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•••••• A•••••••

Former SEC-registered adviserBoston, MassachusettsCRD 160952SEC 801-73315IAPD
Legal name R••••••• C•••••• M••••••••• L••
Latest filing Feb 8, 2016
First filing on the tape Feb 10, 2012 · 16 filings
RAUM
$66.9M
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
11
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$66.9M gross assets
History
16 filings and snapshots on the tape
RAUM$4.4B as of Mar 30, 2015
Mar 28, 2013$6.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2015
Mar 28, 20130 then
Employees (5.A)33 as of Mar 30, 2015
Mar 28, 201333 then
Private funds6 as of Mar 30, 2015
Mar 28, 20135 then
RAUM -99% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 8, 2016; 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
$66.9MderivedRAUM 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
-7.5%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$66.9M, 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$66.9M for 1 clientsreported
Compensation
n/areported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••• C•• I• L•••no longer reportedSecuritized Asset Fund$238M9Feb 10, 2012
      V•••••• L••Hedge Fund$140M1Feb 10, 2012
      R••••••• C•••••• S•••••• S••••••••• F••• I•• L•no longer reportedHedge Fund$74.2M45Feb 10, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• M•••• A••• · Managing Directorcontrol
        since 01/2005 · owns less than 5%
      • C••••••• M•••••••• R••• · Chief Compliance Officer And General Counselcontrol
        since 12/2014 · owns less than 5%
      • G•••••• R•••••• J••••• · Clo Portfolio Managercontrol
        since 07/2013 · owns less than 5%
      • G••••••• J•••• E••••• · Chief Operating Officercontrol
        since 01/2011 · owns less than 5%
      • H••••••• W••••••• J••••• · Managing Directorcontrol
        since 01/2005 · owns less than 5%
      • S••••• T•••••• P•••• · Managing Directorcontrol
        since 03/2010 · owns less than 5%
      • S••••• R••••• · Portfolio Managercontrol
        since 07/2013 · owns less than 5%
      • W••••••••• J•••••• A••••• · Chief Financial Officercontrol
        since 02/2015 · owns less than 5%
      • B••••••••• M•••• A••• · Limited Partnercontrol
        since 07/2013 · owns 25% to 50% of R••••••• C•••••• A•••••••• L•
      Entity owners
      • R••••••• C•••••• A•••••••• L• · Managing Member
        direct · owns 75% or more
      • R••••••• C•••••• A•••••••• L•• · General Partner
        indirect · owns F of R••••••• C•••••• A•••••••• L•
      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 · 8 to 1
        Mar 30, 2015 to Feb 8, 2016
      • Advisory employees · 13 to 4
        Mar 30, 2015 to Feb 8, 2016
      • Advisory activities · 2 to 1
        Mar 30, 2015 to Feb 8, 2016
      • Assets in custody · $2.0B to $66.9M
        Mar 30, 2015 to Feb 8, 2016
      • Employees · 33 to 11
        Mar 30, 2015 to Feb 8, 2016
      • Private funds · 6 to 1
        Mar 30, 2015 to Feb 8, 2016
      • Discretionary RAUM · $4.4B to $66.9M
        Mar 30, 2015 to Feb 8, 2016
      • RAUM · $4.4B to $66.9M
        Mar 30, 2015 to Feb 8, 2016
      • Advisory employees · 14 to 13
        Feb 19, 2015 to Mar 30, 2015
      • Assets in custody · $2.9B to $2.0B
        Feb 19, 2015 to Mar 30, 2015
      • Employees · 32 to 33
        Feb 19, 2015 to Mar 30, 2015
      • Private funds · 7 to 6
        Feb 19, 2015 to Mar 30, 2015
      • Discretionary RAUM · $4.7B to $4.4B
        Feb 19, 2015 to Mar 30, 2015
      • RAUM · $4.7B to $4.4B
        Feb 19, 2015 to Mar 30, 2015
      • Private funds · 6 to 7
        Jan 2, 2015 to Feb 19, 2015
      • Private funds · 5 to 6
        Mar 7, 2014 to Nov 20, 2014
      • Accounts · 7 to 8
        Nov 7, 2013 to Jan 29, 2014
      • Assets in custody · $2.9B to $2.9B
        Nov 7, 2013 to Jan 29, 2014
      • Employees · 33 to 32
        Nov 7, 2013 to Jan 29, 2014
      • Private funds · 4 to 5
        Nov 7, 2013 to Jan 29, 2014
      • Discretionary RAUM · $4.2B to $4.7B
        Nov 7, 2013 to Jan 29, 2014
      • RAUM · $4.2B to $4.7B
        Nov 7, 2013 to Jan 29, 2014
      • Accounts · 8 to 7
        Mar 28, 2013 to Oct 3, 2013
      • Assets in custody · $4.3B to $2.9B
        Mar 28, 2013 to Oct 3, 2013
      • Private funds · 5 to 4
        Mar 28, 2013 to Oct 3, 2013
      • Discretionary RAUM · $6.0B to $4.2B
        Mar 28, 2013 to Oct 3, 2013
      • RAUM · $6.0B to $4.2B
        Mar 28, 2013 to Oct 3, 2013
      • Assets in custody · $4.2B to $4.3B
        Feb 1, 2013 to Mar 28, 2013
      • Discretionary RAUM · $5.5B to $6.0B
        Feb 1, 2013 to Mar 28, 2013
      • RAUM · $5.5B to $6.0B
        Feb 1, 2013 to Mar 28, 2013
      • Advisory employees · unset to 14.0
        Aug 20, 2012 to Feb 1, 2013
      • BD registered reps · unset to 0.0
        Aug 20, 2012 to Feb 1, 2013
      • Assets in custody · $4.4B to $4.2B
        Aug 20, 2012 to Feb 1, 2013
      • Employees · unset to 33.0
        Aug 20, 2012 to Feb 1, 2013
      • State-registered IARs · unset to 0.0
        Aug 20, 2012 to Feb 1, 2013
      • Private funds · 6 to 5
        Aug 20, 2012 to Feb 1, 2013
      • Discretionary RAUM · $7.6B to $5.5B
        Aug 20, 2012 to Feb 1, 2013
      • RAUM · $7.6B to $5.5B
        Aug 20, 2012 to Feb 1, 2013
      • Business name · R••••••• C•••••• A•••••••• L• to R••••••• C•••••• A•••••••
        Feb 21, 2012 to Apr 18, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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