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•••••• C•••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Feb 14, 2012 · 17 filings
SEC status approved since Mar 14, 2012
RAUM
$270M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$270M as of Mar 27, 2026
Mar 11, 2013$167M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 11, 20130 then
Employees (5.A)2 as of Mar 27, 2026
Mar 11, 20132 then
Private funds1 as of Mar 27, 2026
Mar 11, 20131 then
RAUM +50% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $270MderivedRAUM 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
- +50%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
- Custody
- $201M, 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$270M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $201M for 1 clientsreported
- 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••••• A••••••••• L••• | Hedge Fund | $168M | 36 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- O••••••• J••••• D• · Chief Compliance Officercontrolsince 10/2001 · owns less than 5%
- O••••••• P•••• H• · Managing Membercontrolsince 09/1996 · owns 75% or more
Related persons
Schedule D 7.A
- R•••••• C•••••• A•••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $179,600,544 to $270,248,591 (+50.0%) between the annual amendments of 2025-03-26 and 2026-03-27; the peer median change was +4.0% (1148 comparable advisers, 91.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 91% percentile
What changed
consecutive filings, newest first
- Assets in custody · $132M to $201MMar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $180M to $270MMar 26, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $180M to $270MMar 26, 2025 to Mar 27, 2026
- RAUM · $180M to $270MMar 26, 2025 to Mar 27, 2026
- Assets in custody · $138M to $132MMay 16, 2024 to Mar 26, 2025
- Financial planning clients · unset to May 16, 2024 to Mar 26, 2025
- Discretionary RAUM · $168M to $180MMay 16, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $168M to $180MMay 16, 2024 to Mar 26, 2025
- RAUM · $168M to $180MMay 16, 2024 to Mar 26, 2025
- Assets in custody · $146M to $138MMar 30, 2023 to Mar 26, 2024
- Discretionary RAUM · $179M to $168MMar 30, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $179M to $168MMar 30, 2023 to Mar 26, 2024
- RAUM · $179M to $168MMar 30, 2023 to Mar 26, 2024
- Assets in custody · $152M to $146MMar 11, 2022 to Mar 30, 2023
- Discretionary RAUM · $225M to $179MMar 11, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $225M to $179MMar 11, 2022 to Mar 30, 2023
- RAUM · $225M to $179MMar 11, 2022 to Mar 30, 2023
- Assets in custody · $124M to $152MMar 22, 2021 to Mar 11, 2022
- Discretionary RAUM · $155M to $225MMar 22, 2021 to Mar 11, 2022
- Pooled vehicle RAUM · $155M to $225MMar 22, 2021 to Mar 11, 2022
- RAUM · $155M to $225MMar 22, 2021 to Mar 11, 2022
- Assets in custody · $127M to $124MMar 27, 2020 to Mar 22, 2021
- Discretionary RAUM · $173M to $155MMar 27, 2020 to Mar 22, 2021
- Pooled vehicle RAUM · $173M to $155MMar 27, 2020 to Mar 22, 2021
- RAUM · $173M to $155MMar 27, 2020 to Mar 22, 2021
- Assets in custody · $118M to $127MMar 15, 2019 to Mar 27, 2020
- Discretionary RAUM · $152M to $173MMar 15, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $152M to $173MMar 15, 2019 to Mar 27, 2020
- RAUM · $152M to $173MMar 15, 2019 to Mar 27, 2020
- Assets in custody · $129M to $118MMar 21, 2018 to Mar 15, 2019
- Discretionary RAUM · $207M to $152MMar 21, 2018 to Mar 15, 2019
- Pooled vehicle RAUM · $207M to $152MMar 21, 2018 to Mar 15, 2019
- RAUM · $207M to $152MMar 21, 2018 to Mar 15, 2019
- Pooled vehicle clients · unset to 1.0Mar 20, 2017 to Mar 21, 2018
- Assets in custody · $144M to $129MMar 20, 2017 to Mar 21, 2018
- Other offices · unset to 0.0Mar 20, 2017 to Mar 21, 2018
- Discretionary RAUM · $197M to $207MMar 20, 2017 to Mar 21, 2018
- Pooled vehicle RAUM · unset to 207078882.0Mar 20, 2017 to Mar 21, 2018
- RAUM · $197M to $207MMar 20, 2017 to Mar 21, 2018
- Assets in custody · $109M to $144MMar 10, 2016 to Mar 20, 2017
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- R•••••• C•••••• M••••••••• L•• · Family Officesshared crd · manager
How to reach
public business contact points only, each with its source
- Website
- R••••••LP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-760-2322reportedpublic record, Form ADV, Mar 27, 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