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•••• C•••••• L••
Latest filing May 5, 2026
First filing on the tape Feb 14, 2012 · 41 filings
SEC status approved since Mar 30, 2012
RAUM
$2.8B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
0.1%
$3.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
183
106 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
37
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$2.8B as of May 5, 2026
Apr 1, 2013$672M then
HNW client RAUM$3.5M as of May 5, 2026
Mar 30, 2021$100,000 then
State-registered IARs (5.B.3)0 as of May 5, 2026
Apr 1, 20130 then
Employees (5.A)183 as of May 5, 2026
Apr 1, 201354 then
Private funds37 as of May 5, 2026
Apr 1, 201311 then
RAUM -11% over the last fiscal year-10% a year over threeIARs 0 to 0offices 8 to 7
Practice profile
derived from the filing of May 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- 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
- $58.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%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 individuals, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.7B99%
- Corporations and businesses$7.6M0.3%
- Insurance companies$5.0M0.2%
- High-net-worth individuals$3.5M0.1%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 47reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.99 institutional_share=0.0 related_bd=true related_bank=true bd_reps=92.0derived
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
50 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••• P••••••• I• L• | Private Equity Fund | $934M | 125 | Mar 30, 2023 |
| R•••• P••••••• I•• L• | Private Equity Fund | $880M | 125 | Mar 29, 2019 |
| R•••• P••••••• I• L• | Private Equity Fund | $723M | 121 | Mar 31, 2014 |
| R•••• P••••••• I• • A•• 1• L• | Private Equity Fund | $561M | 91 | Mar 30, 2023 |
| R•••• P••••••• I•• • A•• 1• L• | Private Equity Fund | $528M | 80 | Mar 29, 2019 |
| R•••• P••••••• I•• • A•• 2• L• | Private Equity Fund | $279M | 44 | Mar 29, 2019 |
| R•••• V•••••• P••••••• I• L• | Private Equity Fund | $205M | 38 | Mar 30, 2016 |
| R•••• L••••• M••••• F••• L•no longer reported | Hedge Fund | $191M | 33 | Nov 9, 2012 |
| R•••• P••••••• I• • A•• 2• L• | Private Equity Fund | $189M | 33 | Mar 30, 2023 |
| R•••• P••••••• I• ••••••• L• | Private Equity Fund | $172M | 121 | Mar 29, 2018 |
| R•••• G••••• F••• L• | Private Equity Fund | $128M | 51 | Mar 28, 2022 |
| R•••• P••••••• I• • A•• 2• L• | Private Equity Fund | $112M | 40 | Mar 31, 2015 |
| R•••• P••••••• I• • A•• 1• L• | Private Equity Fund | $98.6M | 81 | Mar 31, 2015 |
| R•••• F• C•••••••• L•• | Private Equity Fund | $95.6M | 10 | Mar 30, 2023 |
| R••• A•• C•••••••• L•no longer reported | Private Equity Fund | $64.6M | 8 | Mar 29, 2019 |
| R•••• C••••••••• I••••••••• M••••• F••• L• | Hedge Fund | $60.0M | 14 | Mar 29, 2019 |
| R•••• V•••••• P••••••• I• L• | Private Equity Fund | $51.4M | 45 | Mar 31, 2014 |
| R•••• V•••••• P••••••• I•• L• | Private Equity Fund | $45.9M | 19 | Mar 30, 2023 |
| R•••• B•••• C•••••••• L•• | Private Equity Fund | $45.8M | 7 | Mar 30, 2016 |
| R•• • A•• 1• L• | Private Equity Fund | $35.0M | 41 | Mar 28, 2022 |
| R•••• B•••• F••• I••••••• L•• | Private Equity Fund | $31.7M | 3 | Mar 29, 2019 |
| R•••• P••••••• I• L• | Private Equity Fund | $22.1M | 52 | Feb 14, 2012 |
| R•••• M• C•••••••• L•• | Private Equity Fund | $18.2M | 46 | Mar 28, 2022 |
| R•••• V•••••• T• C•••••••• L•• | Private Equity Fund | $16.3M | 1 | Mar 31, 2014 |
| R•• • A•• 2• L• | Private Equity Fund | $15.5M | 9 | Mar 28, 2022 |
| R•••• J••••• C•••••••• L••no longer reported | Private Equity Fund | $13.9M | 2 | Feb 14, 2012 |
| R•••• J••••• C•••••••• I• L••no longer reported | Private Equity Fund | $13.5M | 2 | Feb 14, 2012 |
