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•••• R•••

Former SEC-registered adviserChapel Hill, North CarolinaCRD 155925SEC 801-72063IAPD
Legal name R•••• R••• C•••••• M••••••••• L••
Latest filing Mar 18, 2016
First filing on the tape Mar 20, 2012 · 6 filings
RAUM
$18.0M
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
5
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$18.4M gross assets
History
6 filings and snapshots on the tape
RAUM$18.0M as of Mar 18, 2016
Mar 20, 2012$49.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 18, 2016
Mar 28, 20130 then
Employees (5.A)5 as of Mar 18, 2016
Mar 28, 20136 then
Private funds3 as of Mar 18, 2016
Mar 20, 20123 then
RAUM -96% over the last fiscal year-66% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 2016; 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
$9.0MderivedRAUM 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
-96%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, 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
  • 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)
  • 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)
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
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      R•••• R••• C••••• M••••• F•••• L•••Hedge Fund$9.2M2Mar 20, 2012
      R•••• R••• C••••• F•••• L•••Hedge Fund$8.8M8Mar 20, 2012
      R•••• R••• C••••• O••••••• F•••• L••Hedge Fund$374,7431Mar 20, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• N••••••••• D••••• · Managing Membercontrol
        since 09/2009 · owns 25% to 50%
      • R••••••••• R•••••• C•••• · Managing Membercontrol
        since 09/2009 · owns 25% to 50%
      • C•••••• G••• B•••• · Former Managing Member
        since 02/2015 · owns 10% to 25%
      • F•••••••• A•••••• B•••••• · Trader
        since 09/2009 · owns 5% to 10%
      • G••••••• R••••••• L•••• M•••••• · Chief Compliance Officer
        since 09/2009 · owns 5% to 10%
      • L•••••••• T•••••• L••• · Senior Trader
        since 09/2009 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • R•••• R••• C••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 2
        Mar 11, 2015 to Mar 18, 2016
      • Advisory employees · 5 to 4
        Mar 11, 2015 to Mar 18, 2016
      • Employees · 6 to 5
        Mar 11, 2015 to Mar 18, 2016
      • Discretionary RAUM · $507M to $18.0M
        Mar 11, 2015 to Mar 18, 2016
      • RAUM · $507M to $18.0M
        Mar 11, 2015 to Mar 18, 2016
      • Accounts · 6 to 4
        Mar 12, 2014 to Mar 11, 2015
      • Discretionary RAUM · $746M to $507M
        Mar 12, 2014 to Mar 11, 2015
      • RAUM · $746M to $507M
        Mar 12, 2014 to Mar 11, 2015
      • Advisory activities · 2 to 4
        Dec 17, 2013 to Mar 12, 2014
      • Assets in custody · $115M to $0
        Dec 17, 2013 to Mar 12, 2014
      • Custody of client assets · true to false
        Dec 17, 2013 to Mar 12, 2014
      • Discretionary RAUM · $445M to $746M
        Dec 17, 2013 to Mar 12, 2014
      • RAUM · $445M to $746M
        Dec 17, 2013 to Mar 12, 2014
      • Accounts · 3 to 6
        Mar 20, 2012 to Mar 28, 2013
      • Advisory employees · unset to 5.0
        Mar 20, 2012 to Mar 28, 2013
      • Assets in custody · unset to 115000000.0
        Mar 20, 2012 to Mar 28, 2013
      • Custody of client assets · false to true
        Mar 20, 2012 to Mar 28, 2013
      • Employees · unset to 6.0
        Mar 20, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Mar 20, 2012 to Mar 28, 2013
      • Discretionary RAUM · $49.2M to $445M
        Mar 20, 2012 to Mar 28, 2013
      • RAUM · $49.2M to $445M
        Mar 20, 2012 to Mar 28, 2013
      • Related adviser · true to false
        Mar 20, 2012 to Mar 28, 2013
      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