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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SEC-registered adviser
R•••• P••••••• C•••••• M••••••••• L•
Latest filing Jun 18, 2026
First filing on the tape Oct 9, 2014 · 30 filings
SEC status approved since Nov 21, 2014
RAUM
$1.3B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
73%
$961M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
10
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.3B as of Jun 18, 2026
Mar 30, 2015$2.1B then
HNW client RAUM$904M as of Jun 18, 2026
Mar 28, 2018$942M then
State-registered IARs (5.B.3)0 as of Jun 18, 2026
Mar 30, 20150 then
Employees (5.A)13 as of Jun 18, 2026
Mar 30, 20158 then
Private funds10 as of Jun 18, 2026
Mar 30, 20151 then
RAUM +8.3% over the last fiscal year+6.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 18, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- ria with p•••••• funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- 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
- $7.4MderivedHNW RAUM over HNW clients
- Average account
- $4.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.4%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
- +8.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $1.2B, 202 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$904M69%
- Pooled investment vehicles$326M25%
- Individuals$56.7M4.3%
- Charitable organizations$32.2M2.4%
- Individual clients
- 59reported
- HNW clients
- 122reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 310reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2B for 202 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.73 fund_share=0.25 institutional_share=0.02 related_bd=false related_bank=true bd_reps=0.0 bank_owner=falsederived
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
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••• P••••••• G••••• E••••• L•• | Hedge Fund | $112M | 39 | Sep 18, 2015 |
| R•••• P••••••• H•••• F•••• L•• | Hedge Fund | $73.7M | 44 | Feb 3, 2015 |
| R•••• P••••••• P•••••• I••••••••• F••• L•• | Private Equity Fund | $44.6M | 82 | Sep 18, 2015 |
| R•••• P••••••• W•• O••••••••• L•• | $5.3M | 18 | Jun 18, 2026 | |
| R•••• P••••••• B••• O••••••••• L•• | $5.0M | 15 | Jun 18, 2026 | |
| R•••• P••••••• M• 2••• O••••••••• L•• | $3.4M | 11 | Jun 18, 2026 | |
| R•••• P••••••• C•• O••••••••• L•• | $3.2M | 11 | Jun 18, 2026 | |
| R•••• P••••••• U••• F••• V• L•• | $3.0M | 7 | Jun 18, 2026 | |
| R•••• P••••••• J•• O••••••••• L•• | $2.6M | 19 | Jun 18, 2026 | |
| R•••• P••••••• Q•••••• A•• F••• L•• | $827,752 | 7 | Jun 18, 2026 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• C•••• M•••• · Chief Compliance Officercontrolsince 09/2021 · owns less than 5%
- L••••• J•••• A••••• · Chairmancontrolsince 10/2014 · owns less than 5%
- S•••••• D••••• B•••• · Chief Executive Officer And Chief Investment Officercontrolsince 04/2024 · owns less than 5%
- B•••••••• M•••••• · Sole Shareholdercontrolsince 12/2003 · owns 75% or more of B• I•• A••••••••• C•••••• L••
- L••••• J•••• A••••• · Sole Trusteecontrolsince 10/2014 · owns F of L•••• 2••• L•••••••• T••••
Entity owners
- L•••• 2••• L•••••••• T•••• · Limited Partnerdirect · owns 75% or more
- R•••• P••••••• C•••••• · General Partnerdirect · owns less than 5%
- R•••• P••••••• C•••••• M••••••••• G•• L•• · General Partnerdirect · owns less than 5%
- B• I•• A••••••••• C•••••• L•• · Partnerindirect · owns F of B••••••• A••••••••• I••
- L•••• 2••• L•••••••• T•••• · Sole Memberindirect · owns 75% or more of R•••• P••••••• C•••••• M••••••••• G•• L••
- B••••••• A••••••••• I•• · Limited Partnerdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- L••• L••investment adviserbankpooled vehicle sponsorn
- L•••• C•••••• S••••••••• G•• L••pooled vehicle sponsorn
- L•••• C•••••• S••••••••• L•••investment adviserbankpooled vehicle sponsornRAUM $1.7B
- R•••• P••••••• C•••••• M••••••••• G•• L••pooled vehicle sponsory
- R• T••• L••insurancey
Advisers that list R•••• P••••••• C•••••• M••••••••• L• as a related person
- 137147 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jun 18, 2026B•••••••• M•••••• (SOLE SHAREHOLDER) left Schedule A between the filings of 2024-04-19 and 2026-06-18peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jun 18, 2026C•••••• C•••• M•••• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-04-19 and 2026-06-18peers: independent wealth managers, $1B to $5B (1,362)
