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•••••••• C•••••• L••

Former SEC-registered adviserNew York, New YorkCRD 159768SEC 801-72919IAPD
Latest filing Mar 29, 2024
First filing on the tape Nov 21, 2011 · 28 filings
RAUM
$82.7M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$82.7M as of Mar 29, 2024
Mar 28, 2012$678M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2024
Apr 1, 20130 then
Employees (5.A)1 as of Mar 29, 2024
Apr 1, 20130 then
Private funds: no history
RAUM -58% over the last fiscal year-35% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2024; 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
$82.7MderivedRAUM 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
-58%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$82.7M, 1 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
  • 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
  • Pooled investment vehicles$82.7M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$82.7M for 1 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
      • K•••• G••••••• N•• · Chief Compliance Officercontrol
        since 04/2021 · owns less than 5%
      • K•••• E•••••• R••• · Trusteecontrol
        since 04/2003 · owns F of E•• F••••• T••••
      • T••••••••• L••••••• N•• · Settlorcontrol
        since 04/2000 · owns F of E•• F••••• T••••
      • T••••••••• M••••• N•• · Manager
        since 04/2021 · owns 50% to 75%
      Entity owners
      • E•• F••••• T•••• · Member
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • C•••••• C•••••• L••••••
        bankpooled vehicle sponsorn
      • C••••••••• C•••••• C••••
        investment adviserbankpooled vehicle sponsornRAUM $82.7M
      • L•••• I••••••• B••• S•
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      • N•• A••••••• I•••
        pooled vehicle sponsorn
      • N•• A••••••••• A••••••••• I• L•
        bankpooled vehicle sponsorn
      • N•• A••••••••• A••••••••• L••
        bankpooled vehicle sponsorn
      • N•• A••••••••• M••••••••• I• L••••••
        investment adviserbankn
      • N•• A••••••••• M••••••••• L••
        investment adviserbankn
      • N•• B••••• A••••••••• L••
        investment adviserbankpooled vehicle sponsorn
      • N•• B••••• G•••••• D• R••••••• L•••
        investment advisern
      • N•• B••••• H••••••• L••
        bankpooled vehicle sponsorn
      • N•• C•••••• I•••
        investment advisernRAUM $2.0B
      • N•• E•••• A••••••••• L••
        investment adviserbankpooled vehicle sponsorn
      • N•• M••••••••• ••••••• L••
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      • N•• P••••••• A••••••••• I• L••
        bankpooled vehicle sponsorn
      • N•• P••••••• A••••••••• L••
        bankpooled vehicle sponsorn
      • N•• P••••••• M••••••••• I• L••
        investment adviserbankn
      • N•• P••••••• M••••••••• L••
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      • P••••• J•••• S•••• C•••••• ••••••••• B•••• •••• A• B••••
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      • R•••• I•••
        investment adviserbankpooled vehicle sponsorn
      Advisers that list R•••••••• C•••••• 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 · $79.0M to $82.7M
        May 17, 2023 to Mar 29, 2024
      • Pooled vehicle RAUM · $79.0M to $82.7M
        May 17, 2023 to Mar 29, 2024
      • RAUM · $79.0M to $82.7M
        May 17, 2023 to Mar 29, 2024
      • Assets in custody · $79.0M to $82.7M
        Mar 29, 2024 to Mar 29, 2024
      • Assets in custody · $193M to $79.0M
        Mar 31, 2023 to May 17, 2023
      • Discretionary RAUM · $197M to $79.0M
        Mar 31, 2023 to May 17, 2023
      • Pooled vehicle RAUM · $197M to $79.0M
        Mar 31, 2023 to May 17, 2023
      • RAUM · $197M to $79.0M
        Mar 31, 2023 to May 17, 2023
      • Assets in custody · $279M to $193M
        Jun 21, 2022 to Mar 31, 2023
      • Discretionary RAUM · $325M to $197M
        Jun 21, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $325M to $197M
        Jun 21, 2022 to Mar 31, 2023
      • RAUM · $325M to $197M
        Jun 21, 2022 to Mar 31, 2023
      • Assets in custody · $283M to $279M
        Jul 9, 2021 to Mar 31, 2022
      • Discretionary RAUM · $305M to $325M
        Jul 9, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $305M to $325M
        Jul 9, 2021 to Mar 31, 2022
      • RAUM · $305M to $325M
        Jul 9, 2021 to Mar 31, 2022
      • Succession · true to false
        Jul 9, 2021 to Mar 31, 2022
      • Business name · R•••••••• C•••••• L•••••• to R•••••••• C•••••• L••
        Jul 8, 2021 to Jul 9, 2021
      • Legal name · R•••••••• C•••••• L•••••• to R•••••••• C•••••• L••
        Jul 8, 2021 to Jul 9, 2021
      • Succession · false to true
        Jul 8, 2021 to Jul 9, 2021
      • Organization form · Corporation to Limited Liability Company
        Mar 30, 2021 to Jul 8, 2021
      • Assets in custody · $317M to $283M
        Mar 31, 2020 to Mar 30, 2021
      • Discretionary RAUM · $349M to $305M
        Mar 31, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $349M to $305M
        Mar 31, 2020 to Mar 30, 2021
      • RAUM · $349M to $305M
        Mar 31, 2020 to Mar 30, 2021
      • Assets in custody · unset to 317030355.0
        Mar 29, 2019 to Mar 31, 2020
      • Custody of client assets · false to true
        Mar 29, 2019 to Mar 31, 2020
      • Discretionary RAUM · $299M to $349M
        Mar 29, 2019 to Mar 31, 2020
      • Pooled vehicle RAUM · $299M to $349M
        Mar 29, 2019 to Mar 31, 2020
      • RAUM · $299M to $349M
        Mar 29, 2019 to Mar 31, 2020
      • Discretionary RAUM · $369M to $299M
        Dec 11, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $369M to $299M
        Dec 11, 2018 to Mar 29, 2019
      • RAUM · $369M to $299M
        Dec 11, 2018 to Mar 29, 2019
      • Pooled vehicle clients · unset to 1.0
        Mar 31, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $330M to $369M
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 368671829.0
        Mar 31, 2017 to Mar 30, 2018
      • RAUM · $330M to $369M
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $284M to $330M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $284M to $330M
        Mar 30, 2016 to Mar 31, 2017
      Signals
      5 dated events
      • R•••••••• C•••••• L•• reported RAUM $79.0M, down 60% from $197.3M (2023-03-31 to 2023-05-17)
        May 17, 2023 · RAUM change · derived
      • R•••••••• C•••••• L•• reported RAUM $197.3M, down 39% from $325.0M (2022-06-21 to 2023-03-31)
        Mar 31, 2023 · RAUM change · derived
      • R•••••••• C•••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Jul 9, 2021 · Succession (Item 4) · fact
      • R••• E••••• K••• (Trustee) appeared on Schedule A of R•••••••• C•••••• L••
        Mar 30, 2021 · Control person joined · fact
      • (Nmn) Lillian Tabacinic (Secretary) appeared on Schedule A of R•••••••• C•••••• L••
        Mar 30, 2021 · Control person joined · 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