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•• M••••••••• C•••••••••
Latest filing Mar 31, 2026
First filing on the tape Feb 14, 2012 · 18 filings
SEC status approved since Mar 14, 2012
RAUM
$913M
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
15 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
7
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$913M as of Mar 31, 2026
Apr 1, 2013$500M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Apr 1, 20130 then
Employees (5.A)17 as of Mar 31, 2026
Apr 1, 201310 then
Private funds7 as of Mar 31, 2026
Apr 1, 20133 then
RAUM +18% over the last fiscal year+8.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- $130MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%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 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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$913M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- 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=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•• I••••••••• P••••••• I•• L••• | Private Equity Fund | $296M | 58 | Mar 30, 2020 |
| R•• I••••••••• P••••••• V•••• L••• | Private Equity Fund | $251M | 44 | Feb 14, 2012 |
| R•• T•• S••• L• | Private Equity Fund | $123M | 12 | Mar 31, 2023 |
| R•• I••••••••• P••••••• V••• L••• | Private Equity Fund | $54.5M | 38 | Feb 14, 2012 |
| R•• V•••••• L••• | Private Equity Fund | $38.9M | 3 | Mar 31, 2022 |
| R•• I• P•••••••• L••• | Private Equity Fund | $37.4M | 6 | Mar 29, 2019 |
| R•• V• S•••• L•••no longer reported | Private Equity Fund | $18.0M | 18 | Feb 14, 2012 |
| R•• I••••••••• P••••••• I•• L•••no longer reported | Private Equity Fund | $3.9M | 22 | Feb 14, 2012 |
| R•• I••••••••• P••••••• V• L•••no longer reported | Private Equity Fund | $2.5M | 11 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- F•••••• M••••••• J•••••• · Rfe Mgt. Corp. - Managing Director, Chief Compliance Officer, Vp & Secretary, Common Stock Shareholder, Board Membercontrolsince 05/1991 · owns 10% to 25%
- P••••••• J••••• A••••• · Rfe Mgt. Corp. - Managing Director, President, Common Stock Shareholder, Board Membercontrolsince 05/1991 · owns 10% to 25%
- R••••• M••••••• W•••••• · Rfe Mgt. Corp. - Managing Director, Common Stock Shareholder, Board Membercontrolsince 01/2016 · owns 10% to 25%
- S••••••• P•••• R••••• · Rfe Mgt. Corp. - Managing Director, Common Stock Shareholder, Board Membercontrolsince 01/2016 · owns 10% to 25%
- J••••••• D•••••• A•••• · Rfe Mgt. Corp. - Managing Director & Chief Financial Officer, Vice President & Treasurer, Common Stock Shareholdersince 10/2000 · owns less than 5%
- R•••••• R••••••• P•••• · Rfe Mgt. Corp. - Managing Director, Business Development, Vice President, Common Stock Shareholdersince 10/2004 · owns 10% to 25%
Related persons
Schedule D 7.A
- R•• A••••••••• I• P•••••••• L••pooled vehicle sponsorn
- R•• A••••••••• I•• L••pooled vehicle sponsorn
- R•• A••••••••• V••• L••pooled vehicle sponsorn
- R•• A••••••••• V•••• L••pooled vehicle sponsorn
- R•• T•• S•• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 6 to 7Mar 28, 2025 to Mar 31, 2026
- Advisory employees · 13 to 15Mar 28, 2025 to Mar 31, 2026
- Pooled vehicle clients · 6 to 7Mar 28, 2025 to Mar 31, 2026
- Employees · 15 to 17Mar 28, 2025 to Mar 31, 2026
- Private funds · 6 to 7Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $772M to $913MMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $772M to $913MMar 28, 2025 to Mar 31, 2026
- RAUM · $772M to $913MMar 28, 2025 to Mar 31, 2026
- Employees · 16 to 15Mar 29, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $761M to $772MMar 29, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $761M to $772MMar 29, 2024 to Mar 28, 2025
- RAUM · $761M to $772MMar 29, 2024 to Mar 28, 2025
- Advisory employees · 12 to 13Mar 31, 2023 to Mar 29, 2024
- Employees · 15 to 16Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $707M to $761MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $707M to $761MMar 31, 2023 to Mar 29, 2024
- RAUM · $707M to $761MMar 31, 2023 to Mar 29, 2024
- Accounts · 5 to 6Aug 11, 2022 to Mar 31, 2023
- Advisory employees · 13 to 12Aug 11, 2022 to Mar 31, 2023
- Pooled vehicle clients · 5 to 6Aug 11, 2022 to Mar 31, 2023
- Assets in custody · 361579976.0 to unsetAug 11, 2022 to Mar 31, 2023
- Custody of client assets · true to falseAug 11, 2022 to Mar 31, 2023
- Employees · 14 to 15Aug 11, 2022 to Mar 31, 2023
- Private funds · 5 to 6Aug 11, 2022 to Mar 31, 2023
- Discretionary RAUM · $522M to $707MAug 11, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $522M to $707MAug 11, 2022 to Mar 31, 2023
- RAUM · $522M to $707MAug 11, 2022 to Mar 31, 2023
- HQ city · NEW CANAAN to WESTPORTMar 31, 2022 to Aug 9, 2022
- Accounts · 4 to 5Mar 30, 2021 to Mar 31, 2022
- Advisory employees · 10 to 13Mar 30, 2021 to Mar 31, 2022
- Pooled vehicle clients · 4 to 5Mar 30, 2021 to Mar 31, 2022
- Assets in custody · $369M to $362MMar 30, 2021 to Mar 31, 2022
- Employees · 12 to 14Mar 30, 2021 to Mar 31, 2022
- Other offices · 0 to 1Mar 30, 2021 to Mar 31, 2022
- Private funds · 4 to 5Mar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $491M to $522MMar 30, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $491M to $522MMar 30, 2021 to Mar 31, 2022
- RAUM · $491M to $522MMar 30, 2021 to Mar 31, 2022
- Advisory employees · 12 to 10Mar 30, 2020 to Mar 30, 2021
Signals
4 dated events
- R•• M••••••••• C••••••••• reported RAUM $706.9M, up 35% from $522.3M (2022-08-11 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- William Michael Rubel (R•• A••••••••• V••• L•• - Managing Member) no longer on Schedule A of R•• M••••••••• C••••••••• (listed 2019-03-29, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Ronald Paul Schilpp (R•• A••••••••• V•••• L•• - Managing Member) no longer on Schedule A of R•• M••••••••• C••••••••• (listed 2019-03-29, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- R•• M••••••••• C••••••••• reported RAUM $405.0M, down 27% from $557.2M (2017-03-30 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- R•• M••••••••• C••••••••• · Independent Sponsorsshared crd · capital_provider
- R•• M••••••••• C••••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/458619reportedpublic record, Form ADV, Sep 18, 2026
- Website
- w••.r••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-966-2800reportedpublic record, Form ADV, Mar 31, 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