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•• S•• C•••••• G••••• L••
Latest filing Mar 30, 2015
First filing on the tape Dec 1, 2011 · 6 filings
RAUM
$20.0M
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
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$20.0M gross assets
History
6 filings and snapshots on the tape
RAUM$20.0M as of Mar 30, 2015
Mar 29, 2012$41.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2015
Mar 29, 20120 then
Employees (5.A)2 as of Mar 30, 2015
Mar 28, 20134 then
Private funds1 as of Mar 30, 2015
Mar 29, 20121 then
RAUM -26% over the last fiscal year-22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2015; 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
- $10.0MderivedRAUM 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
- -26%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
- 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)
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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•• S•• I••••••••• T•••• | Private Equity Fund | $20.0M | 15 | Dec 1, 2011 |
Owners and control persons
Schedule A and B, latest filing
- L•• W•• · Manager, Chief Compliance Officercontrolsince 02/2011 · owns less than 5%
- L•• W•• · Managing Membercontrolsince 03/2014 · owns 75% or more of R•• S•• H•••••••• L••
- L••• Y••••• · Managing Membersince 03/2014 · owns F of R•• S•• H•••••••• L••
- T••• Y• · Managing Membersince 03/2014 · owns F of R•• S•• H•••••••• L••
Entity owners
- R•• S•• H•••••••• L•• · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $25.3M to $20.0MJul 7, 2014 to Mar 30, 2015
- RAUM · $25.3M to $20.0MJul 7, 2014 to Mar 30, 2015
- Advisory activities · 3 to 2Mar 31, 2014 to Jul 7, 2014
- Discretionary RAUM · $27.0M to $25.3MMar 31, 2014 to Jul 7, 2014
- RAUM · $27.0M to $25.3MMar 31, 2014 to Jul 7, 2014
- Advisory employees · 3 to 1Mar 28, 2013 to Mar 31, 2014
- Employees · 4 to 2Mar 28, 2013 to Mar 31, 2014
- HQ city · unset to SEATTLEMar 28, 2013 to Mar 31, 2014
- HQ state · unset to WAMar 28, 2013 to Mar 31, 2014
- Discretionary RAUM · $35.1M to $27.0MMar 28, 2013 to Mar 31, 2014
- RAUM · $35.1M to $27.0MMar 28, 2013 to Mar 31, 2014
- Advisory employees · unset to 3.0Mar 29, 2012 to Mar 28, 2013
- Employees · unset to 4.0Mar 29, 2012 to Mar 28, 2013
- Discretionary RAUM · $41.4M to $35.1MMar 29, 2012 to Mar 28, 2013
- RAUM · $41.4M to $35.1MMar 29, 2012 to Mar 28, 2013
- Discretionary RAUM · $36.5M to $41.4MDec 1, 2011 to Mar 29, 2012
- RAUM · $36.5M to $41.4MDec 1, 2011 to Mar 29, 2012
- Related adviser · true to falseDec 1, 2011 to Mar 29, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- R•• S•• C•••••• G••••• L•• · Private Equityshared crd · organization
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