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•••••• I••••••••• C•••••••••
Latest filing Mar 30, 2026
First filing on the tape May 17, 2013 · 29 filings
SEC status approved since Jun 4, 2013
RAUM
$3.7B
reported, Item 5.F
Discretionary
79%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$3.7B
derived; firm RAUM over IAPD count
Employees
4
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
14
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$3.7B as of Mar 30, 2026
Mar 31, 2014$340M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 31, 20143 then
Employees (5.A)4 as of Mar 30, 2026
Mar 31, 20143 then
Private funds14 as of Mar 30, 2026
Mar 31, 20148 then
RAUM +3.4% over the last fiscal year+1.5% a year over threeIARs 7 to 1
Practice profile
derived from the filing of Mar 30, 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
- $3.7BderivedRAUM 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
- $106MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 79%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- -86%derivedItem 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
- $3.9B, 30 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$3.7B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 35reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.9B for 30 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=2.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
35 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- B••••••• V•••••••• K••• · Treasurer And Directorcontrolsince 01/2019 · owns less than 5%
- U•••••• T•••••• W•••• · President, Secretary, Chief Compliance Officer And Directorcontrolsince 04/2013 · owns less than 5%
- V••••••••• R•••••• V••••• · Directorcontrolsince 03/2021 · owns less than 5%
Entity owners
- S••••• U••• H••••••• I••• · Ownerdirect · owns 75% or more
- S••••• I••• · Shareholderindirect · owns 75% or more of S••••• U.S. Holdings, Inc.
Related persons
Schedule D 7.A
- S••••• A•••• M••••••••• L•investment adviserpooled vehicle sponsornRAUM $1.4B
- S••••• A•••• M••••••••• U•• I•••investment advisernRAUM $10B
- S••••• G••••• R••••••• I••••••••• L••broker-dealern
- S••••• P•••••• R••••••• S•••••••• A•• R•••••• ••••••••• L•investment adviserpooled vehicle sponsorn
- S••••• R••••••• L•••••• P•••••••••investment adviserpooled vehicle sponsorn
Advisers that list R••••••• C•••••• I••••••••• C••••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- advisor count dropChange between filings · filing Mar 30, 2026advisory representatives (Item 5.B.3) moved from 7.0 to 1.0 (-86.0%) between the annual amendments of 2025-02-25 and 2026-03-30; the peer median change was 0.0% (35 comparable advisers, 3.0th percentile of changes)peers: asset managers, $1B to $5B (35) · 2.9% percentile
What changed
consecutive filings, newest first
- Accounts · 32 to 35Feb 25, 2025 to Mar 30, 2026
- Advisory employees · 5 to 0Feb 25, 2025 to Mar 30, 2026
- BD registered reps · 8 to 2Feb 25, 2025 to Mar 30, 2026
- Pooled vehicle clients · 32 to 35Feb 25, 2025 to Mar 30, 2026
- Assets in custody · $3.6B to $3.9BFeb 25, 2025 to Mar 30, 2026
- Employees · 9 to 4Feb 25, 2025 to Mar 30, 2026
- State-registered IARs · 7 to 1Feb 25, 2025 to Mar 30, 2026
- Private funds · 17 to 14Feb 25, 2025 to Mar 30, 2026
- Discretionary RAUM · $3.0B to $2.9BFeb 25, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $580M to $769MFeb 25, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $3.6B to $3.7BFeb 25, 2025 to Mar 30, 2026
- RAUM · $3.6B to $3.7BFeb 25, 2025 to Mar 30, 2026
- Accounts · 31 to 32Mar 26, 2024 to Feb 25, 2025
- BD registered reps · 6 to 8Mar 26, 2024 to Feb 25, 2025
- Pooled vehicle clients · 31 to 32Mar 26, 2024 to Feb 25, 2025
