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.

Former SEC-registered adviser

Robotic Trading Advisors, LLC

Former SEC-registered adviserScottsdale, ArizonaCRD 168687SEC 801-78577IAPD
Latest filing Nov 28, 2017
First filing on the tape Sep 11, 2013 · 37 filings
RAUM
$5.0M
reported, Item 5.F
Discretionary
70%
of RAUM
Private clients
100%
$5.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$3.5M as of Mar 30, 2017
Mar 12, 2014$5.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 30, 2017
Mar 12, 20144 then
Employees (5.A)4 as of Mar 30, 2017
Mar 12, 20148 then
Private funds: no history
RAUM +26% over the last fiscal year+0.0% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Nov 28, 2017; every figure names its basis
RAUM per advisor
$5.0MderivedRAUM 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
$81,967derivedRAUM over accounts (5.F.2.f)
Discretionary
70%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-12%derivedbetween the last two annual amendments
Advisor growth, one year
+50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$4.0M80%
  • High-net-worth individuals$1.0M20%
Individual clients
27reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
61reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • J Nicholas Rausch · Chief Compliance Officercontrol
    since 04/2017 · owns 50% to 75%
  • Scott Eric Williams · Membercontrol
    since 03/2015 · owns less than 5%
  • P Samuel Black · Ownercontrol
    since 10/1993 · owns 75% or more of Black Interests Limited Partnership
  • M Dan Lindsey · Member
    since 03/2015 · owns less than 5%
  • J. Michael Schaefermeyer · Member
    since 03/2015 · owns less than 5%
Entity owners
  • Black Interests Limited Partnership · Member
    direct · owns 10% to 25%
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
  • Advisory employees · 3 to 2
    Apr 11, 2017 to Nov 28, 2017
  • Individual clients · unset to 27.0
    Apr 11, 2017 to Nov 28, 2017
  • Employees · 4 to 2
    Apr 11, 2017 to Nov 28, 2017
  • Financial planning clients · unset to 0
    Apr 11, 2017 to Nov 28, 2017
  • State-registered IARs · 3 to 1
    Apr 11, 2017 to Nov 28, 2017
  • Other offices · unset to 1.0
    Apr 11, 2017 to Nov 28, 2017
  • Discretionary RAUM · $2.0M to $3.5M
    Apr 11, 2017 to Nov 28, 2017
  • HNW RAUM · unset to 1000000.0
    Apr 11, 2017 to Nov 28, 2017
  • Individual RAUM · unset to 4000000.0
    Apr 11, 2017 to Nov 28, 2017
  • Non-discretionary RAUM · $1.5M to $1.5M
    Apr 11, 2017 to Nov 28, 2017
  • RAUM · $3.5M to $5.0M
    Apr 11, 2017 to Nov 28, 2017
  • Accounts · 334 to 61
    Oct 4, 2016 to Mar 30, 2017
  • Discretionary RAUM · $3.9M to $2.0M
    Oct 4, 2016 to Mar 30, 2017
  • Non-discretionary RAUM · $20,250 to $1.5M
    Oct 4, 2016 to Mar 30, 2017
  • RAUM · $4.0M to $3.5M
    Oct 4, 2016 to Mar 30, 2017
  • Advisory employees · 2 to 3
    Jul 13, 2016 to Oct 4, 2016
  • Advisory activities · 3 to 2
    Jul 13, 2016 to Oct 4, 2016
  • Employees · 3 to 4
    Jul 13, 2016 to Oct 4, 2016
  • State-registered IARs · 2 to 3
    Jul 13, 2016 to Oct 4, 2016
  • Accounts · 257 to 334
    Dec 21, 2015 to Mar 2, 2016
  • Advisory employees · 3 to 2
    Dec 21, 2015 to Mar 2, 2016
  • State-registered IARs · 3 to 2
    Dec 21, 2015 to Mar 2, 2016
  • Discretionary RAUM · $3.2M to $3.9M
    Dec 21, 2015 to Mar 2, 2016
  • Non-discretionary RAUM · $16.1M to $20,250
    Dec 21, 2015 to Mar 2, 2016
  • RAUM · $19.3M to $4.0M
    Dec 21, 2015 to Mar 2, 2016
  • Accounts · 286 to 257
    Nov 12, 2015 to Dec 21, 2015
  • Employees · 6 to 3
    Nov 12, 2015 to Dec 21, 2015
  • Discretionary RAUM · $5.0M to $3.2M
    Nov 12, 2015 to Dec 21, 2015
  • RAUM · $21.1M to $19.3M
    Nov 12, 2015 to Dec 21, 2015
  • Advisory employees · 2 to 3
    Jul 6, 2015 to Aug 13, 2015
  • Employees · 5 to 6
    Jul 6, 2015 to Aug 13, 2015
  • State-registered IARs · 2 to 3
    Jul 6, 2015 to Aug 13, 2015
  • Advisory employees · 3 to 2
    Jun 16, 2015 to Jul 6, 2015
  • Employees · 3 to 5
    Jun 16, 2015 to Jul 6, 2015
  • State-registered IARs · 3 to 2
    Jun 16, 2015 to Jul 6, 2015
  • Advisory employees · 5 to 3
    Apr 17, 2015 to Jun 16, 2015
  • Employees · 5 to 3
    Apr 17, 2015 to Jun 16, 2015
  • State-registered IARs · 5 to 3
    Apr 17, 2015 to Jun 16, 2015
  • Accounts · 210 to 286
    Jun 16, 2015 to Jun 16, 2015
  • Discretionary RAUM · $5.5M to $5.0M
    Jun 16, 2015 to Jun 16, 2015
Signals
1 dated events
  • Robotic Trading Advisors, Llc filed its initial SEC registration (Form ADV)
    Sep 11, 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