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•••••••• O••••••••• L•••
Latest filing Sep 15, 2026
First filing on the tape Feb 10, 2012 · 40 filings
SEC status approved since Mar 14, 2012
RAUM
$365M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$365M
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$365M as of Aug 28, 2026
Mar 26, 2013$7.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 28, 2026
Mar 26, 20130 then
Employees (5.A)8 as of Aug 28, 2026
Mar 26, 201351 then
Private funds5 as of Aug 28, 2026
Mar 26, 201312 then
RAUM -16% over the last fiscal year-45% a year over threeIARs 0 to 0offices 0 to 2
Practice profile
derived from the filing of Sep 15, 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
- $365MderivedRAUM 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
- $60.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -16%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 vehicles, selection of other advisersreportedItem 5.G
- Custody
- $365M, 6 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
- has discretionary authority over which securities are bought or sold (8.C.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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$365M100%
- 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
- $365M for 6 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• H••••••• S•••• | New York, Ny | Mar 15, 2012 | 19 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
17 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $648M | 17 | Feb 10, 2012 |
| R••••••••• C••••••••• M••••• F•••• L••• | Hedge Fund | $402M | 4 | Feb 10, 2012 |
| R•••••••• C•••••• P•••••••• L••• | Hedge Fund | $255M | 273 | Feb 10, 2012 |
| R••••••••• S•••• P•••••••• L•••no longer reported | Hedge Fund | $152M | 4 | Feb 10, 2012 |
| R•••••••• O••••••• F•••• L•••no longer reported | Hedge Fund | $149M | 1 | Feb 10, 2012 |
| R•••••••• S•••••••• P••••••• F•••• L••• | Hedge Fund | $138M | 83 | Feb 10, 2012 |
| R••••••••• C••••••••• F•••• L••• | Hedge Fund | $105M | 15 | Feb 10, 2012 |
| R•••••••• C•••••• I••••••••• P•••••••• L••• | Hedge Fund | $90.5M | 52 | Feb 10, 2012 |
| R•••••••• C•••••• M••••• F••• I•• L••• | Hedge Fund | $40.3M | 24 | Feb 10, 2012 |
| R•••••••• S•••••••• P••••••• F••• T•• L•••no longer reported | Hedge Fund | $15.8M | 4 | Feb 10, 2012 |
| R•••••••• C•••••• M••••• F•••• L••• | Hedge Fund | $14.3M | 32 | Feb 10, 2012 |
| R•••••••• R••••••• P••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $9.6M | 50 | Feb 21, 2014 |
| R•••••••• R••••••• P••••••• M••••• F••• I•• L•••no longer reported | Hedge Fund | $8.6M | 1 | Aug 28, 2014 |
| R•••••••• R••••••• P••••••• M••••• F••• T•• L•no longer reported | Hedge Fund | $5.3M | 5 | Feb 21, 2014 |
| R•••••••• R••••••• P••••••• M••••• F••• O•••••••• L•••no longer reported | Hedge Fund | $4.4M | 4 | Feb 21, 2014 |
| R•••••••• S•••••••• P••••••• F••• O••••••• M•••••• L•••no longer reported | Hedge Fund | $2.9M | 3 | Feb 10, 2012 |
| R•••••••• R••••••• P•••••••• L• | Hedge Fund | $79,267 | 0 | Mar 18, 2020 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• C••••• A• · Chief Compliance Officer/Chief Financial Officercontrolsince 01/2010 · owns less than 5%
- H•••• C••••• A•••• · Co-Ceocontrolsince 08/2007 · owns less than 5%
- S••••• D•••••• H••••••• · Co-Ceocontrolsince 08/2007 · owns less than 5%
- Z••••••• G••••• M•••••• · Senior Managing Directorcontrolsince 02/2008 · owns less than 5%
- H•••• C••••• A•••• · Limited Partnercontrolsince 08/1998 · owns 25% to 50% of R•••••••• O••••••••• M••••••••• L•••
- H•••• C••••• A•••• · Sole Membercontrolsince 11/2007 · owns 75% or more of C•• P•••••••• L••
- S••••• D•••••• H••••••• · Limited Partnercontrolsince 07/1998 · owns 25% to 50% of R•••••••• O••••••••• M••••••••• L•••
- S••••• D•••••• H••••••• · Sole Membercontrolsince 02/1997 · owns 75% or more of R••••• M••••••••• L•••••
Entity owners
- R•••••••• O••••••••• M••••••••• L••• · General Partnerdirect · owns 50% to 75%
- A•• A••••••••• L•• · Memberindirect · owns 75% or more of A•••• M••••••••• F••••••• L••
- A•••• M••••••••• F•••••• C•••• · Memberindirect · owns 75% or more of A•• A••••••••• L••
- A•••• M••••••••• F••••••• L•• · Memberindirect · owns 75% or more of A•••••• F•••••• L••
- C•• P•••••••• L•• · General Partnerindirect · owns F of R•••••••• O••••••••• M••••••••• L•••
- C••••• S••••• ••••• I•• · Shareholderindirect · owns 75% or more of C••• A••••••• H•••••• C•••
- C••••• S••••• ••••• I•• · Memberindirect · owns 75% or more of C••••• S••••• H••• H••••••• L••
