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••••••• E••••• P••••••• L••
Latest filing Mar 31, 2026
First filing on the tape May 31, 2022 · 8 filings
SEC status approved since Jul 8, 2022
RAUM
$190M
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
13
11 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
6
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$190M as of Mar 31, 2026
Mar 31, 2023$197M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20230 then
Employees (5.A)13 as of Mar 31, 2026
Mar 31, 202311 then
Private funds6 as of Mar 31, 2026
Mar 31, 20235 then
RAUM +17% over the last fiscal year-1.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $31.6MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%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
- yesreportedItem 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$190M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••••••• E••••• P••••••• I•• L• | Private Equity Fund | $109M | 91 | Mar 31, 2022 |
| R••••••• E••••• P••••••••• F•••no longer reported | Private Equity Fund | $50.3M | 72 | Apr 9, 2012 |
| R••••••• E••••• P••••••• I••• L• | Private Equity Fund | $21.1M | 60 | Mar 30, 2016 |
| R••••••• E••••• P••••••• I•••• L• | Private Equity Fund | $13.1M | 12 | May 31, 2022 |
| R••••••• E••••• P••••••••• F••• L• | Private Equity Fund | $11.0M | 69 | Mar 30, 2015 |
| R••••••• E••••• P••••••• I••••• L• | Private Equity Fund | $5.8M | 17 | Mar 30, 2016 |
Owners and control persons
Schedule A and B, latest filing
- K••••• B••••• R• · Managing Directorcontrolsince 05/2007 · owns 50% to 75%
- M••••••• H• J•••• · Managing Director, Chief Compliance Officercontrolsince 12/2012 · owns 25% to 50%
Related persons
Schedule D 7.A
- R••••••• G• I• L••pooled vehicle sponsorn
- R••••••• G• I••• L••pooled vehicle sponsorn
- R••••••• G• I•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Cleveland, OH6 employees
- New York, NY1 employees
What changed
consecutive filings, newest first
- Advisory employees · 2 to 11May 21, 2025 to Mar 31, 2026
- Employees · 11 to 13May 21, 2025 to Mar 31, 2026
- Discretionary RAUM · $162M to $190MMay 21, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $162M to $190MMay 21, 2025 to Mar 31, 2026
- RAUM · $162M to $190MMay 21, 2025 to Mar 31, 2026
- Financial planning clients · unset to Apr 1, 2025 to May 21, 2025
- Accounts · 5 to 6Mar 29, 2024 to Apr 1, 2025
- Pooled vehicle clients · 5 to 6Mar 29, 2024 to Apr 1, 2025
- Private funds · 5 to 6Mar 29, 2024 to Apr 1, 2025
- Discretionary RAUM · $160M to $162MMar 29, 2024 to Apr 1, 2025
- Pooled vehicle RAUM · $160M to $162MMar 29, 2024 to Apr 1, 2025
- RAUM · $160M to $162MMar 29, 2024 to Apr 1, 2025
- Discretionary RAUM · $245M to $160MApr 20, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $245M to $160MApr 20, 2023 to Mar 29, 2024
- RAUM · $245M to $160MApr 20, 2023 to Mar 29, 2024
- Discretionary RAUM · $197M to $245MMar 31, 2023 to Apr 20, 2023
- Pooled vehicle RAUM · $197M to $245MMar 31, 2023 to Apr 20, 2023
- RAUM · $197M to $245MMar 31, 2023 to Apr 20, 2023
- Employees · 10 to 11May 31, 2022 to Mar 31, 2023
- Private funds · 10 to 5May 31, 2022 to Mar 31, 2023
Signals
1 dated events
- R••••••• E••••• P••••••• L•• filed its initial SEC registration (Form ADV)May 31, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R••••••• E••••• P••••••• L•• · Independent Sponsorsshared crd · capital_provider
- R••••••• E••••• P••••••• L•• · Private Equityshared crd · organization
- R••••••• E••••• P••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- R•••••••EQUITY.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 216-342-1790reportedpublic record, Form ADV, Mar 31, 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