- Assets in custody · $3.6B to $3.6BMar 26, 2024 to Feb 25, 2025
- Insurance-licensed employees · 5 to 0Mar 26, 2024 to Feb 25, 2025
- Financial planning clients · 0 to 0Mar 26, 2024 to Feb 25, 2025
- State-registered IARs · 5 to 7Mar 26, 2024 to Feb 25, 2025
- Discretionary RAUM · $3.0B to $3.0BMar 26, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $519M to $580MMar 26, 2024 to Feb 25, 2025
- Pooled vehicle RAUM · $3.6B to $3.6BMar 26, 2024 to Feb 25, 2025
- RAUM · $3.6B to $3.6BMar 26, 2024 to Feb 25, 2025
- Accounts · 41 to 31Mar 31, 2023 to Mar 26, 2024
- Pooled vehicle clients · 41 to 31Mar 31, 2023 to Mar 26, 2024
- Assets in custody · $2.0B to $3.6BMar 31, 2023 to Mar 26, 2024
- Private funds · 23 to 17Mar 31, 2023 to Mar 26, 2024
- Discretionary RAUM · $3.1B to $3.0BMar 31, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $491M to $519MMar 31, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $3.5B to $3.6BMar 31, 2023 to Mar 26, 2024
- RAUM · $3.5B to $3.6BMar 31, 2023 to Mar 26, 2024
- Accounts · 45 to 41Dec 14, 2022 to Mar 30, 2023
- Pooled vehicle clients · 45 to 41Dec 14, 2022 to Mar 30, 2023
- Private funds · 26 to 23Dec 14, 2022 to Mar 30, 2023
- Discretionary RAUM · $2.5B to $3.1BDec 14, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $498M to $491MDec 14, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $3.0B to $3.5BDec 14, 2022 to Mar 30, 2023
- RAUM · $3.0B to $3.5BDec 14, 2022 to Mar 30, 2023
- Related bank · false to trueDec 14, 2022 to Mar 30, 2023
- Private funds · 23 to 26Mar 25, 2022 to Dec 14, 2022
Signals
12 dated events
- Fritz Peter Grosskopf (Director) no longer on Schedule A of R••••••• C•••••• I••••••••• C••••••••• (listed 2022-12-14, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- R••••••• C•••••• I••••••••• C••••••••• reported RAUM $3.0B, up 48% from $2.0B (2021-11-01 to 2022-03-25)Mar 25, 2022 · RAUM change · derived
- Richards Arthur Rule (President And Director) no longer on Schedule A of R••••••• C•••••• I••••••••• C••••••••• (listed 2020-03-27, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Jeffrey Howard (Director) no longer on Schedule A of R••••••• C•••••• I••••••••• C••••••••• (listed 2020-03-27, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Anthony John Ciampaglia (Director) no longer on Schedule A of R••••••• C•••••• I••••••••• C••••••••• (listed 2020-03-27, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- K•••• H•••••• (Director) no longer on Schedule A of R••••••• C•••••• I••••••••• C••••••••• (listed 2020-03-27, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Virgil Robert Villaflor (Director) appeared on Schedule A of R••••••• C•••••• I••••••••• C•••••••••Mar 30, 2021 · Control person joined · fact
- R••••••• C•••••• I••••••••• C••••••••• reported RAUM $1.7B, up 47% from $1.1B (2020-01-02 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- R••••••• C•••••• I••••••••• C••••••••• reported RAUM $1.1B, up 34% from $855.0M (2018-09-24 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- Kaur Varinder Bhathal (Treasurer) appeared on Schedule A of R••••••• C•••••• I••••••••• C•••••••••Mar 29, 2019 · Control person joined · fact
- Marie Gretchen Carter (Treasurer) no longer on Schedule A of R••••••• C•••••• I••••••••• C••••••••• (listed 2018-09-24, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- R••••••• C•••••• I••••••••• C••••••••• filed its initial SEC registration (Form ADV)May 17, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R••••••• C•••••• I••••••••• C••••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 760-444-5254reportedpublic record, Form ADV, Mar 30, 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
- $3.7Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026