- C••••• S••••• H••• H••••••• L•• · Shareholderindirect · owns 75% or more of A•••• M••••••••• F•••••• C••••
- C••••• S••••• H••••••• ••••• I••• · Shareholderindirect · owns 75% or more of C••••• S••••• ••••• I••
- C••••• S•••••• A• · Shareholderindirect · owns 75% or more of C••••• S••••• H••••••• ••••• I•••
- R••••• M••••••••• L••••• · General Partnerindirect · owns F of R•••••••• O••••••••• M••••••••• L•••
- U•• G•••• A• · Shareholderindirect · owns 75% or more of C••••• S•••••• A• · public reporting company
- A•••••• F•••••• L•• · Limited Partnerdirect · owns 10% to 25%
- C••• A••••••• H•••••• C••• · Shareholderindirect · owns F of A•••• M••••••••• F•••••• C••••
Related persons
Schedule D 7.A
- R••• G•• L••pooled vehicle sponsorn
- R•• G•• L••pooled vehicle sponsorn
- R•••••••• C•••••• G••••• L••pooled vehicle sponsorn
- R•••••••• S•••••••• P••••••• F••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · to unsetAug 28, 2026 to Sep 15, 2026
- Private funds · 5 to unsetAug 28, 2026 to Sep 15, 2026
- Succession · false to unsetAug 28, 2026 to Sep 15, 2026
- Accounts · 5 to 6Mar 31, 2025 to Mar 31, 2026
- Advisory activities · 4 to 2Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 5 to 6Mar 31, 2025 to Mar 31, 2026
- Assets in custody · unset to 364762933.0Mar 31, 2025 to Mar 31, 2026
- Custody of client assets · false to trueMar 31, 2025 to Mar 31, 2026
- Employees · 9 to 8Mar 31, 2025 to Mar 31, 2026
- Other offices · 0 to 2Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $437M to $365MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $437M to $365MMar 31, 2025 to Mar 31, 2026
- RAUM · $437M to $365MMar 31, 2025 to Mar 31, 2026
- Related adviser · false to trueMar 31, 2025 to Mar 31, 2026
- Related broker-dealer · false to trueMar 31, 2025 to Mar 31, 2026
- Financial planning clients · unset to Jan 17, 2025 to Mar 31, 2025
- Discretionary RAUM · $538M to $437MJan 17, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $538M to $437MJan 17, 2025 to Mar 31, 2025
- RAUM · $538M to $437MJan 17, 2025 to Mar 31, 2025
- Accounts · 8 to 5Aug 1, 2023 to Mar 28, 2024
- Advisory employees · 6 to 3Aug 1, 2023 to Mar 28, 2024
- Pooled vehicle clients · 8 to 5Aug 1, 2023 to Mar 28, 2024
- Employees · 15 to 9Aug 1, 2023 to Mar 28, 2024
- Private funds · 8 to 5Aug 1, 2023 to Mar 28, 2024
- Discretionary RAUM · $2.2B to $538MAug 1, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $2.2B to $538MAug 1, 2023 to Mar 28, 2024
- RAUM · $2.2B to $538MAug 1, 2023 to Mar 28, 2024
- Related bank · true to falseAug 1, 2023 to Mar 28, 2024
- Assets in custody · 2093841103.0 to unsetJul 15, 2022 to Mar 27, 2023
- Custody of client assets · true to falseJul 15, 2022 to Mar 27, 2023
- Discretionary RAUM · $2.1B to $2.2BJul 15, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $2.1B to $2.2BJul 15, 2022 to Mar 27, 2023
- RAUM · $2.1B to $2.2BJul 15, 2022 to Mar 27, 2023
- Advisory employees · 8 to 6Jul 12, 2021 to Mar 17, 2022
- Assets in custody · $2.3B to $2.1BJul 12, 2021 to Mar 17, 2022
- Discretionary RAUM · $2.3B to $2.1BJul 12, 2021 to Mar 17, 2022
- Pooled vehicle RAUM · $2.3B to $2.1BJul 12, 2021 to Mar 17, 2022
- RAUM · $2.3B to $2.1BJul 12, 2021 to Mar 17, 2022
- Pooled vehicle clients · 10 to 8Aug 21, 2020 to Mar 22, 2021
- Assets in custody · $2.5B to $2.3BAug 21, 2020 to Mar 22, 2021
Signals
5 dated events
- R•••••••• O••••••••• L••• reported RAUM $538.2M, down 76% from $2.2B (2023-08-01 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Peter Stephen Cho (Chief Compliance Officer) no longer on Schedule A of R•••••••• O••••••••• L••• (listed 2019-04-05, absent 2019-09-12)Sep 12, 2019 · Control person left · inference
- R•••••••• O••••••••• L••• reported RAUM $2.9B, down 35% from $4.5B (2018-05-29 to 2019-03-27)Mar 27, 2019 · RAUM change · derived
- Lesher Emily Henry (Chief Operating Officer) no longer on Schedule A of R•••••••• O••••••••• L••• (listed 2018-05-29, absent 2019-03-27)Mar 27, 2019 · Control person left · inference
- R•••••••• O••••••••• L••• reported RAUM $4.5B, down 32% from $6.6B (2017-07-24 to 2018-03-28)Mar 28, 2018 · RAUM change · derived
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••••••••-CAPITAL-GROUPreportedpublic record, Form ADV, Sep 19, 2026
- Website
- R••••••••CAP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-610-9000reportedpublic record, Form ADV, Sep 15, 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
- $365Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026