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•••••• P•••••••
Wealth manager with institutional or fund businessNew York, New YorkCRD 161688SEC 801-73843websiteIAPD
Legal name R••••••••• C•••••• P•••••••• L••
Latest filing Apr 17, 2026
First filing on the tape Feb 14, 2012 · 34 filings
SEC status approved since Mar 30, 2012
RAUM
$470M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
45%
$213M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$93.9M
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$470M as of Apr 17, 2026
Apr 1, 2013$249M then
HNW client RAUM$210M as of Apr 17, 2026
Feb 1, 2018$129M then
State-registered IARs (5.B.3)5 as of Apr 17, 2026
Apr 1, 20130 then
Employees (5.A)9 as of Apr 17, 2026
Apr 1, 20138 then
Private funds2 as of Apr 17, 2026
Apr 1, 20132 then
RAUM +0.4% over the last fiscal year+14% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Apr 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $93.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 13derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $5.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +19%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, educational seminarsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$256M54%
- High-net-worth individuals$210M45%
- Individuals$3.0M0.6%
- Charitable organizations$1.0M0.2%
- Individual clients
- 7reported
- HNW clients
- 57reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 93reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.45 fund_share=0.54 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••••••• A••••••••• C•••Certified Financial Planner | New York, Ny | Nov 8, 2023 | 11 y | 1 |
| J••• S•••••• R••••••••• D••• | Washington Dc, Dc | Jan 30, 2024 | 11 y | 0 |
| J•••• B•••••• W••• | New York, Ny | May 24, 2024 | 30 y | 0 |
| L•••••• D••••• R••••• | Potomac, Md | Jun 11, 2024 | 17 y | 0 |
| H••••••• C•••• M••••••Certified Financial Planner | New York, Ny | Apr 6, 2026 | 10 y | 1 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount1 left over 36 months
Left, latest
- M•••••• P•••• S•••••• to R•• C•••••• M••••••• L••Apr 7, 2026 · RIA to affiliated broker-dealer or bank
Joined, latest
- H••••••• C•••• M•••••• from B••••• W•••••• L••Apr 6, 2026 · RIA to RIA
- M••••••••• A••••••••• C••• from 1• N•••• W••••• S•••••••• L••Nov 8, 2023 · RIA to RIA
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••••••••• C••••••••• F•••• L• | Hedge Fund | $170M | 26 | Apr 1, 2013 |
| R••••••••• G• S••••••••• F•••• L•no longer reported | Hedge Fund | $69.9M | 20 | Oct 30, 2017 |
| R••••••••• C•••••• P•••••••• L•no longer reported | Hedge Fund | $58.8M | 33 | Feb 14, 2012 |
| R••••••••• T••••••••• P•••••••• L• | Hedge Fund | $10.2M | 16 | Feb 14, 2012 |
| R••••••••• G••••• T••••••• F•••• L•no longer reported | Hedge Fund | $1.1M | 1 | Mar 31, 2015 |
| R••••••••• C••••••••• O••••••••• F•••• L•no longer reported | Hedge Fund | $797,325 | 9 | Mar 31, 2014 |
Owners and control persons
Schedule A and B, latest filing
- C•••• M••••••••• A••••••••• · President Of Wealth And Engagement Planningcontrolsince 08/2023 · owns less than 5%
- D•••• J•••• S•••••• R••••••••• · General Counselcontrolsince 04/2023 · owns less than 5%
- L•••••••• M••••••• J•••••• · Chief Operating Officer, Chief Compliance Officercontrolsince 05/2019 · owns less than 5%
- R••••••••• D••••• D••••••• · Chief Executive Officercontrolsince 03/2013 · owns 75% or more
- W•••• J••••• B•••••• · Chief Investment Officercontrolsince 03/2013 · owns less than 5%
Related persons
Schedule D 7.A
- R••••••••• C••••••••• G•• L••pooled vehicle sponsorn
- R• G•• L••pooled vehicle sponsorn
- V•••• 1••• M• L••pooled vehicle sponsorn
Advisers that list R••••••••• C•••••• P••••••• as a related person
- 149877 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 5 | 1 | 0 | ||
