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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

R••••• C•••••• M••••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 169205SEC 801-78689IAPD
Latest filing Apr 2, 2018
First filing on the tape Oct 7, 2013 · 8 filings
RAUM
$39.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
33%
$12.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$26.8M gross assets
History
8 filings and snapshots on the tape
RAUM$39.5M as of Apr 2, 2018
Mar 31, 2014$102M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 2, 2018
Mar 31, 20140 then
Employees (5.A)4 as of Apr 2, 2018
Mar 31, 20144 then
Private funds1 as of Apr 2, 2018
Mar 31, 20141 then
RAUM -1.2% over the last fiscal year-18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 2, 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
$1.8MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-1.2%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehicles, pension consultingreportedItem 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)
  • compensates persons for client referrals (8.G.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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$26.6M67%
  • Individuals$12.9M33%
Individual clients
21reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
22reported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••• P••• M•••• M••••• F••• L•••Hedge Fund$26.8M5Oct 7, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• N•••••••• F••••• · Co-Foundercontrol
        since 09/2013 · owns 50% to 75%
      • H••• C•••••• J••• · Chief Operating Officer, Chief Compliance Officercontrol
        since 09/2013 · owns less than 5%
      • M••••••••• R•••••• A•••••• · Chief Executive Officer, Limited Partnercontrol
        since 09/2013 · owns 50% to 75%
      • B•••••• N•••••••• F••••• · Managercontrol
        since 04/2016 · owns 50% to 75% of R••••• C•••••• M••••••••• L••
      • M••••••••• R•••••• A•••••• · Managercontrol
        since 04/2013 · owns 50% to 75% of R••••• C•••••• M••••••••• L••
      Entity owners
      • R••••• C•••••• M••••••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • C••• P••• C•••••• M••••••••• L••
        bankpooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 23 to 22
        Mar 30, 2017 to Apr 2, 2018
      • Individual clients · unset to 21.0
        Mar 30, 2017 to Apr 2, 2018
      • Pooled vehicle clients · unset to 1.0
        Mar 30, 2017 to Apr 2, 2018
      • Employees · 5 to 4
        Mar 30, 2017 to Apr 2, 2018
      • HQ city · SCARSDALE to NEW YORK
        Mar 30, 2017 to Apr 2, 2018
      • Other offices · unset to 1.0
        Mar 30, 2017 to Apr 2, 2018
      • Discretionary RAUM · $40.0M to $39.5M
        Mar 30, 2017 to Apr 2, 2018
      • Individual RAUM · unset to 12939678.0
        Mar 30, 2017 to Apr 2, 2018
      • Pooled vehicle RAUM · unset to 26590985.0
        Mar 30, 2017 to Apr 2, 2018
      • RAUM · $40.0M to $39.5M
        Mar 30, 2017 to Apr 2, 2018
      • Accounts · 14 to 23
        Mar 30, 2016 to Mar 30, 2017
      • Advisory activities · 2 to 3
        Mar 30, 2016 to Mar 30, 2017
      • HQ city · NEW YORK to SCARSDALE
        Mar 30, 2016 to Mar 30, 2017
      • Discretionary RAUM · $30.0M to $40.0M
        Mar 30, 2016 to Mar 30, 2017
      • RAUM · $30.0M to $40.0M
        Mar 30, 2016 to Mar 30, 2017
      • Accounts · 3 to 14
        Mar 31, 2015 to Mar 30, 2016
      • Advisory activities · 1 to 2
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $71.4M to $30.0M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $71.4M to $30.0M
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 4 to 5
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $102M to $71.4M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $102M to $71.4M
        Mar 31, 2014 to Mar 31, 2015
      • Related bank · false to true
        Mar 31, 2014 to Mar 31, 2015
      • Accounts · 0 to 3
        Oct 21, 2013 to Feb 14, 2014
      • Employees · 3 to 4
        Oct 21, 2013 to Feb 14, 2014
      • Discretionary RAUM · $0 to $102M
        Oct 21, 2013 to Feb 14, 2014
      • RAUM · $0 to $102M
        Oct 21, 2013 to Feb 14, 2014
      Signals
      1 dated events
      • R••••• C•••••• M••••••••• L••• filed its initial SEC registration (Form ADV)
        Oct 7, 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