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 May 7, 2026
First filing on the tape Jun 20, 2014 · 36 filings
SEC status approved since Jul 7, 2014
RAUM
$139M
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
23
11 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
4
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$139M as of May 7, 2026
Mar 31, 2015$256M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 7, 2026
Mar 31, 20150 then
Employees (5.A)23 as of May 7, 2026
Mar 31, 20157 then
Private funds4 as of May 7, 2026
Mar 31, 20152 then
RAUM -12% over the last fiscal year-57% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 7, 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
- $34.8MderivedRAUM 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
- -12%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$139M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
13 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••• S••••• L••• F••• L•• | Securitized Asset Fund | $534M | 2 | Mar 30, 2023 |
| R•••• A••••••••• C••••• •••••••• F••• I• L• | Private Equity Fund | $312M | 8 | Mar 31, 2022 |
| R•••• A••••••••• O••••••••• F••• I•• L• | Private Equity Fund | $271M | 29 | Mar 30, 2016 |
| R•••• A••••••••• C••••• F••• I• L• | Private Equity Fund | $268M | 12 | Mar 30, 2016 |
| R•••• A••••••••• C••••• F••• I• L• | Private Equity Fund | $70.2M | 2 | Mar 31, 2022 |
| R•••• A••••••••• O••••••••• F••• I• L• | Private Equity Fund | $60.1M | 15 | Mar 26, 2019 |
| R•••• A••••••••• O••••••••• O••••••• F••• I•• L• | Private Equity Fund | $48.8M | 19 | Mar 29, 2017 |
| R•• F••• I• L•no longer reported | Real Estate Fund | $38.0M | 3 | Mar 26, 2019 |
| R•••• A••••••••• O••••••••• O••••••• F••• I• L• | Private Equity Fund | $36.3M | 6 | Mar 26, 2019 |
| R•• S••••••• I• L••no longer reported | Private Equity Fund | $25.3M | 3 | Mar 29, 2017 |
| R•••• E•••••••• C••••• F••• I• L• | Private Equity Fund | $22.1M | 2 | Mar 30, 2023 |
| R•••• A••••••••• O••••••••• F••• I• L•no longer reported | Private Equity Fund | $10.4M | 18 | Jun 20, 2014 |
| R•••• A••••••••• O••••••••• F••• I• L•no longer reported | Private Equity Fund | $2.8M | 18 | Jul 17, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••• D••••••• S••••• · Principal And Cio Of Creditcontrolsince 03/2021 · owns 25% to 50%
- G••••• J•••••• A••• · Principal, President And Ceocontrolsince 09/2008 · owns 25% to 50%
- T•••••• J•••••• M•••••• · Principal And Portfolio Managercontrolsince 09/2008 · owns 10% to 25%
- B••••••••• C••••••••• J••• · Ccosince 09/2024 · owns less than 5%
- F•••••• C••••••••• C•••••• · Principal, Cfo And Coosince 05/2014 · owns 10% to 25%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
- Santa Monica, CA7 employees
What changed
consecutive filings, newest first
- Advisory employees · 10 to 11Oct 29, 2025 to Mar 30, 2026
- Custody of client assets · true to falseOct 29, 2025 to Mar 30, 2026
- Employees · 21 to 23Oct 29, 2025 to Mar 30, 2026
- Discretionary RAUM · $158M to $139MOct 29, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $158M to $139MOct 29, 2025 to Mar 30, 2026
- RAUM · $158M to $139MOct 29, 2025 to Mar 30, 2026
- Related bank · true to falseOct 29, 2025 to Mar 30, 2026
- Related broker-dealer · true to falseOct 29, 2025 to Mar 30, 2026
- Financial planning clients · unset to Jun 2, 2025 to Jul 18, 2025
- Employees · 22 to 21Mar 31, 2025 to Jun 2, 2025
- Discretionary RAUM · $158M to $158MMar 31, 2025 to Jun 2, 2025
- Pooled vehicle RAUM · $158M to $158MMar 31, 2025 to Jun 2, 2025
- RAUM · $158M to $158MMar 31, 2025 to Jun 2, 2025
- Accounts · 10 to 4Oct 22, 2024 to Mar 31, 2025
- Advisory employees · 13 to 10Oct 22, 2024 to Mar 31, 2025
- Pension plan clients · 1.0 to unsetOct 22, 2024 to Mar 31, 2025
- Pooled vehicle clients · 9 to 4Oct 22, 2024 to Mar 31, 2025
- Assets in custody · $534M to $0Oct 22, 2024 to Mar 31, 2025
