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.

Former SEC-registered adviser

Regatta Loan Management LLC

Former SEC-registered adviserNew York, New YorkCRD 226518SEC 801-96246IAPD
Latest filing Mar 27, 2026
First filing on the tape Apr 29, 2015 · 18 filings
SEC status approved since May 13, 2015
RAUM
$3.3B
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
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$3.3B as of Mar 27, 2026
Mar 28, 2016$99.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 28, 20160 then
Employees (5.A)0 as of Mar 27, 2026
Mar 28, 201623 then
Private funds8 as of Mar 27, 2026
Mar 28, 20172 then
RAUM -2.0% over the last fiscal year-3.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; 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
$416MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-2.0%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 assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$3.3B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Regatta Xvi Funding Ltd.Securitized Asset Fund$594M1Mar 17, 2020
      Regatta Xi Funding Ltd.Securitized Asset Fund$451M1Mar 26, 2019
      Regatta X Funding Ltd.Securitized Asset Fund$447M1Mar 20, 2018
      Regatta Xii Funding Ltd.Securitized Asset Fund$396M1Mar 17, 2020
      Regatta Vi Funding Ltd.Securitized Asset Fund$394M1Mar 28, 2017
      Regatta Vii Funding Ltd.Securitized Asset Fund$389M1Mar 28, 2017
      Regatta Viii Funding Ltd.Securitized Asset Fund$371M1Mar 20, 2018
      Regatta Ix Funding Ltd.Securitized Asset Fund$289M1Mar 20, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • Adler John Crystal · Directorcontrol
        since 04/2015 · owns less than 5%
      • Louis Jonathan Dorfman · Chief Executive Officercontrol
        since 04/2015 · owns less than 5%
      • Jason Scott Lorinsky · Chief Legal Officercontrol
        since 01/2016 · owns less than 5%
      • Dana Peter Noris · Directorcontrol
        since 04/2015 · owns less than 5%
      • Sonia Plata · Chief Compliance Officercontrol
        since 04/2015 · owns less than 5%
      • Robert Michael Williams · Director/Presidentcontrol
        since 04/2015 · owns less than 5%
      Entity owners
      • Regatta Partners LLC · Member
        direct · owns 75% or more
      • The Regents Of The University Of California · Shareholder
        indirect · owns 75% or more of Wanaka Fund Ltd.
      • Wanaka Fund Ltd. · Member
        indirect · owns 25% to 50% of Regatta Partners LLC
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $3.4B to $3.3B
        Sep 15, 2025 to Mar 27, 2026
      • Pooled vehicle RAUM · $3.4B to $3.3B
        Sep 15, 2025 to Mar 27, 2026
      • RAUM · $3.4B to $3.3B
        Sep 15, 2025 to Mar 27, 2026
      • Financial planning clients · 0 to 0
        Mar 28, 2025 to Sep 15, 2025
      • Discretionary RAUM · $3.3B to $3.4B
        Mar 27, 2024 to Mar 28, 2025
      • Pooled vehicle RAUM · $3.3B to $3.4B
        Mar 27, 2024 to Mar 28, 2025
      • RAUM · $3.3B to $3.4B
        Mar 27, 2024 to Mar 28, 2025
      • Discretionary RAUM · $3.7B to $3.3B
        Mar 30, 2023 to Mar 27, 2024
      • Pooled vehicle RAUM · $3.7B to $3.3B
        Mar 30, 2023 to Mar 27, 2024
      • RAUM · $3.7B to $3.3B
        Mar 30, 2023 to Mar 27, 2024