| R••• C•••••• C•••••••• L•• | Private Equity Fund | $11.4M | 12 | Mar 29, 2024 |
| R•••• Z•••• I• • A•• 2• L• | Private Equity Fund | $11.0M | 25 | Nov 9, 2012 |
| R•••• O••••••• C•••••••• L•• | Private Equity Fund | $7.9M | 2 | Mar 30, 2023 |
| R•••• P•••••• C•••••••• L••no longer reported | Private Equity Fund | $5.4M | 1 | Apr 1, 2013 |
| R•••• M• C•••••••• L•• | Private Equity Fund | $4.8M | 2 | Mar 31, 2015 |
| R•••• F••••••••• C•••••••• L••no longer reported | Private Equity Fund | $4.6M | 2 | Nov 9, 2012 |
| R•••• Z•••• I• • A•• 1• L• | Private Equity Fund | $4.4M | 27 | Nov 9, 2012 |
| R•••• P••••••• I• ••••••• • A•• 2• L• | Private Equity Fund | $3.5M | 25 | Mar 31, 2014 |
| R•••• C••••••••• I••••••••• •••••••• M••••• F••• L• | Hedge Fund | $2.9M | 11 | Mar 28, 2022 |
| R•••• Z•••• C•••••••• L••no longer reported | Private Equity Fund | $2.6M | 1 | Nov 9, 2012 |
| R•••• R••••••••• C•••••••• 2• L••no longer reported | Private Equity Fund | $2.4M | 1 | Mar 30, 2020 |
| R•••• V•••••• T• C•••••••• 2• L•• | Private Equity Fund | $2.3M | 1 | Mar 30, 2016 |
| R•••• R••••••••• C•••••••• 3• L••no longer reported | Private Equity Fund | $1.6M | 1 | Mar 30, 2020 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• J•••••• A•••••• · Chief Financial Officer - Management Companycontrolsince 01/2019 · owns less than 5%
- C•••••••• A•••••• J••••• · Vice President, Chief Operating Officercontrolsince 01/2024 · owns less than 5%
- G••••••• S•••••• E••••• · Chief Financial Officer - Principal Bus•••Sscontrolsince 01/2024 · owns less than 5%
- G••••••• B••••••• W••• · Partner, President, Director, Chief Legal Officercontrolsince 08/2009 · owns 5% to 10%
- R••••••• J•••••• N•• · Partner, Directorcontrolsince 08/2009 · owns 10% to 25%
- R•••••• A•••••• R•••• · Chief Compliance Officercontrolsince 09/2016 · owns less than 5%
- S•••• J••••••• A••• · Partner, Directorcontrolsince 08/2009 · owns 10% to 25%
Entity owners
- T•• R•••• G•••• L•• · Managing Memberdirect · owns 75% or more
- R•••• H••••••• L•• · Managing Memberindirect · owns 75% or more of T•• R•••• G•••• L••
Related persons
Schedule D 7.A
- R•••• A••••••• ••••••••investment advisern
- R•••• A••••••• H••• K••• L••••••broker-dealern
- R•••• A••••••• I•••• P•••••• L••••••broker-dealern
- R•••• A••••••• L••••••broker-dealern
- R•••• A••••••••• I• A•• ••••••• L•pooled vehicle sponsorn
- R•••• A••••••••• I• A•• L•pooled vehicle sponsorn
- R•••• A••••••••• I• L•pooled vehicle sponsorn
- R•••• A••••••••• I• ••••••• L•pooled vehicle sponsorn
- R•••• A••••••••• I• A•• ••••••• L•pooled vehicle sponsorn
- R•••• A••••••••• I• A•• L•pooled vehicle sponsorn
- R•••• A••••••••• I• L•pooled vehicle sponsorn
- R•••• A••••••••• I•• C••• ••• 2• G• L•pooled vehicle sponsorn
- R•••• A••••••••• I•• L•bankpooled vehicle sponsorn
- R•••• A••••••••• I•• P• ••• 1• G• L•pooled vehicle sponsorn
- R•••• A••••••••• I• C••• ••• 2• G• L•pooled vehicle sponsorn
- R•••• A••••••••• I• L•bankpooled vehicle sponsorn
- R•••• A••••••••• I• P• ••• 1• G• L•pooled vehicle sponsorn
- R•••• E••••• S••investment advisern
- R•••• G••••• A••••••••• L•bankpooled vehicle sponsorn
- R•••• S••••••••• L••broker-dealern
- R•••• S•••••••• P•••••• L••••••investment advisern
- R•••• V•••••• A••••••••• I• L•pooled vehicle sponsorn
- R•••• V•••••• A••••••••• I• L•bankpooled vehicle sponsorn
- R•••• V•••••• A••••••••• I•• L•bankpooled vehicle sponsorn
- R•• A••••••••• C••• ••• 2• G• L•pooled vehicle sponsorn
- R•• A••••••••• P• ••• 1• G• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom9 employees
- San Francisco, CA9 employees
- Mumbai, India8 employees
- Santa Monica, CA6 employees
- Central, Hong Kong3 employees
- Shanghai, China3 employees
