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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

R•••• C••••••

Former SEC-registered adviserStamford, ConnecticutCRD 159657SEC 801-79880IAPD
Legal name R•••• C•••••• P•••••••• L••
Latest filing Mar 7, 2018
First filing on the tape Jun 2, 2014 · 21 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$84.6M as of Feb 2, 2017
Mar 31, 2015$7.0M then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 7, 2018
Mar 31, 20154 then
Employees (5.A)0 as of Mar 7, 2018
Mar 31, 20155 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 0
Practice profile
derived from the filing of Mar 7, 2018; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
otherreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
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
Every departureEvery arrival
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
B••••••••• C•••••• R••• P••••••• L•no longer reportedReal Estate Fund$2.0M1Jun 2, 2014
Owners and control persons
Schedule A and B, latest filing
  • K••••• K•••• · Ciocontrol
    since 10/2011 · owns less than 5%
  • P•••••••• G••••••• K•••• · Ceocontrol
    since 02/2012 · owns less than 5%
  • C••••• T•••• M•••••• · Ownercontrol
    since 11/2015 · owns 75% or more of C•••• C••••••• L••
  • K••••• K•••• · Ownercontrol
    since 12/2011 · owns 75% or more of K•••• • C•••••• L••
  • P•••••••• G••••••• K•••• · Ownercontrol
    since 02/2012 · owns 75% or more of G•• C•••••• L••
  • S••••••••• G•••• J••••• · Chief Compliance Officer
    since 10/2013 · owns less than 5%
  • B••••••••• R•• · Owner
    since 08/2011 · owns 75% or more of R•• H••••••• C••••••••• L••
  • L•••••• L•••••••• A••• · Owner
    since 11/2016 · owns 50% to 75% of P• 2•• L••
Entity owners
  • C•••• C••••••• L•• · Owner
    direct · owns 5% to 10%
  • G•• C•••••• L•• · Owner
    direct · owns 25% to 50%
  • K•••• • C•••••• L•• · Owner
    direct · owns 25% to 50%
  • P• 2•• L•• · Owner
    direct · owns 10% to 25%
  • R•• H••••••• C••••••••• L•• · Owner
    direct · owns 10% to 25%
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
  • Accounts · 12.0 to unset
    Sep 25, 2017 to Mar 7, 2018
  • Advisory employees · 3 to 0
    Sep 25, 2017 to Mar 7, 2018
  • Advisory activities · 2 to 1
    Sep 25, 2017 to Mar 7, 2018
  • BD registered reps · 2 to 0
    Sep 25, 2017 to Mar 7, 2018
  • Charity clients · unset to 0.0
    Sep 25, 2017 to Mar 7, 2018
  • Corporate clients · unset to 0.0
    Sep 25, 2017 to Mar 7, 2018
  • HNW clients · unset to 0.0
    Sep 25, 2017 to Mar 7, 2018
  • Individual clients · unset to 0.0
    Sep 25, 2017 to Mar 7, 2018
  • Pension plan clients · unset to 0.0
    Sep 25, 2017 to Mar 7, 2018
  • Pooled vehicle clients · unset to 0.0
    Sep 25, 2017 to Mar 7, 2018
  • Employees · 5 to 0
    Sep 25, 2017 to Mar 7, 2018
  • State-registered IARs · 2 to 0
    Sep 25, 2017 to Mar 7, 2018
  • Other offices · unset to 1.0
    Sep 25, 2017 to Mar 7, 2018
  • Discretionary RAUM · 72000000.0 to unset
    Sep 25, 2017 to Mar 7, 2018
  • HNW RAUM · unset to 0.0
    Sep 25, 2017 to Mar 7, 2018
  • Individual RAUM · unset to 0.0
    Sep 25, 2017 to Mar 7, 2018
  • Non-discretionary RAUM · 0.0 to unset
    Sep 25, 2017 to Mar 7, 2018
  • Pension RAUM · unset to 0.0
    Sep 25, 2017 to Mar 7, 2018
  • Pooled vehicle RAUM · unset to 0.0
    Sep 25, 2017 to Mar 7, 2018
  • RAUM · 72000000.0 to unset
    Sep 25, 2017 to Mar 7, 2018
  • Discretionary RAUM · $84.6M to $72.0M
    Jun 8, 2017 to Sep 25, 2017
  • RAUM · $84.6M to $72.0M
    Jun 8, 2017 to Sep 25, 2017
  • Related adviser · true to false
    May 18, 2017 to May 18, 2017
  • Advisory activities · 1 to 2
    Oct 25, 2016 to Feb 2, 2017
  • Employees · 4 to 5
    Oct 25, 2016 to Feb 2, 2017
  • Discretionary RAUM · $92.9M to $84.6M
    Oct 25, 2016 to Feb 2, 2017
  • RAUM · $92.9M to $84.6M
    Oct 25, 2016 to Feb 2, 2017
  • Accounts · 10 to 12
    Aug 30, 2016 to Sep 14, 2016
  • Discretionary RAUM · $71.0M to $92.9M
    Aug 30, 2016 to Sep 14, 2016
  • RAUM · $71.0M to $92.9M
    Aug 30, 2016 to Sep 14, 2016
  • HQ city · GREENWICH to STAMFORD
    May 3, 2016 to Aug 30, 2016
  • Accounts · 18 to 10
    Feb 22, 2016 to Mar 25, 2016
  • Advisory employees · 4 to 3
    Feb 22, 2016 to Mar 25, 2016
  • BD registered reps · 0 to 2
    Feb 22, 2016 to Mar 25, 2016
  • Business name · R•••• C•••••• P•••••••• L•• to R•••• C••••••
    Feb 22, 2016 to Mar 25, 2016
  • Employees · 5 to 4
    Feb 22, 2016 to Mar 25, 2016
  • Insurance-licensed employees · 2 to 0
    Feb 22, 2016 to Mar 25, 2016
  • State-registered IARs · 4 to 2
    Feb 22, 2016 to Mar 25, 2016
  • Discretionary RAUM · $7.0M to $71.0M
    Feb 22, 2016 to Mar 25, 2016
  • RAUM · $7.0M to $71.0M
    Feb 22, 2016 to Mar 25, 2016
Signals
1 dated events
  • R•••• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
    Jun 2, 2014 · First SEC registration · 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
Across the graphs

R•••• C•••••• 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.

Checking your plan…