| Washington, Dc | 1 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Apr 17, 2026RAUM per account of $5,050,873 against a peer median of $439,994 (5431 comparable advisers, 99.0th percentile, 3.1 robust deviations)peers: independent wealth managers, $100M to $500M (5,431) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 76 to 93Jun 6, 2025 to Mar 26, 2026
- HNW clients · 49 to 57Jun 6, 2025 to Mar 26, 2026
- Individual clients · 5 to 7Jun 6, 2025 to Mar 26, 2026
- Employees · 8 to 9Jun 6, 2025 to Mar 26, 2026
- Financial planning clients · 1-10 to 11-25Jun 6, 2025 to Mar 26, 2026
- State-registered IARs · 4 to 5Jun 6, 2025 to Mar 26, 2026
- Discretionary RAUM · $468M to $470MJun 6, 2025 to Mar 26, 2026
- HNW RAUM · $221M to $210MJun 6, 2025 to Mar 26, 2026
- Individual RAUM · $2.5M to $3.0MJun 6, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $244M to $256MJun 6, 2025 to Mar 26, 2026
- RAUM · $468M to $470MJun 6, 2025 to Mar 26, 2026
- Financial planning clients · 1-10 to 1-10Mar 24, 2025 to Jun 6, 2025
- Accounts · 69 to 76Sep 9, 2024 to Mar 24, 2025
- Advisory activities · 3 to 4Sep 9, 2024 to Mar 24, 2025
- Corporate clients · 0.0 to unsetSep 9, 2024 to Mar 24, 2025
- HNW clients · 57 to 49Sep 9, 2024 to Mar 24, 2025
- Individual clients · 4 to 5Sep 9, 2024 to Mar 24, 2025
- Pension plan clients · 0.0 to unsetSep 9, 2024 to Mar 24, 2025
- Pooled vehicle clients · 2 to 3Sep 9, 2024 to Mar 24, 2025
- Employees · 7 to 8Sep 9, 2024 to Mar 24, 2025
- State-registered IARs · 2 to 4Sep 9, 2024 to Mar 24, 2025
- Discretionary RAUM · $351M to $468MSep 9, 2024 to Mar 24, 2025
- HNW RAUM · $169M to $221MSep 9, 2024 to Mar 24, 2025
- Individual RAUM · $1.5M to $2.5MSep 9, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $180M to $244MSep 9, 2024 to Mar 24, 2025
- RAUM · $351M to $468MSep 9, 2024 to Mar 24, 2025
- Accounts · 68 to 69Sep 13, 2023 to Mar 28, 2024
- Advisory employees · 3 to 5Sep 13, 2023 to Mar 28, 2024
- Charity clients · 5 to 3Sep 13, 2023 to Mar 28, 2024
- HNW clients · 60 to 57Sep 13, 2023 to Mar 28, 2024
- Individual clients · 0 to 4Sep 13, 2023 to Mar 28, 2024
- Pooled vehicle clients · 3 to 2Sep 13, 2023 to Mar 28, 2024
- Assets in custody · $417,627 to $0Sep 13, 2023 to Mar 28, 2024
- Custody of client assets · true to falseSep 13, 2023 to Mar 28, 2024
- Employees · 6 to 7Sep 13, 2023 to Mar 28, 2024
- Financial planning clients · 0 to 1-10Sep 13, 2023 to Mar 28, 2024
- State-registered IARs · 0 to 2Sep 13, 2023 to Mar 28, 2024
- Discretionary RAUM · $318M to $351MSep 13, 2023 to Mar 28, 2024
- HNW RAUM · $139M to $169MSep 13, 2023 to Mar 28, 2024
- Individual RAUM · unset to 1464394.0Sep 13, 2023 to Mar 28, 2024
Signals
5 dated events
- M•••••• P•••• S•••••• left R••••••••• C•••••• P••••••• for R•• C•••••• M••••••• L•• (registered 2026-06-18)Apr 7, 2026 · Advisor changed firm · fact
- R••••••••• C•••••• P••••••• reported RAUM $467.8M, up 33% from $351.3M (2024-09-09 to 2025-03-24)Mar 24, 2025 · RAUM change · derived
- A M••••••••• C••• (President Of Wealth And Engagement Planning) appeared on Schedule A of R••••••••• C•••••• P•••••••Sep 13, 2023 · Control person joined · fact
- Spencer Rothschild John Dame (General Counsel) appeared on Schedule A of R••••••••• C•••••• P•••••••Sep 13, 2023 · Control person joined · fact
- Michael Levenson (Chief Operating Officer, Chief Compliance Officer) appeared on Schedule A of R••••••••• C•••••• P•••••••Jun 11, 2019 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 212-931-5303reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/rothschild-capital-partners/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- rothcap.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-931-5303reportedpublic record, Form ADV, Apr 17, 2026
- Contact form
- rothcap.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $93.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026