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••••••
Legal name R•••• C••••• M••••••••• I••• •••••• M••••••• • R•••••••• I••••
Latest filing Mar 24, 2026
First filing on the tape Oct 6, 2021 · 7 filings
SEC status approved since Nov 8, 2021
RAUM
$682M
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
18
15 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
11
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$682M as of Mar 24, 2026
Mar 29, 2022$721M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 29, 20220 then
Employees (5.A)18 as of Mar 24, 2026
Mar 29, 202217 then
Private funds11 as of Mar 24, 2026
Mar 29, 20228 then
RAUM -13% over the last fiscal year-4.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 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
- $62.0MderivedRAUM 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
- -13%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
- $626M, 11 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)
- an independent public accountant performs a surprise examination (9.C.1)
- the adviser acts as qualified custodian (9.D.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$682M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $626M for 11 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
16 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••• C••••• C•••••• F••• V•• L••• | Private Equity Fund | $225M | 89 | Mar 15, 2018 |
| R•••• C••••• C•••••• F••• V• L••• | Private Equity Fund | $118M | 76 | Mar 14, 2013 |
| R•••• C••••• C•••••• F••• V••• L• | Private Equity Fund | $61.5M | 79 | Mar 22, 2023 |
| R•••• C••••• C•••••• F••• I•• L••• | Private Equity Fund | $22.0M | 58 | Mar 19, 2012 |
| R•••• C••••• F•••••••• I••••••••• F••• V• L••• | Private Equity Fund | $19.8M | 8 | Mar 4, 2015 |
| R•••• C••••• C•••••• F••• V••••• L• | Private Equity Fund | $10.7M | 5 | Mar 22, 2023 |
| R•••• C••••• C•••••• F••• V• ••••• L••• | Private Equity Fund | $5.3M | 22 | Feb 18, 2014 |
| R••• N••••••••• | Private Equity Fund | $4.9M | 2 | Feb 9, 2016 |
| R•••• C••••• C•••••• F••• Q• V••• L• | Private Equity Fund | $4.0M | 25 | Mar 22, 2023 |
| R••• I••••••••• L•• | Private Equity Fund | $3.8M | 4 | Mar 4, 2015 |
| R•••• C••••• C•••••• F••• I• ••••• L••• | Private Equity Fund | $2.4M | 12 | Mar 19, 2012 |
| R••• E••••••••• L••no longer reported | Venture Capital Fund | $1.8M | 7 | Feb 18, 2014 |
| R•••• C••••• S••• I••• L•••no longer reported | Private Equity Fund | $1.5M | 65 | Mar 19, 2012 |
| R•••• C••••• C•••••• F••• I••• L•••no longer reported | Private Equity Fund | $66,906 | 65 | Mar 19, 2012 |
| R•••• C••••• D•••••••• H••••••••• F•••• L•••no longer reported | Venture Capital Fund | $26,000 | 1 | Mar 19, 2012 |
| R•••• C••••• C•••••• F••• I•• L•••no longer reported | Venture Capital Fund | $0 | 60 | Mar 19, 2012 |
Owners and control persons
Schedule A and B, latest filing
- F••••••• D•••••• T•••••• · President, Directorcontrolsince 05/2007 · owns 25% to 50%
- H••••••• R•••••• A•••• · Vice Presidentcontrolsince 07/2014 · owns 25% to 50%
- M•••••• J•••••• C••••• · Vice President - Secretary, Treasurercontrolsince 01/2010 · owns 25% to 50%
- V••••••••• R••••• G••••• · Vice Presidentcontrolsince 07/2014 · owns 25% to 50%
- V••••••••• A•••••••• B••• · Chief Financial Officercontrolsince 02/2017 · owns less than 5%
- H•••••• M•••••••• E••••• · Chief Compliance Officersince 03/2022 · owns less than 5%
Related persons
Schedule D 7.A
- R•••• C••••• F•••••••• I••••••••• F••• M••••••••• L••pooled vehicle sponsory
- R•••• C••••• M••••••••• I•• L••pooled vehicle sponsory
- R•••• C••••• M••••••••• V• L••pooled vehicle sponsory
- R•••• C••••• M••••••••• V•• L••pooled vehicle sponsory
- R•••• C••••• M••••••••• V••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Raleigh, NC4 employees
What changed
consecutive filings, newest first
- Advisory employees · 16 to 15Mar 7, 2025 to Mar 24, 2026
- Assets in custody · $610M to $626MMar 7, 2025 to Mar 24, 2026
- Employees · 19 to 18Mar 7, 2025 to Mar 24, 2026
- Discretionary RAUM · $785M to $682MMar 7, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $785M to $682MMar 7, 2025 to Mar 24, 2026
- RAUM · $785M to $682MMar 7, 2025 to Mar 24, 2026
- Assets in custody · $781M to $610MMar 20, 2024 to Mar 7, 2025
- Financial planning clients · unset to Mar 20, 2024 to Mar 7, 2025
- Advisory employees · 14 to 16Mar 22, 2023 to Mar 20, 2024
- Employees · 18 to 19Mar 22, 2023 to Mar 20, 2024
- Discretionary RAUM · $781M to $785MMar 22, 2023 to Mar 20, 2024
- Pooled vehicle RAUM · $781M to $785MMar 22, 2023 to Mar 20, 2024
- RAUM · $781M to $785MMar 22, 2023 to Mar 20, 2024
- Accounts · 8 to 11Mar 29, 2022 to Mar 22, 2023
- Advisory employees · 13 to 14Mar 29, 2022 to Mar 22, 2023
- Business name · R•••• C••••• M••••••••• I••• •••••• M••••••• • R•••••••• I•••• to R• C••••••Mar 29, 2022 to Mar 22, 2023
- Pooled vehicle clients · 8 to 11Mar 29, 2022 to Mar 22, 2023
- Assets in custody · $440M to $781MMar 29, 2022 to Mar 22, 2023
- Employees · 17 to 18Mar 29, 2022 to Mar 22, 2023
- Private funds · 8 to 11Mar 29, 2022 to Mar 22, 2023
- Discretionary RAUM · $721M to $781MMar 29, 2022 to Mar 22, 2023
- Pooled vehicle RAUM · $721M to $781MMar 29, 2022 to Mar 22, 2023
- RAUM · $721M to $781MMar 29, 2022 to Mar 22, 2023
- Assets in custody · unset to 440311768.0Jan 4, 2022 to Mar 29, 2022
- Custody of client assets · false to trueJan 4, 2022 to Mar 29, 2022
- Private funds · 10 to 8Jan 4, 2022 to Mar 29, 2022
- Discretionary RAUM · $586M to $721MJan 4, 2022 to Mar 29, 2022
- Pooled vehicle RAUM · $586M to $721MJan 4, 2022 to Mar 29, 2022
- RAUM · $586M to $721MJan 4, 2022 to Mar 29, 2022
- Private funds · 20 to 10Oct 6, 2021 to Jan 4, 2022
Signals
1 dated events
- R•••• C••••• M••••••••• I••• •••••• M••••••• • R•••••••• I•••• filed its initial SEC registration (Form ADV)Oct 6, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R• C•••••• · Independent Sponsorsshared crd · capital_provider
- R• C•••••• · Private Equityshared crd · organization
- R• C•••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/river-cities-capital-fundsreportedpublic record, Form ADV, Sep 19, 2026
- Website
- R•••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 513-621-9700reportedpublic record, Form ADV, Mar 24, 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