- wealth RIA p•••••• fund surgeCombination · filing Mar 31, 2026a wealth manager (private-client share at least 50 percent) whose private fund count grew by three or more and 50 percent or more. RAUM $1,218,263,689 to $1,319,282,408, advisors 0 to 0, private clients 181 to 181, offices 0 to 0 (2025-03-31 to 2026-03-31)peers: independent wealth managers, $1B to $5B (1,362)
- p•••••• fund count surgeChange between filings · filing Mar 31, 2026private funds (Schedule D 7.B.1) moved from 5.0 to 10.0 (+100.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (126 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $1B to $5B (126) · 98% percentile
What changed
consecutive filings, newest first
- Advisory employees · 4 to 5Sep 3, 2025 to Mar 31, 2026
- Pooled vehicle clients · 35 to 40Sep 3, 2025 to Mar 31, 2026
- Assets in custody · $1.1B to $1.2BSep 3, 2025 to Mar 31, 2026
- Employees · 12 to 13Sep 3, 2025 to Mar 31, 2026
- Private funds · 5 to 10Sep 3, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.2B to $1.3BSep 3, 2025 to Mar 31, 2026
- HNW RAUM · $825M to $904MSep 3, 2025 to Mar 31, 2026
- Individual RAUM · $51.5M to $56.7MSep 3, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $25.4M to $27.5MSep 3, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $314M to $326MSep 3, 2025 to Mar 31, 2026
- RAUM · $1.2B to $1.3BSep 3, 2025 to Mar 31, 2026
- Accounts · 304 to 310Apr 19, 2024 to Mar 31, 2025
- Advisory employees · 3 to 4Apr 19, 2024 to Mar 31, 2025
- Charity clients · 7 to 6Apr 19, 2024 to Mar 31, 2025
- HNW clients · 123 to 122Apr 19, 2024 to Mar 31, 2025
- Individual clients · 69 to 59Apr 19, 2024 to Mar 31, 2025
- Pooled vehicle clients · 38 to 35Apr 19, 2024 to Mar 31, 2025
- Assets in custody · $1.1B to $1.1BApr 19, 2024 to Mar 31, 2025
- Employees · 10 to 12Apr 19, 2024 to Mar 31, 2025
- Financial planning clients · 0 to Apr 19, 2024 to Mar 31, 2025
- Private funds · 3 to 5Apr 19, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.1B to $1.2BApr 19, 2024 to Mar 31, 2025
- HNW RAUM · $727M to $825MApr 19, 2024 to Mar 31, 2025
- Individual RAUM · $43.5M to $51.5MApr 19, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $26.4M to $25.4MApr 19, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $338M to $314MApr 19, 2024 to Mar 31, 2025
- RAUM · $1.1B to $1.2BApr 19, 2024 to Mar 31, 2025
- Accounts · 312 to 304Dec 4, 2023 to Mar 28, 2024
- Advisory employees · 4 to 3Dec 4, 2023 to Mar 28, 2024
- HNW clients · 121 to 123Dec 4, 2023 to Mar 28, 2024
- Individual clients · 57 to 69Dec 4, 2023 to Mar 28, 2024
- Pooled vehicle clients · 44 to 38Dec 4, 2023 to Mar 28, 2024
- Assets in custody · $1.0B to $1.1BDec 4, 2023 to Mar 28, 2024
- Employees · 11 to 10Dec 4, 2023 to Mar 28, 2024
- Financial planning clients · unset to 0Dec 4, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.1B to $1.1BDec 4, 2023 to Mar 28, 2024
- HNW RAUM · $693M to $727MDec 4, 2023 to Mar 28, 2024
- Individual RAUM · $37.9M to $43.5MDec 4, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $28.8M to $26.4MDec 4, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $345M to $338MDec 4, 2023 to Mar 28, 2024
Signals
7 dated events
- Barry David Sochol (Chief Executiveofficer And Chiefinvestment Officer) appeared on Schedule A of R•••• P••••••• C•••••• M••••••••• L•Apr 19, 2024 · Control person joined · fact
- Thomas Robert Discolo (Chief Executive Officer And Chief Investment Officer) no longer on Schedule A of R•••• P••••••• C•••••• M••••••••• L• (listed 2023-12-04, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Thomas Robert Discolo (Chief Executive Officer And Chief Investment Officer) appeared on Schedule A of R•••• P••••••• C•••••• M••••••••• L•Mar 31, 2022 · Control person joined · fact
- Marie Cara Cawood (Chief Compliance Officer) appeared on Schedule A of R•••• P••••••• C•••••• M••••••••• L•Sep 1, 2021 · Control person joined · fact
- J•••• S••••• G••••• (Chief Compliance Officer) no longer on Schedule A of R•••• P••••••• C•••••• M••••••••• L• (listed 2021-03-31, absent 2021-09-01)Sep 1, 2021 · Control person left · inference
- J•••• S••••• G••••• (Chief Compliance Officer) appeared on Schedule A of R•••• P••••••• C•••••• M••••••••• L•Mar 30, 2020 · Control person joined · fact
- R•••• P••••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Oct 9, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R•••• P••••••• C•••••• M••••••••• L• · Independent Sponsorsshared crd · capital_provider
- R•••• P••••••• C•••••• M••••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- riverpartners.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-259-0819reportedpublic record, Form ADV, Jun 18, 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
- Independent wealth managerderiveda 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