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••••••• L••
Latest filing Apr 30, 2019
First filing on the tape Jan 19, 2016 · 9 filings
RAUM
$107M
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
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$98.6M gross assets
History
9 filings and snapshots on the tape
RAUM$107M as of Mar 27, 2019
Mar 30, 2017$132M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2019
Mar 30, 20170 then
Employees (5.A)4 as of Mar 27, 2019
Mar 30, 20175 then
Private funds2 as of Mar 27, 2019
Mar 30, 20171 then
RAUM +5.5% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 30, 2019; 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
- $21.3MderivedRAUM 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
- +5.5%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$98.6M92%
- Corporations and businesses$8.0M7.5%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• K••••• · Member/Managercontrolsince 04/2015 · owns 50% to 75%
- F••••••• M••••••• L•• · Coo/Cfo/Ccocontrolsince 09/2015 · owns less than 5%
- P••••• R••• · Membercontrolsince 02/2018 · owns 25% to 50%
Related persons
Schedule D 7.A
- R•••••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 4 to 3Nov 19, 2018 to Mar 27, 2019
- Employees · 5 to 4Nov 19, 2018 to Mar 27, 2019
- Discretionary RAUM · $101M to $107MNov 19, 2018 to Mar 27, 2019
- Pooled vehicle RAUM · $93.1M to $98.6MNov 19, 2018 to Mar 27, 2019
- RAUM · $101M to $107MNov 19, 2018 to Mar 27, 2019
- Advisory activities · 1 to 2Dec 7, 2017 to Mar 29, 2018
- Corporate clients · unset to 1.0Dec 7, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 4.0Dec 7, 2017 to Mar 29, 2018
- Financial planning clients · unset to 0Dec 7, 2017 to Mar 29, 2018
- Private funds · 1 to 2Dec 7, 2017 to Mar 29, 2018
- Discretionary RAUM · $132M to $101MDec 7, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 93063319.0Dec 7, 2017 to Mar 29, 2018
- RAUM · $132M to $101MDec 7, 2017 to Mar 29, 2018
- Other offices · unset to 1.0Sep 7, 2017 to Dec 7, 2017
- Advisory employees · 2 to 4Jan 19, 2016 to Mar 30, 2017
- Employees · 3 to 5Jan 19, 2016 to Mar 30, 2017
- Private funds · 2 to 1Jan 19, 2016 to Mar 30, 2017
- Discretionary RAUM · $107M to $132MJan 19, 2016 to Mar 30, 2017
- RAUM · $107M to $132MJan 19, 2016 to Mar 30, 2017
Signals
1 dated events
- R•••••• C••••••• L•• filed its initial SEC registration (Form ADV)Jan 19, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R•••••• C••••••• L•• · Private Equityshared 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