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••••••• L••
Latest filing Mar 29, 2023
First filing on the tape Mar 31, 2015 · 10 filings
RAUM
$129M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$29.3M gross assets
History
10 filings and snapshots on the tape
RAUM$129M as of Mar 29, 2023
Mar 11, 2016$145M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2023
Mar 11, 20160 then
Employees (5.A)4 as of Mar 29, 2023
Mar 11, 20167 then
Private funds1 as of Mar 29, 2023
Mar 11, 20161 then
RAUM -36% over the last fiscal year-8.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2023; 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
- $64.3MderivedRAUM 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
- unknownderived1 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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $29.3M, 1 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$29.3M100%
- 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
- $29.3M for 1 clientsreported
- 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••••••• C•••• L• | Hedge Fund | $29.3M | 13 | Mar 31, 2015 |
Owners and control persons
Schedule A and B, latest filing
- A••••• J•••• H••••• · Chief Executive Officer, Managing Membercontrolsince 04/2013 · owns 75% or more
- W••••••••• K••• · Chief Financial Officer, Chief Compliance Officercontrolsince 04/2014 · owns less than 5%
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
- Assets in custody · $79.6M to $29.3MMar 30, 2022 to Mar 29, 2023
- Employees · 5 to 4Mar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $202M to $129MMar 30, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $79.6M to $29.3MMar 30, 2022 to Mar 29, 2023
- RAUM · $202M to $129MMar 30, 2022 to Mar 29, 2023
- Assets in custody · $75.1M to $79.6MMar 29, 2021 to Mar 30, 2022
- Discretionary RAUM · $177M to $202MMar 29, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $75.1M to $79.6MMar 29, 2021 to Mar 30, 2022
- RAUM · $177M to $202MMar 29, 2021 to Mar 30, 2022
- Assets in custody · $70.2M to $75.1MMar 30, 2020 to Mar 29, 2021
- Discretionary RAUM · $170M to $177MMar 30, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $70.2M to $75.1MMar 30, 2020 to Mar 29, 2021
- RAUM · $170M to $177MMar 30, 2020 to Mar 29, 2021
- Assets in custody · $79.5M to $70.2MMar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $164M to $170MMar 29, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $79.5M to $70.2MMar 29, 2019 to Mar 30, 2020
- RAUM · $164M to $170MMar 29, 2019 to Mar 30, 2020
- Advisory employees · 4 to 3Mar 29, 2018 to Mar 29, 2019
- Assets in custody · $114M to $79.5MMar 29, 2018 to Mar 29, 2019
- Employees · 6 to 5Mar 29, 2018 to Mar 29, 2019
- Discretionary RAUM · $221M to $164MMar 29, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $114M to $79.5MMar 29, 2018 to Mar 29, 2019
- RAUM · $221M to $164MMar 29, 2018 to Mar 29, 2019
- Pooled vehicle clients · unset to 1.0Mar 22, 2017 to Mar 29, 2018
- Assets in custody · $94.2M to $114MMar 22, 2017 to Mar 29, 2018
- Employees · 7 to 6Mar 22, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Mar 22, 2017 to Mar 29, 2018
- Discretionary RAUM · $206M to $221MMar 22, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 114350540.0Mar 22, 2017 to Mar 29, 2018
- RAUM · $206M to $221MMar 22, 2017 to Mar 29, 2018
- Assets in custody · $65.0M to $94.2MMar 11, 2016 to Mar 22, 2017
- Discretionary RAUM · $145M to $206MMar 11, 2016 to Mar 22, 2017
- RAUM · $145M to $206MMar 11, 2016 to Mar 22, 2017
- Assets in custody · $47.6M to $65.0MAug 14, 2015 to Mar 11, 2016
- Employees · 5 to 7Aug 14, 2015 to Mar 11, 2016
- Discretionary RAUM · $129M to $145MAug 14, 2015 to Mar 11, 2016
- RAUM · $129M to $145MAug 14, 2015 to Mar 11, 2016
- Accounts · 1 to 2Mar 31, 2015 to Aug 14, 2015
- Assets in custody · $13.2M to $47.6MMar 31, 2015 to Aug 14, 2015
- Discretionary RAUM · $13.2M to $129MMar 31, 2015 to Aug 14, 2015
Signals
1 dated events
- R••••••• C••••••• L•• filed its initial SEC registration (Form ADV)Mar 31, 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.
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