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•• O•• P•••••••• L••
Latest filing Jun 23, 2020
First filing on the tape Jul 9, 2014 · 21 filings
RAUM
$86.4M
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
5
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
$86.4M gross assets
History
21 filings and snapshots on the tape
RAUM$86.4M as of Mar 9, 2020
Mar 31, 2015$137M then
HNW client RAUM$0 as of Mar 9, 2020
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 9, 2020
Mar 31, 20150 then
Employees (5.A)5 as of Mar 9, 2020
Mar 31, 20155 then
Private funds5 as of Mar 9, 2020
Mar 31, 20154 then
RAUM -24% over the last fiscal year-18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 23, 2020; 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
- $21.6MderivedRAUM 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
- -24%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
- Custody
- $86.4M, 4 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$86.4M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $86.4M for 4 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• R•• O•• F•••• L• | Hedge Fund | $58.9M | 28 | Jul 9, 2014 |
| T•• R•• O•• L••• F•••• L• | Hedge Fund | $31.7M | 14 | Jul 9, 2014 |
| R•• O•• T•••• A••••••••• L••no longer reported | Private Equity Fund | $28.9M | 24 | Sep 19, 2014 |
| P••••••• O••••••••• F•••• L• | Hedge Fund | $18.0M | 11 | Jul 9, 2014 |
| T•• R•• O•• I••••••••• F••••••• L••• F•••• L• | Hedge Fund | $2.7M | 1 | Mar 30, 2016 |
| R•• O•• S• L•• | Private Equity Fund | $202,336 | 6 | Mar 30, 2018 |
Owners and control persons
Schedule A and B, latest filing
- S•••••••• D•••• · Managing Membercontrolsince 03/2003 · owns 75% or more
- P••••••••• A•••••• J••••• · Chief Financial Officersince 05/2008 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Norwalk, CT
What changed
consecutive filings, newest first
- Assets in custody · $4.7M to $86.4MApr 17, 2020 to Jun 1, 2020
- Custody of client assets · false to trueApr 17, 2020 to Jun 1, 2020
- Private funds · 5 to 4Mar 31, 2020 to Apr 16, 2020
- Accounts · 5 to 4Mar 28, 2019 to Mar 9, 2020
- Pooled vehicle clients · 5 to 4Mar 28, 2019 to Mar 9, 2020
- Assets in custody · $6.9M to $4.7MMar 28, 2019 to Mar 9, 2020
- Discretionary RAUM · $113M to $86.4MMar 28, 2019 to Mar 9, 2020
- Pooled vehicle RAUM · $113M to $86.4MMar 28, 2019 to Mar 9, 2020
- RAUM · $113M to $86.4MMar 28, 2019 to Mar 9, 2020
- Advisory employees · 3 to 2Nov 20, 2018 to Mar 28, 2019
- Assets in custody · $5.7M to $6.9MNov 20, 2018 to Mar 28, 2019
- Other offices · 0 to 1Nov 20, 2018 to Mar 28, 2019
- Discretionary RAUM · $109M to $113MNov 20, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $109M to $113MNov 20, 2018 to Mar 28, 2019
- RAUM · $109M to $113MNov 20, 2018 to Mar 28, 2019
- Accounts · 6 to 5Aug 3, 2017 to Mar 30, 2018
- Advisory activities · 2 to 1Aug 3, 2017 to Mar 30, 2018
- Charity clients · unset to 0.0Aug 3, 2017 to Mar 30, 2018
- Corporate clients · unset to 0.0Aug 3, 2017 to Mar 30, 2018
- HNW clients · unset to 0.0Aug 3, 2017 to Mar 30, 2018
- Individual clients · unset to 0.0Aug 3, 2017 to Mar 30, 2018
- Pension plan clients · unset to 0.0Aug 3, 2017 to Mar 30, 2018
- Pooled vehicle clients · unset to 5.0Aug 3, 2017 to Mar 30, 2018
- Assets in custody · $9.5M to $5.7MAug 3, 2017 to Mar 30, 2018
- Other offices · unset to 0.0Aug 3, 2017 to Mar 30, 2018
- Private funds · 4 to 5Aug 3, 2017 to Mar 30, 2018
- Discretionary RAUM · $86.4M to $109MAug 3, 2017 to Mar 30, 2018
- HNW RAUM · unset to 0.0Aug 3, 2017 to Mar 30, 2018
- Individual RAUM · unset to 0.0Aug 3, 2017 to Mar 30, 2018
- Non-discretionary RAUM · $68.4M to $0Aug 3, 2017 to Mar 30, 2018
- Pension RAUM · unset to 0.0Aug 3, 2017 to Mar 30, 2018
- Pooled vehicle RAUM · unset to 109135679.0Aug 3, 2017 to Mar 30, 2018
- RAUM · $155M to $109MAug 3, 2017 to Mar 30, 2018
- HQ city · unset to BOCA RATONAug 2, 2017 to Aug 3, 2017
- HQ state · unset to FLAug 2, 2017 to Aug 3, 2017
- Advisory employees · 2 to 3Mar 28, 2017 to Apr 4, 2017
- Accounts · 7 to 6May 4, 2016 to Mar 28, 2017
- Advisory activities · 3 to 2May 4, 2016 to Mar 28, 2017
- Assets in custody · $9.5M to $9.5MMay 4, 2016 to Mar 28, 2017
- Discretionary RAUM · $71.6M to $86.4MMay 4, 2016 to Mar 28, 2017
Signals
1 dated events
- R•• O•• P•••••••• L•• filed its initial SEC registration (Form ADV)Jul 9, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R•• O•• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- R•• O•• P•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- REDOAKPARTNERS.COMreportedpublic record, Form ADV, Sep 19, 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
- 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