehicle clients · 2 to 3Apr 28, 2023 to Mar 26, 2024
- Private funds · 2 to 3Apr 28, 2023 to Mar 26, 2024
- Discretionary RAUM · $847M to $720MApr 28, 2023 to Mar 26, 2024
- HNW RAUM · $234M to $184MApr 28, 2023 to Mar 26, 2024
- Individual RAUM · unset to 0.0Apr 28, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $552M to $350MApr 28, 2023 to Mar 26, 2024
- RAUM · $847M to $720MApr 28, 2023 to Mar 26, 2024
- Accounts · 6 to 9Jul 22, 2022 to Mar 29, 2023
- Advisory employees · 8 to 5Jul 22, 2022 to Mar 29, 2023
- Advisory activities · 3 to 4Jul 22, 2022 to Mar 29, 2023
- HNW clients · 0 to 6Jul 22, 2022 to Mar 29, 2023
- Employees · 9 to 8Jul 22, 2022 to Mar 29, 2023
- Discretionary RAUM · $650M to $847MJul 22, 2022 to Mar 29, 2023
- HNW RAUM · $77.4M to $234MJul 22, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $394M to $552MJul 22, 2022 to Mar 29, 2023
- RAUM · $650M to $847MJul 22, 2022 to Mar 29, 2023
- Custody of client assets · false to trueMar 31, 2021 to Mar 30, 2022
- HQ city · DARIEN to STAMFORDMar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $356M to $650MMar 31, 2021 to Mar 30, 2022
- HNW RAUM · $33.1M to $77.4MMar 31, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $229M to $394MMar 31, 2021 to Mar 30, 2022
- RAUM · $356M to $650MMar 31, 2021 to Mar 30, 2022
Signals
7 dated events
- R•• A•••• M••••••••• L•• reported RAUM $588.9M, down 41% from $992.5M (2025-03-20 to 2026-02-23)Feb 23, 2026 · RAUM change · derived
- R•• A•••• M••••••••• L•• reported RAUM $992.5M, up 38% from $720.1M (2024-03-26 to 2025-03-20)Mar 20, 2025 · RAUM change · derived
- R•• A•••• M••••••••• L•• reported RAUM $847.1M, up 30% from $650.2M (2022-07-22 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- R•• A•••• M••••••••• L•• reported RAUM $650.2M, up 82% from $356.5M (2021-03-31 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- R•• A•••• M••••••••• L•• reported RAUM $356.5M, down 25% from $475.7M (2020-06-18 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Lee Ricky Antle (Principal And Cco) no longer on Schedule A of R•• A•••• M••••••••• L•• (listed 2018-06-19, absent 2019-01-04)Jan 4, 2019 · Control person left · inference
- Anne Kristi Jeffrey (Chief Compliance Officer) appeared on Schedule A of R•• A•••• M••••••••• L••Jan 4, 2019 · Control person joined · 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/rja-asset-management/aboutreportedpublic record, Form ADV, Sep 19, 2026
- Website
- w••.r••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-655-8200reportedpublic record, Form ADV, Aug 5, 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