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•••••• M••••••••• L•
Latest filing Mar 29, 2018
First filing on the tape Jun 17, 2015 · 6 filings
RAUM
$204M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
1.3%
$2.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$202M gross assets
History
6 filings and snapshots on the tape
RAUM$204M as of Mar 29, 2018
Mar 29, 2016$251M then
HNW client RAUM: $2.6M
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 29, 20160 then
Employees (5.A)7 as of Mar 29, 2018
Mar 29, 20168 then
Private funds1 as of Mar 29, 2018
Mar 29, 20161 then
RAUM +2.7% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 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
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $40.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%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
- +2.7%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
- $202M, 4 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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$202M99%
- High-net-worth individuals$2.6M1.3%
- Individual clients
- n/areported
- HNW clients
- 1reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $202M 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••••••• C•••••• C••••• O••••••••• F•••• L•• | Hedge Fund | $202M | 8 | Dec 16, 2014 |
Owners and control persons
Schedule A and B, latest filing
- R••••••••• M••••••• N••• · Ceo, Partnercontrolsince 10/2014 · owns 50% to 75%
- T••••• M•••••••• M•••••• · Chief Compliance Officercontrolsince 07/2015 · owns less than 5%
- F•••••••• D••••• W••••••• · Managing Membercontrolsince 10/2014 · owns 75% or more of D•• M•• R• L••
- R••••••••• M••••••• N••• · Ownercontrolsince 09/2013 · owns 75% or more of R••••••• C•••••• P•••••••• L••
Entity owners
- R••••••• C•••••• P•••••••• L•• · General Partnerdirect · owns less than 5%
- G•••• T•••• · Sole Memberindirect · owns 75% or more of R•• 3••• L••
- D•• M•• R• L•• · Limited Partnerdirect · owns 10% to 25%
- R•• 3••• L•• · Limited Partnerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- R••••••• C•••••• P•••••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 4 to 5Mar 29, 2017 to Mar 29, 2018
- HNW clients · unset to 1.0Mar 29, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 4.0Mar 29, 2017 to Mar 29, 2018
- Assets in custody · $199M to $202MMar 29, 2017 to Mar 29, 2018
- Custody of client assets · false to trueMar 29, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Mar 29, 2017 to Mar 29, 2018
- Discretionary RAUM · $199M to $202MMar 29, 2017 to Mar 29, 2018
- HNW RAUM · unset to 2568725.0Mar 29, 2017 to Mar 29, 2018
- Non-discretionary RAUM · $0 to $2.6MMar 29, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 201822131.0Mar 29, 2017 to Mar 29, 2018
- RAUM · $199M to $204MMar 29, 2017 to Mar 29, 2018
- Assets in custody · unset to 199082404.0Mar 29, 2016 to Mar 29, 2017
- Employees · 8 to 7Mar 29, 2016 to Mar 29, 2017
- Discretionary RAUM · $251M to $199MMar 29, 2016 to Mar 29, 2017
- RAUM · $251M to $199MMar 29, 2016 to Mar 29, 2017
- Advisory employees · 3 to 4Feb 29, 2016 to Mar 29, 2016
- Employees · 4 to 8Feb 29, 2016 to Mar 29, 2016
- Discretionary RAUM · $248M to $251MFeb 29, 2016 to Mar 29, 2016
- RAUM · $248M to $251MFeb 29, 2016 to Mar 29, 2016
- Related bank · false to trueFeb 29, 2016 to Mar 29, 2016
- Private funds · 2 to 1Jun 17, 2015 to Jan 21, 2016
Signals
1 dated events
- R••••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Jun 17, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R••••••• C•••••• M••••••••• L• · Venture Capitalshared crd · organization
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