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••• E••••• L••

Former SEC-registered adviserNew York, New YorkCRD 157365SEC 801-74489IAPD
Latest filing Sep 29, 2020
First filing on the tape Mar 1, 2012 · 20 filings
RAUM
$366M
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
79
11 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$366M as of Feb 11, 2020
Dec 5, 2012$689M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 11, 2020
Dec 5, 20120 then
Employees (5.A)79 as of Feb 11, 2020
Dec 5, 201262 then
Private funds2 as of Dec 11, 2013
Dec 5, 20122 then
RAUM +33% over the last fiscal year+32% a year over threeIARs 0 to 0offices 5 to 3
Practice profile
derived from the filing of Sep 29, 2020; 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
$366MderivedRAUM 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
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
+33%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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$366M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      R••••••• R••• E••••• F•••••• C•• 2•••••• L•••no longer reportedSecuritized Asset Fund$415M20Mar 1, 2012
      R••••••• R••• E••••• F•••••• C•• 2•••••• L•••no longer reportedSecuritized Asset Fund$274M23Mar 1, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• J••••• A••••• · Executive Vice Presidentcontrol
        since 09/2016 · owns less than 5%
      • B••••• L•••••••• S••••• · Svp, Cco & Asst Scty; Member Board Of M••••••Scontrol
        since 09/2016 · owns less than 5%
      • C•••••••• G•••••• E••••• · Executive Vice Presidentcontrol
        since 09/2016 · owns less than 5%
      • C••••• J••••••• P•••••• · Executive Vice President; Member Board Of M••••••Scontrol
        since 09/2016 · owns less than 5%
      • H••••••• P•••• A••••• · Executive Vice President; Member Board Of M••••••Scontrol
        since 09/2016 · owns less than 5%
      • L•••• M••• · Executive Vice Presidentcontrol
        since 09/2016 · owns less than 5%
      • L•••••• R•••••• C•••• · Executive Vice Presidentcontrol
        since 09/2016 · owns less than 5%
      • S••••• M••••••• J•• · Executive Vice Presidentcontrol
        since 09/2016 · owns less than 5%
      • W•••••••• G•••••••• H••••••• · Executive Vice Presidentcontrol
        since 09/2016 · owns less than 5%
      • A••••• J••••• A••••• · Member Of Board Of M••••••Scontrol
        since 01/2019 · owns F of C•••• C•••••• P••••••• L••
      • C••••• J••••••• P•••••• · Member Of Board Of M••••••Scontrol
        since 02/2010 · owns F of C•••• C•••••• P••••••• L••
      • F•••••• A•••••• L••••••• · Membercontrol
        since 07/2003 · owns 75% or more of I••••• C•••••• G•••• L••
      • F•••••• A•••••• L••••••• · Member Of Board Of M••••••Scontrol
        since 02/2010 · owns F of C•••• C•••••• P••••••• L••
      • J••••••••• M••••••• G•••••• · Member Of Board Of M••••••Scontrol
        since 05/2012 · owns F of C•••• C•••••• P••••••• L••
      • R••••••• S•••••• J••••• · Member Of Board Of M••••••Scontrol
        since 02/2010 · owns F of C•••• C•••••• P••••••• L••
      • G•••• M••••••••• F••••• · Vice President-Compliance And Assistant Secretary
        since 03/2018 · owns less than 5%
      Entity owners
      • R••••••• R••• E••••• H•••••••• L•• · Sole Member
        direct · owns 75% or more
      • A••••• A••••••• L•• · Member
        indirect · owns 75% or more of I••••• C•••• M•••••• L••
