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.

Former SEC-registered adviser

Rain Capital Management

Former SEC-registered adviserLake Oswego, OregonCRD 158996SEC 801-72744IAPD
Legal name Rain Capital Management, LLC
Latest filing Mar 28, 2024
First filing on the tape Feb 9, 2012 · 23 filings
RAUM
$379M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$372M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$379M as of Mar 28, 2024
Mar 28, 2012$117M then
HNW client RAUM$362M as of Mar 28, 2024
Mar 23, 2018$309M then
State-registered IARs (5.B.3)3 as of Mar 28, 2024
Mar 28, 20120 then
Employees (5.A)6 as of Mar 28, 2024
Mar 14, 20134 then
Private funds: no history
RAUM +0.8% over the last fiscal year+0.2% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 28, 2024; every figure names its basis
RAUM per advisor
$126MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
68derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$556,535derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.8%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+11%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
Custody
$160M, 134 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$362M96%
  • Individuals$10.0M2.6%
  • Pension and profit-sharing plans$4.0M1.1%
  • Charitable organizations$2.0M0.5%
  • Corporations and businesses$1.0M0.3%
Individual clients
30reported
HNW clients
173reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
681reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$160M for 134 clientsreported
Compensation
% of AUM, fixedreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Enrico Chris Abbruzzese · Chief Investment Officercontrol
      since 11/2011 · owns less than 5%
    • Ellen Chingyee Kim · Managing Director And Chief Operations Officercontrol
      since 10/2011 · owns 50% to 75%
    • John David Reichle · Managing Director And Chief Compliance Officercontrol
      since 09/2011 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Lake Oswego, Or · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 714 to 681
      Dec 5, 2023 to Mar 28, 2024
    • HNW clients · 163 to 173
      Dec 5, 2023 to Mar 28, 2024
    • Individual clients · 20 to 30
      Dec 5, 2023 to Mar 28, 2024
    • Assets in custody · $163M to $160M
      Dec 5, 2023 to Mar 28, 2024
    • Discretionary RAUM · $376M to $379M
      Dec 5, 2023 to Mar 28, 2024
    • HNW RAUM · $351M to $362M
      Dec 5, 2023 to Mar 28, 2024
    • Individual RAUM · $5.0M to $10.0M
      Dec 5, 2023 to Mar 28, 2024
    • RAUM · $376M to $379M
      Dec 5, 2023 to Mar 28, 2024
    • Accounts · 684 to 714
      Jul 18, 2022 to Mar 27, 2023
    • HNW clients · 172 to 163
      Jul 18, 2022 to Mar 27, 2023
    • Assets in custody · $174M to $163M
      Jul 18, 2022 to Mar 27, 2023
    • Discretionary RAUM · $437M to $376M
      Jul 18, 2022 to Mar 27, 2023
    • HNW RAUM · $394M to $351M
      Jul 18, 2022 to Mar 27, 2023
    • Individual RAUM · $20.0M to $5.0M
      Jul 18, 2022 to Mar 27, 2023
    • Pension RAUM · $6.5M to $4.0M
      Jul 18, 2022 to Mar 27, 2023
    • RAUM · $437M to $376M
      Jul 18, 2022 to Mar 27, 2023
    • Accounts · 655 to 684
      Mar 26, 2021 to Mar 31, 2022
    • HNW clients · 154 to 172
      Mar 26, 2021 to Mar 31, 2022
    • Individual clients · 15 to 20
      Mar 26, 2021 to Mar 31, 2022
    • Assets in custody · $190M to $174M
      Mar 26, 2021 to Mar 31, 2022
    • HQ city · PORTLAND to LAKE OSWEGO
      Mar 26, 2021 to Mar 31, 2022
    • Other offices · 1 to 0
      Mar 26, 2021 to Mar 31, 2022
    • Discretionary RAUM · $377M to $437M
      Mar 26, 2021 to Mar 31, 2022
    • HNW RAUM · $353M to $394M
      Mar 26, 2021 to Mar 31, 2022
    • Individual RAUM · $5.0M to $20.0M
      Mar 26, 2021 to Mar 31, 2022
    • Pension RAUM · $6.0M to $6.5M
      Mar 26, 2021 to Mar 31, 2022
    • RAUM · $377M to $437M
      Mar 26, 2021 to Mar 31, 2022
    • Accounts · 650 to 655
      Oct 1, 2020 to Mar 26, 2021
    • HNW clients · 147 to 154
      Oct 1, 2020 to Mar 26, 2021
    • Individual clients · 45 to 15
      Oct 1, 2020 to Mar 26, 2021
    • Assets in custody · $175M to $190M
      Oct 1, 2020 to Mar 26, 2021
    • Employees · 5 to 6
      Oct 1, 2020 to Mar 26, 2021
    • Financial planning clients · 11-25 to 0
      Oct 1, 2020 to Mar 26, 2021
    • State-registered IARs · 4 to 3
      Oct 1, 2020 to Mar 26, 2021
    • Discretionary RAUM · $354M to $377M
      Oct 1, 2020 to Mar 26, 2021
    • HNW RAUM · $282M to $353M
      Oct 1, 2020 to Mar 26, 2021
    • Individual RAUM · $53.2M to $5.0M
      Oct 1, 2020 to Mar 26, 2021
    • Pension RAUM · $5.1M to $6.0M
      Oct 1, 2020 to Mar 26, 2021
    • RAUM · $354M to $377M
      Oct 1, 2020 to Mar 26, 2021
    • Other offices · 0 to 1
      Jun 4, 2020 to Oct 1, 2020
    Signals
    4 dated events
    • Christopher Enrico Abbruzzese left Rain Capital Management for Robertson Stephens (registered 2024-07-12)
      Aug 26, 2024 · Advisor changed firm · fact
    • Chingyee Ellen Kim left Rain Capital Management for Robertson Stephens (registered 2024-07-01)
      Aug 26, 2024 · Advisor changed firm · fact
    • David John Reichle left Rain Capital Management for Robertson Stephens (registered 2024-07-01)
      Aug 26, 2024 · Advisor changed firm · fact
    • Rain Capital Management's advisors moved to Robertson Stephens (Lake Oswego, OR): 3 of 3 registered, on the same day
      Aug 26, 2024 · Firm absorbed (people side) · derived
    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