- S••••••••, Singapore1 employees
What changed
consecutive filings, newest first
- Accounts · 46 to 47May 8, 2025 to Mar 30, 2026
- Advisory employees · 115 to 106May 8, 2025 to Mar 30, 2026
- BD registered reps · 95 to 92May 8, 2025 to Mar 30, 2026
- Pooled vehicle clients · 39 to 40May 8, 2025 to Mar 30, 2026
- Employees · 199 to 183May 8, 2025 to Mar 30, 2026
- Other offices · 8 to 7May 8, 2025 to Mar 30, 2026
- Private funds · 36 to 37May 8, 2025 to Mar 30, 2026
- Discretionary RAUM · $3.1B to $2.7BMay 8, 2025 to Mar 30, 2026
- HNW RAUM · $3.3M to $3.5MMay 8, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $33.6M to $27.3MMay 8, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $3.1B to $2.7BMay 8, 2025 to Mar 30, 2026
- RAUM · $3.1B to $2.8BMay 8, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 28, 2025 to May 8, 2025
- Discretionary RAUM · $3.1B to $3.1BMar 28, 2025 to May 8, 2025
- Pooled vehicle RAUM · $3.1B to $3.1BMar 28, 2025 to May 8, 2025
- RAUM · $3.1B to $3.1BMar 28, 2025 to May 8, 2025
- Accounts · 44 to 46May 3, 2024 to Mar 28, 2025
- Advisory employees · 111 to 115May 3, 2024 to Mar 28, 2025
- Advisory activities · 2 to 3May 3, 2024 to Mar 28, 2025
- BD registered reps · 91 to 95May 3, 2024 to Mar 28, 2025
- Corporate clients · 3.0 to unsetMay 3, 2024 to Mar 28, 2025
- HNW clients · 1.0 to unsetMay 3, 2024 to Mar 28, 2025
- Employees · 194 to 199May 3, 2024 to Mar 28, 2025
- Discretionary RAUM · $3.4B to $3.1BMay 3, 2024 to Mar 28, 2025
- HNW RAUM · $100,000 to $3.3MMay 3, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $35.3M to $33.6MMay 3, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $3.4B to $3.1BMay 3, 2024 to Mar 28, 2025
- RAUM · $3.5B to $3.1BMay 3, 2024 to Mar 28, 2025
- Accounts · 48 to 44Jan 8, 2024 to Mar 29, 2024
- Advisory employees · 102 to 111Jan 8, 2024 to Mar 29, 2024
- BD registered reps · 79 to 91Jan 8, 2024 to Mar 29, 2024
- Corporate clients · 5 to 3Jan 8, 2024 to Mar 29, 2024
- Pooled vehicle clients · 41 to 39Jan 8, 2024 to Mar 29, 2024
- Employees · 171 to 194Jan 8, 2024 to Mar 29, 2024
- Private funds · 37 to 36Jan 8, 2024 to Mar 29, 2024
- Discretionary RAUM · $3.8B to $3.4BJan 8, 2024 to Mar 29, 2024
- Non-discretionary RAUM · $34.0M to $35.3MJan 8, 2024 to Mar 29, 2024
- Pooled vehicle RAUM · $3.8B to $3.4BJan 8, 2024 to Mar 29, 2024
- RAUM · $3.8B to $3.5BJan 8, 2024 to Mar 29, 2024
- Related adviser · false to trueJan 8, 2024 to Mar 29, 2024
Signals
6 dated events
- James William Nelson (Director Of Finance) no longer on Schedule A of R•••• C•••••• L•• (listed 2024-01-08, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- Joseph Alfred Chianese (Vice President) appeared on Schedule A of R•••• C•••••• L••Mar 28, 2022 · Control person joined · fact
- Anthony Joseph Beyrouty (Chief Financial Officer - Management Company) appeared on Schedule A of R•••• C•••••• L••Jun 25, 2020 · Control person joined · fact
- Edward Steven Gannalo (Vice President Of Finance) appeared on Schedule A of R•••• C•••••• L••Jun 25, 2020 · Control person joined · fact
- James William Nelson (Vice President Of Finance) appeared on Schedule A of R•••• C•••••• L••Jun 25, 2020 · Control person joined · fact
- R•••• C•••••• L•• reported RAUM $3.4B, up 32% from $2.6B (2018-08-20 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- R•••• C•••••• L•• · Independent Sponsorsshared crd · capital_provider
- R•••• C•••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- R••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-603-5500reportedpublic record, Form ADV, May 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
- Asset manager (funds and pooled vehicles)deriveda 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