      • C•••• C•••••• P••••••• L•• · Sole Shareholder
        indirect · owns 75% or more of R••••••• A••••••• I•••
      • I••••• C•••• D••••••••• I• L•• · Managing Member
        indirect · owns F of I••••• C•••• H••••••• I• L••
      • I••••• C•••• D••••••••• L•• · Managing Member
        indirect · owns F of I••••• C•••• H••••••• L••
      • I••••• C•••• H••••••• I• L•• · Member
        indirect · owns 25% to 50% of C•••• C•••••• P••••••• L••
      • I••••• C•••• H••••••• L•• · Member
        indirect · owns 25% to 50% of C•••• C•••••• P••••••• L••
      • I••••• C•••• M•••••• L•• · M••••••
        indirect · owns F of C•••• C•••••• P••••••• L••
      • I••••• C•••••• G•••• L•• · Member
        indirect · owns 75% or more of A••••• A••••••• L••
      • I••••• C•••••• G•••• L•• · Member
        indirect · owns 75% or more of I••••• C••••I D••••••••• LLC
      • I••••• C•••••• G•••• L•• · Member
        indirect · owns 75% or more of I••••• C•••• D••••••••• L••
      • R••••••• A••••••• I••• · Sole Member
        indirect · owns 75% or more of R••••••• R••• E••••• H•••••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list R••••••• R••• E••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Philadelphia, PA2 employees
      • Greenville, SC1 employees
      • New York, NY1 employees
      What changed
      consecutive filings, newest first
      • Other offices · 4 to 3
        Feb 11, 2020 to Aug 3, 2020
      • Advisory employees · 12 to 11
        Aug 26, 2019 to Feb 11, 2020
      • Employees · 113 to 79
        Aug 26, 2019 to Feb 11, 2020
      • Other offices · 5 to 4
        Aug 26, 2019 to Feb 11, 2020
      • Discretionary RAUM · $274M to $366M
        Aug 26, 2019 to Feb 11, 2020
      • RAUM · $274M to $366M
        Aug 26, 2019 to Feb 11, 2020
      • Advisory employees · 15 to 12
        Jan 2, 2019 to Mar 12, 2019
      • BD registered reps · 3 to 4
        Jan 2, 2019 to Mar 12, 2019
      • Employees · 45 to 113
        Jan 2, 2019 to Mar 12, 2019
      • Discretionary RAUM · $248M to $274M
        Jan 2, 2019 to Mar 12, 2019
      • RAUM · $248M to $274M
        Jan 2, 2019 to Mar 12, 2019
      • Other offices · 4 to 5
        Mar 29, 2018 to Jun 27, 2018
      • BD registered reps · 4 to 3
        Mar 1, 2018 to Mar 29, 2018
      • Other offices · 1 to 4
        Mar 1, 2018 to Mar 29, 2018
      • Advisory employees · 10 to 15
        Feb 5, 2018 to Mar 1, 2018
      • Business name · R••••••• R••• E•••••• I••• to R••••••• R••• E••••• L••
        Feb 5, 2018 to Mar 1, 2018
      • Employees · 78 to 45
        Feb 5, 2018 to Mar 1, 2018
      • Legal name · R••••••• R••• E•••••• I••• to R••••••• R••• E••••• L••
        Feb 5, 2018 to Mar 1, 2018
      • Other offices · 2 to 1
        Feb 5, 2018 to Mar 1, 2018
      • Discretionary RAUM · $221M to $248M
        Feb 5, 2018 to Mar 1, 2018
      • RAUM · $221M to $248M
        Feb 5, 2018 to Mar 1, 2018
      • Related insurance company · true to false
        Feb 5, 2018 to Mar 1, 2018
      • Succession · true to false
        Feb 5, 2018 to Mar 1, 2018
      • Charity clients · unset to 0.0
        Sep 29, 2017 to Feb 5, 2018
      • Corporate clients · unset to 0.0
        Sep 29, 2017 to Feb 5, 2018
      • HNW clients · unset to 0.0
        Sep 29, 2017 to Feb 5, 2018
      • Individual clients · unset to 0.0
        Sep 29, 2017 to Feb 5, 2018
      • Pension plan clients · unset to 0.0
        Sep 29, 2017 to Feb 5, 2018
