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•• L•••••••

Former SEC-registered adviserNew York, New YorkCRD 158163SEC 801-73878IAPD
Legal name R•• L••••••• E••••• M••••••••• L••
Latest filing May 17, 2017
First filing on the tape Feb 14, 2012 · 9 filings
RAUM
$398M
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
17
11 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$398M gross assets
History
9 filings and snapshots on the tape
RAUM$398M as of Mar 29, 2017
Mar 28, 2013$829M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2017
Mar 28, 20130 then
Employees (5.A)17 as of Mar 29, 2017
Mar 28, 201325 then
Private funds2 as of Mar 29, 2017
Mar 28, 20132 then
RAUM -26% over the last fiscal year-18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 17, 2017; 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
$199MderivedRAUM 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 pooled vehicles, otherreportedItem 5.G
Custody
yesreportedItem 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
  • 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)
  • 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
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
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• M••••••• D•••• · Membercontrol
        since 03/2006 · owns 5% to 10%
      • A•••••••• J••• I•••• · Membercontrol
        since 03/2006 · owns 75% or more of R•• A••••••• O••••••••• F•••• L••
      • E•••••••• J•••••••• M• · Membercontrol
        since 03/2006 · owns 75% or more of R•• E••••••• O••••••••• F•••• L••
      • F•••• J••••••• J• · Membercontrol
        since 03/2006 · owns 75% or more of F••• O••••••••• L••
      • O•••••• M•••••• L• · Membercontrol
        since 03/2006 · owns 75% or more of R•• F••• M•• G•• L••
      • G•••••• R••••••• L• · Managing Director
        since 11/2007 · owns less than 5%
      • M•••••••• C••••••••• · Chief Financial Officer
        since 12/2008 · owns less than 5%
      • S•••••• A•••••• J••• · Chief Compliance Officer
        since 01/2015 · owns less than 5%
      Entity owners
      • F••• O••••••••• L•• · Member
        direct · owns 10% to 25%
      • R•• A••••••• O••••••••• F•••• L•• · Member
        direct · owns 10% to 25%
      • R•• E••••••• O••••••••• F•••• L•• · Member
        direct · owns 10% to 25%
      • R•• F••• M•• G•• L•• · Member
        direct · owns 10% to 25%
      • R•• R• M••••••• L•• · Member
        direct · owns 25% to 50%
      • C•••• I••• · Member
        indirect · owns 75% or more of C•••• I••••••••• M••••••••• L•• · public reporting company
      • E•••• I•••••••• G••••• L••• · Member
        indirect · owns 75% or more of R•• R• M••••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list R•• L••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $537M to $398M
        Mar 28, 2016 to Mar 29, 2017
      • RAUM · $537M to $398M
        Mar 28, 2016 to Mar 29, 2017
      • Advisory employees · 10 to 11
        Mar 26, 2015 to Mar 28, 2016
      • BD registered reps · 1 to 0
        Mar 26, 2015 to Mar 28, 2016
      • Employees · 25 to 17
        Mar 26, 2015 to Mar 28, 2016
      • Discretionary RAUM · $689M to $537M
        Mar 26, 2015 to Mar 28, 2016
      • RAUM · $689M to $537M
        Mar 26, 2015 to Mar 28, 2016
      • BD registered reps · 0 to 1
        Mar 27, 2014 to Mar 25, 2015
      • Assets in custody · unset to 0.0
        Mar 27, 2014 to Mar 25, 2015
      • Custody of client assets · false to true
        Mar 27, 2014 to Mar 25, 2015
      • Employees · 19 to 25
        Mar 27, 2014 to Mar 25, 2015
      • Discretionary RAUM · $716M to $689M
        Mar 27, 2014 to Mar 25, 2015
      • RAUM · $716M to $689M
        Mar 27, 2014 to Mar 25, 2015
      • Accounts · 1 to 2
        Mar 28, 2013 to Mar 27, 2014
      • Advisory employees · 15 to 10
        Mar 28, 2013 to Mar 27, 2014
      • Employees · 25 to 19
        Mar 28, 2013 to Mar 27, 2014
      • Discretionary RAUM · $829M to $716M
        Mar 28, 2013 to Mar 27, 2014
      • RAUM · $829M to $716M
        Mar 28, 2013 to Mar 27, 2014
      • Advisory employees · unset to 15.0
        Mar 14, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Mar 14, 2012 to Mar 28, 2013
      • Employees · unset to 25.0
        Mar 14, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Mar 14, 2012 to Mar 28, 2013
      • Private funds · 1 to 2
        Mar 14, 2012 to Mar 28, 2013
      • Discretionary RAUM · $518M to $829M
        Mar 14, 2012 to Mar 28, 2013
      • RAUM · $518M to $829M
        Mar 14, 2012 to Mar 28, 2013
      • Related bank · false to true
        Mar 14, 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
      Across the graphs

      R•• L••••••• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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