      • Discretionary RAUM · $3.7B to $3.7B
        Aug 29, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · $3.7B to $3.7B
        Aug 29, 2022 to Mar 30, 2023
      • RAUM · $3.7B to $3.7B
        Aug 29, 2022 to Mar 30, 2023
      • Related broker-dealer · false to true
        Mar 17, 2022 to Aug 29, 2022
      • Accounts · 6 to 8
        Mar 23, 2021 to Mar 17, 2022
      • Pooled vehicle clients · 6 to 8
        Mar 23, 2021 to Mar 17, 2022
      • Discretionary RAUM · $2.6B to $3.7B
        Mar 23, 2021 to Mar 17, 2022
      • Pooled vehicle RAUM · $2.6B to $3.7B
        Mar 23, 2021 to Mar 17, 2022
      • RAUM · $2.6B to $3.7B
        Mar 23, 2021 to Mar 17, 2022
      • Accounts · 7 to 6
        Mar 17, 2020 to Mar 23, 2021
      • Pooled vehicle clients · 8 to 6
        Mar 17, 2020 to Mar 23, 2021
      • Discretionary RAUM · $3.7B to $2.6B
        Mar 17, 2020 to Mar 23, 2021
      • Pooled vehicle RAUM · $3.7B to $2.6B
        Mar 17, 2020 to Mar 23, 2021
      • RAUM · $3.7B to $2.6B
        Mar 17, 2020 to Mar 23, 2021
      • Accounts · 6 to 7
        Apr 3, 2019 to Mar 17, 2020
      • Advisory employees · 1 to 0
        Apr 3, 2019 to Mar 17, 2020
      • Pooled vehicle clients · 7 to 8
        Apr 3, 2019 to Mar 17, 2020
      • Employees · 2 to 0
        Apr 3, 2019 to Mar 17, 2020
      • Other offices · 1 to 0
        Apr 3, 2019 to Mar 17, 2020
      • Private funds · 6 to 8
        Apr 3, 2019 to Mar 17, 2020
      • Discretionary RAUM · $2.7B to $3.7B
        Apr 3, 2019 to Mar 17, 2020
      • Pooled vehicle RAUM · $2.7B to $3.7B
        Apr 3, 2019 to Mar 17, 2020
      • RAUM · $2.7B to $3.7B
        Apr 3, 2019 to Mar 17, 2020
      • Discretionary RAUM · $2.8B to $2.7B
        Mar 26, 2019 to Apr 3, 2019
      • Pooled vehicle RAUM · $2.8B to $2.7B
        Mar 26, 2019 to Apr 3, 2019
      • RAUM · $2.8B to $2.7B
        Mar 26, 2019 to Apr 3, 2019
      • Accounts · 5 to 6
        Mar 20, 2018 to Mar 26, 2019
      • Pooled vehicle clients · 5 to 7
        Mar 20, 2018 to Mar 26, 2019
      • Private funds · 5 to 6
        Mar 20, 2018 to Mar 26, 2019
      • Discretionary RAUM · $2.2B to $2.8B
        Mar 20, 2018 to Mar 26, 2019
      Signals
      7 dated events
      • Regatta Loan Management Llc no longer on the SEC adviser roster (last listed 2026-07-01, RAUM $3.3B)
        Aug 3, 2026 · Left the SEC roster · derived
      • Regatta Loan Management Llc reported RAUM $3.7B, up 44% from $2.6B (2021-03-23 to 2022-03-17)
        Mar 17, 2022 · RAUM change · derived
      • Regatta Loan Management Llc reported RAUM $2.6B, down 30% from $3.7B (2020-03-17 to 2021-03-23)
        Mar 23, 2021 · RAUM change · derived
      • Regatta Loan Management Llc reported RAUM $3.7B, up 37% from $2.7B (2019-04-03 to 2020-03-17)
        Mar 17, 2020 · RAUM change · derived
      • Regatta Loan Management Llc reported RAUM $2.8B, up 28% from $2.2B (2018-03-20 to 2019-03-26)
        Mar 26, 2019 · RAUM change · derived
      • Regatta Loan Management Llc reported RAUM $2.2B, up 169% from $801.0M (2017-03-28 to 2018-03-20)
        Mar 20, 2018 · RAUM change · derived
      • Regatta Loan Management Llc filed its initial SEC registration (Form ADV)
        Apr 29, 2015 · 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