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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Former SEC-registered adviser

R••••••• C•••••• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 167004SEC 801-77788IAPD
Latest filing Mar 28, 2018
First filing on the tape Mar 15, 2013 · 9 filings
RAUM
$1.7B
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
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
$3.1B gross assets
History
9 filings and snapshots on the tape
RAUM$1.7B as of Mar 28, 2018
Mar 27, 2014$1.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2018
Mar 27, 20140 then
Employees (5.A)18 as of Mar 28, 2018
Mar 27, 201412 then
Private funds4 as of Mar 28, 2018
Mar 27, 20144 then
RAUM -36% over the last fiscal year-24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2018; 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
$838MderivedRAUM 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
-36%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
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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$1.7B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
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
      Every departureEvery arrival
      Private funds
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      R••••••• C•••••• M••••• F••• L•••Hedge Fund$15.4M99Mar 15, 2013
      R••••••• C•••••• P••••••• L•Hedge Fund$8.4M49Mar 15, 2013
      R••••••• C•••••• O••••••• F••• L•••Hedge Fund$7.1M62Mar 15, 2013
      N•• M•••••• F•••• S•• ••••••••• P•••••••• 1••Hedge Fund$6.2M20Jul 30, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• R••••••• R••••• · P•••••••• M•••••• And Limited Partnercontrol
        since 11/2012 · owns 75% or more
      • R••••• L••••• A•• · Chief Operating Officer And Chief Financial Officercontrol
        since 11/2012 · owns less than 5%
      • X•••••••• T•••• F•••• · General Counsel And Chief Compliance Officercontrol
        since 07/2014 · owns less than 5%
      • B••••••• R••••••• R••••• · Managing Membercontrol
        since 11/2012 · owns 75% or more of R••••••• C•••••• H••••••• L••
      Entity owners
      • R••••••• C•••••• H••••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • R••••••• C•••••• A••••••• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 10 to 12
        Mar 27, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 27, 2017 to Mar 28, 2018
      • Employees · 17 to 18
        Mar 27, 2017 to Mar 28, 2018
      • Other offices · unset to 1.0
        Mar 27, 2017 to Mar 28, 2018
      • Discretionary RAUM · $2.6B to $1.7B
        Mar 27, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 1675469946.0
        Mar 27, 2017 to Mar 28, 2018
      • RAUM · $2.6B to $1.7B
        Mar 27, 2017 to Mar 28, 2018
      • Advisory employees · 9 to 10
        Aug 29, 2016 to Mar 27, 2017
      • Discretionary RAUM · $3.8B to $2.6B
        Aug 29, 2016 to Mar 27, 2017
      • RAUM · $3.8B to $2.6B
        Aug 29, 2016 to Mar 27, 2017
      • Advisory employees · 8 to 9
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 16 to 17
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $3.8B to $3.8B
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $3.8B to $3.8B
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 6 to 8
        Mar 27, 2014 to Mar 31, 2015
      • Employees · 12 to 16
        Mar 27, 2014 to Mar 31, 2015
      • Discretionary RAUM · $1.7B to $3.8B
        Mar 27, 2014 to Mar 31, 2015
      • RAUM · $1.7B to $3.8B
        Mar 27, 2014 to Mar 31, 2015
      • Advisory activities · 2 to 1
        Jul 30, 2013 to Mar 27, 2014
      • Employees · 10 to 12
        Jul 30, 2013 to Mar 27, 2014
      • Discretionary RAUM · $671M to $1.7B
        Jul 30, 2013 to Mar 27, 2014
      • RAUM · $671M to $1.7B
        Jul 30, 2013 to Mar 27, 2014
      • Accounts · unset to 2.0
        Mar 15, 2013 to Jul 30, 2013
      • Business name · R••••••• C•••••• L• to R••••••• C•••••• M••••••••• L•
        Mar 15, 2013 to Jul 30, 2013
      • Employees · 9 to 10
        Mar 15, 2013 to Jul 30, 2013
      • Legal name · R••••••• C•••••• L• to R••••••• C•••••• M••••••••• L•
        Mar 15, 2013 to Jul 30, 2013
      • Private funds · 3 to 4
        Mar 15, 2013 to Jul 30, 2013
      • Discretionary RAUM · unset to 670636000.0
        Mar 15, 2013 to Jul 30, 2013
      • Non-discretionary RAUM · unset to 0.0
        Mar 15, 2013 to Jul 30, 2013
      • RAUM · unset to 670636000.0
        Mar 15, 2013 to Jul 30, 2013
      Signals
      2 dated events
      • R••••••• C•••••• M••••••••• L• reported RAUM $1.7B, down 36% from $2.6B (2017-03-27 to 2018-03-28)
        Mar 28, 2018 · RAUM change · derived
      • R••••••• C•••••• L• filed its initial SEC registration (Form ADV)
        Mar 15, 2013 · 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.
      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
      Former SEC-registered adviserderiveda 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