- Employees · 25 to 22Oct 22, 2024 to Mar 31, 2025
- Other offices · 1 to 2Oct 22, 2024 to Mar 31, 2025
- Private funds · 9 to 4Oct 22, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.6B to $158MOct 22, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $15.2M to $0Oct 22, 2024 to Mar 31, 2025
- Pension RAUM · 15160067.0 to unsetOct 22, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.6B to $158MOct 22, 2024 to Mar 31, 2025
- RAUM · $1.6B to $158MOct 22, 2024 to Mar 31, 2025
- BD registered reps · 3 to 0Mar 28, 2024 to May 1, 2024
- Pension plan clients · unset to 1.0Mar 28, 2024 to May 1, 2024
- Assets in custody · $503M to $534MMar 28, 2024 to May 1, 2024
- Discretionary RAUM · $1.6B to $1.6BMar 28, 2024 to May 1, 2024
- Non-discretionary RAUM · $31.0M to $15.2MMar 28, 2024 to May 1, 2024
- Pension RAUM · $31.0M to $15.2MMar 28, 2024 to May 1, 2024
- Pooled vehicle RAUM · $1.6B to $1.6BMar 28, 2024 to May 1, 2024
- RAUM · $1.7B to $1.6BMar 28, 2024 to May 1, 2024
- Accounts · 12 to 10Dec 8, 2023 to Mar 28, 2024
- Advisory employees · 14 to 13Dec 8, 2023 to Mar 28, 2024
- BD registered reps · 0 to 3Dec 8, 2023 to Mar 28, 2024
- Charity clients · 1.0 to unsetDec 8, 2023 to Mar 28, 2024
- Pension plan clients · 2.0 to unsetDec 8, 2023 to Mar 28, 2024
- Assets in custody · $0 to $503MDec 8, 2023 to Mar 28, 2024
Signals
13 dated events
- R•••• C•••••• M••••••••• L•• reported RAUM $157.9M, down 90% from $1.6B (2024-10-22 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- Joseph Daniel Whitcomb (Chief Compliance Officer) no longer on Schedule A of R•••• C•••••• M••••••••• L•• (listed 2024-05-01, absent 2024-10-22)Oct 22, 2024 · Control person left · inference
- Joseph Daniel Whitcomb (Chief Compliance Officer) appeared on Schedule A of R•••• C•••••• M••••••••• L••May 1, 2024 · Control person joined · fact
- Lorene Kimberly Williams (Chief Compliance Officer) no longer on Schedule A of R•••• C•••••• M••••••••• L•• (listed 2024-03-28, absent 2024-05-01)May 1, 2024 · Control person left · inference
- James Robert Jr. Kee (Chief Compliance Officer) no longer on Schedule A of R•••• C•••••• M••••••••• L•• (listed 2023-08-18, absent 2023-12-08)Dec 8, 2023 · Control person left · inference
- Lorene Kimberly Williams (Chief Compliance Officer) appeared on Schedule A of R•••• C•••••• M••••••••• L••Dec 8, 2023 · Control person joined · fact
- R•••• C•••••• M••••••••• L•• reported RAUM $1.8B, up 38% from $1.3B (2022-09-14 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Patrick James Masciello (Managing Director) no longer on Schedule A of R•••• C•••••• M••••••••• L•• (listed 2022-09-14, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- James Robert Jr. Kee (Chief Compliance Officer) appeared on Schedule A of R•••• C•••••• M••••••••• L••May 20, 2022 · Control person joined · fact
- R•••• C•••••• M••••••••• L•• reported RAUM $1.3B, up 42% from $899.3M (2021-08-13 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Steven Dimitri Cohen (Principal And Portfolio Manager) appeared on Schedule A of R•••• C•••••• M••••••••• L••Mar 31, 2022 · Control person joined · fact
- R•••• C•••••• M••••••••• L•• reported RAUM $871.3M, up 25% from $696.9M (2020-01-03 to 2020-03-19)Mar 19, 2020 · RAUM change · derived
- R•••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 20, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R•••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- R•••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
- R•••• C•••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- R••••CM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-966-7926reportedpublic record, Form ADV, May 7, 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
Across the graphs
R•••• C•••••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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