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 Jan 22, 2026
First filing on the tape Apr 10, 2015 · 21 filings
SEC status approved since Apr 16, 2015
RAUM
$180,000
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$180,000 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$180,000 as of Jan 22, 2026
Feb 5, 2016$0 then
HNW client RAUM$180,000 as of Jan 22, 2026
Jan 29, 2018$2.8M then
State-registered IARs (5.B.3)1 as of Jan 22, 2026
Feb 5, 20160 then
Employees (5.A)1 as of Jan 22, 2026
Feb 5, 20160 then
Private funds: no history
RAUM +0.0% over the last fiscal year+0.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 22, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $180,000derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $180,000derivedHNW RAUM over HNW clients
- Average account
- $180,000derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$180,000100%
- Individual clients
- n/areported
- HNW clients
- 1reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, performancereported
- Class basis
- private_client_share=1.0 fund_share=0.0 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• H••••• L•• · Ceo/Cio/Cco, Manager, Membercontrolsince 01/2010 · owns 75% or more
Entity owners
- T•• R•••••• J• R••••••• F••••• T•••• · Memberdirect · owns 10% to 25%
- R••••••• R•••••• J••• · Sole Trusteeindirect · owns 75% or more of T•• R•••••• J• R••••••• F••••• T••••
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
- Financial planning clients · 0 to 0Apr 30, 2024 to Mar 4, 2025
- Accounts · 3 to 1Jan 21, 2022 to Mar 30, 2023
- HNW clients · 3 to 1Jan 21, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.5M to $180,000Jan 21, 2022 to Mar 30, 2023
- HNW RAUM · $1.5M to $180,000Jan 21, 2022 to Mar 30, 2023
- RAUM · $1.5M to $180,000Jan 21, 2022 to Mar 30, 2023
- Accounts · 4 to 3Jan 25, 2021 to Jan 21, 2022
- HNW clients · 4 to 3Jan 25, 2021 to Jan 21, 2022
- HNW clients · 7 to 4Jul 1, 2020 to Jan 25, 2021
- Discretionary RAUM · $7.6M to $1.5MJul 1, 2020 to Jan 25, 2021
- HNW RAUM · $7.6M to $1.5MJul 1, 2020 to Jan 25, 2021
- RAUM · $7.6M to $1.5MJul 1, 2020 to Jan 25, 2021
- Accounts · 7 to 4Mar 6, 2019 to Feb 12, 2020
- Other offices · 1 to 0Mar 6, 2019 to Feb 12, 2020
- Discretionary RAUM · $10.3M to $7.6MMar 6, 2019 to Feb 12, 2020
- HNW RAUM · $10.3M to $7.6MMar 6, 2019 to Feb 12, 2020
- RAUM · $10.3M to $7.6MMar 6, 2019 to Feb 12, 2020
- Accounts · 4 to 7Oct 8, 2018 to Feb 27, 2019
- HNW clients · 4 to 7Oct 8, 2018 to Feb 27, 2019
- Employees · 2 to 1Oct 8, 2018 to Feb 27, 2019
- Discretionary RAUM · $2.8M to $10.3MOct 8, 2018 to Feb 27, 2019
- HNW RAUM · $2.8M to $10.3MOct 8, 2018 to Feb 27, 2019
- RAUM · $2.8M to $10.3MOct 8, 2018 to Feb 27, 2019
- Accounts · 3 to 4Feb 10, 2017 to Jan 29, 2018
- HNW clients · unset to 4.0Feb 10, 2017 to Jan 29, 2018
- Other offices · unset to 1.0Feb 10, 2017 to Jan 29, 2018
- Discretionary RAUM · $0 to $2.8MFeb 10, 2017 to Jan 29, 2018
- HNW RAUM · unset to 2800000.0Feb 10, 2017 to Jan 29, 2018
- Non-discretionary RAUM · $2.3M to $0Feb 10, 2017 to Jan 29, 2018
- RAUM · $2.3M to $2.8MFeb 10, 2017 to Jan 29, 2018
- Accounts · 2 to 3Sep 14, 2016 to Feb 10, 2017
- Non-discretionary RAUM · $1.1M to $2.3MSep 14, 2016 to Feb 10, 2017
- RAUM · $1.1M to $2.3MSep 14, 2016 to Feb 10, 2017
- Advisory employees · 0 to 1Jun 22, 2016 to Sep 14, 2016
- Employees · 0 to 2Jun 22, 2016 to Sep 14, 2016
- State-registered IARs · 0 to 1Jun 22, 2016 to Sep 14, 2016
- Accounts · 1 to 2Jun 21, 2016 to Jun 22, 2016
- Non-discretionary RAUM · $550,000 to $1.1MJun 21, 2016 to Jun 22, 2016
- RAUM · $550,000 to $1.1MJun 21, 2016 to Jun 22, 2016
- Accounts · 0 to 1Feb 5, 2016 to Jun 21, 2016
Signals
1 dated events
- R••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 10, 2015 · First SEC registration · 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 email
- a••••••@r•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Website
- R•••••••CAPITALMGT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 775 351-6489reportedpublic record, Form ADV, Jan 22, 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
- Independent wealth managerderiveda 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