      • Pooled vehicle clients · unset to 0.0
        Sep 29, 2017 to Feb 5, 2018
      • Other offices · unset to 2.0
        Sep 29, 2017 to Feb 5, 2018
      • Organization form · Corporation to Limited Liability Company
        Sep 29, 2017 to Feb 5, 2018
      • Succession · false to true
        Sep 29, 2017 to Feb 5, 2018
      • BD registered reps · 3 to 4
        Feb 17, 2017 to Sep 29, 2017
      • Discretionary RAUM · $161M to $221M
        Feb 17, 2017 to Sep 29, 2017
      • RAUM · $161M to $221M
        Feb 17, 2017 to Sep 29, 2017
      • BD registered reps · 2 to 3
        Sep 9, 2016 to Feb 17, 2017
      • Employees · 65 to 78
        Sep 9, 2016 to Feb 17, 2017
      • Discretionary RAUM · $151M to $161M
        Sep 9, 2016 to Feb 17, 2017
      • RAUM · $151M to $161M
        Sep 9, 2016 to Feb 17, 2017
      • Discretionary RAUM · $93.5M to $151M
        Mar 2, 2016 to Sep 9, 2016
      Signals
      12 dated events
      • Charles Thomas Elliott (Senior Vice President, Treasurer; Member Board Of Managers) no longer on Schedule A of R••••••• R••• E••••• L•• (listed 2020-08-03, absent 2020-09-29)
        Sep 29, 2020 · Control person left · inference
      • F•••• A••• F•••••• (Chief Executive Officer & President; Member Board Of Managers) no longer on Schedule A of R••••••• R••• E••••• L•• (listed 2020-08-03, absent 2020-09-29)
        Sep 29, 2020 · Control person left · inference
      • Robin Michele Weisbaum (Svp, General Counsel, & Secretary) no longer on Schedule A of R••••••• R••• E••••• L•• (listed 2020-08-03, absent 2020-09-29)
        Sep 29, 2020 · Control person left · inference
      • R••• S••••• S••••••• (Senior Vice President & Chief Financial Officer) no longer on Schedule A of R••••••• R••• E••••• L•• (listed 2020-08-03, absent 2020-09-29)
        Sep 29, 2020 · Control person left · inference
      • L Peggy Gold (Senior Vice President) no longer on Schedule A of R••••••• R••• E••••• L•• (listed 2020-08-03, absent 2020-09-29)
        Sep 29, 2020 · Control person left · inference
      • Hallowell Darryl Myrose (Senior Vice President) no longer on Schedule A of R••••••• R••• E••••• L•• (listed 2019-01-02, absent 2019-03-12)
        Mar 12, 2019 · Control person left · inference
      • Gervase Kyle Geoghegan (Senior Vice President) no longer on Schedule A of R••••••• R••• E••••• L•• (listed 2019-01-02, absent 2019-03-12)
        Mar 12, 2019 · Control person left · inference
      • Patrick Marshall Hayes (Managing Director And Executive Vice President) no longer on Schedule A of R••••••• R••• E••••• L•• (listed 2019-01-02, absent 2019-03-12)
        Mar 12, 2019 · Control person left · inference
      • Martin Caverly (Senior Vice President) no longer on Schedule A of R••••••• R••• E••••• L•• (listed 2019-01-02, absent 2019-03-12)
        Mar 12, 2019 · Control person left · inference
      • Yvana Rizzo (Senior Vice President) no longer on Schedule A of R••••••• R••• E••••• L•• (listed 2019-01-02, absent 2019-03-12)
        Mar 12, 2019 · Control person left · inference
      • Mcmurry F•••• Garrison (Member Of Board Of Managers) no longer on Schedule A of R••••••• R••• E••••• L•• (listed 2018-06-27, absent 2019-01-02)
        Jan 2, 2019 · Control person left · inference
      • R••••••• R••• E•••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Feb 5, 2018 · Succession (Item 4) · fact
      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