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Former SEC-registered adviser

R•••• C•••••• P•••••••

Former SEC-registered adviserCRD 281345SEC 801-106692IAPD
Legal name R•••• C•••••• P••••••• I•••
Latest filing Jun 21, 2021
First filing on the tape Sep 17, 2015 · 16 filings
RAUM
$32.8M
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
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$32.8M as of Jun 21, 2021
Mar 29, 2016$414M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 21, 2021
Mar 29, 20160 then
Employees (5.A)5 as of Jun 21, 2021
Mar 29, 20167 then
Private funds: 1
RAUM -78% over the last fiscal year-61% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 21, 2021; 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
$32.8MderivedRAUM 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
-78%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 businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Other investment advisers$32.8M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      R•••• I••••••••• S•••• C•• V•••• F•••• L••no longer reportedOther Private Fund$00Aug 25, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • R••••• B••••••• A•••• · Ceo, Ccocontrol
        since 04/2011 · owns 75% or more
      • F••• J•••••• W•• D••• · Portfolio Manager, Senior Analyst
        since 07/2014 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 6 to 5
        Mar 5, 2021 to Jun 21, 2021
      • Discretionary RAUM · $20.2M to $32.8M
        Mar 5, 2021 to Jun 21, 2021
      • RAUM · $20.2M to $32.8M
        Mar 5, 2021 to Jun 21, 2021
      • Accounts · 3 to 1
        Jun 23, 2020 to Nov 17, 2020
      • Advisory activities · 2 to 1
        Jun 23, 2020 to Nov 17, 2020
      • Pooled vehicle clients · 2.0 to unset
        Jun 23, 2020 to Nov 17, 2020
      • Employees · 8 to 6
        Jun 23, 2020 to Nov 17, 2020
      • HQ city · TORONTO to unset
        Jun 23, 2020 to Nov 17, 2020
      • Discretionary RAUM · $146M to $20.2M
        Jun 23, 2020 to Nov 17, 2020
      • Pooled vehicle RAUM · 129374102.0 to unset
        Jun 23, 2020 to Nov 17, 2020
      • RAUM · $146M to $20.2M
        Jun 23, 2020 to Nov 17, 2020
      • Accounts · 4 to 3
        Jun 13, 2019 to Jun 23, 2020
      • Pooled vehicle clients · 3 to 2
        Jun 13, 2019 to Jun 23, 2020
      • Employees · 9 to 8
        Jun 13, 2019 to Jun 23, 2020
      • Discretionary RAUM · $368M to $146M
        Jun 13, 2019 to Jun 23, 2020
      • Pooled vehicle RAUM · $346M to $129M
        Jun 13, 2019 to Jun 23, 2020
      • RAUM · $368M to $146M
        Jun 13, 2019 to Jun 23, 2020
      • Accounts · 5 to 4
        Apr 11, 2019 to Jun 13, 2019
      • Discretionary RAUM · $554M to $368M
        Apr 11, 2019 to Jun 13, 2019
      • Pooled vehicle RAUM · $494M to $346M
        Apr 11, 2019 to Jun 13, 2019
      • RAUM · $554M to $368M
        Apr 11, 2019 to Jun 13, 2019
      • Advisory employees · 3 to 4
        Jun 22, 2017 to Jun 27, 2018
      • Advisory activities · 3 to 2
        Jun 22, 2017 to Jun 27, 2018
      • Pooled vehicle clients · unset to 3.0
        Jun 22, 2017 to Jun 27, 2018
      • Assets in custody · 57300000.0 to unset
        Jun 22, 2017 to Jun 27, 2018
      • Custody of client assets · true to false
        Jun 22, 2017 to Jun 27, 2018
      • Employees · 8 to 9
        Jun 22, 2017 to Jun 27, 2018
      • Other offices · unset to 0.0
        Jun 22, 2017 to Jun 27, 2018
      • Private funds · 1 to unset
        Jun 22, 2017 to Jun 27, 2018
      • Discretionary RAUM · $452M to $554M
        Jun 22, 2017 to Jun 27, 2018
      • Pooled vehicle RAUM · unset to 493558891.0
        Jun 22, 2017 to Jun 27, 2018
      • RAUM · $452M to $554M
        Jun 22, 2017 to Jun 27, 2018
      • Accounts · 6 to 5
        Nov 23, 2016 to Jun 22, 2017
      • Advisory employees · 2 to 3
        Nov 23, 2016 to Jun 22, 2017
      • Discretionary RAUM · $414M to $452M
        Nov 23, 2016 to Jun 22, 2017
      • RAUM · $414M to $452M
        Nov 23, 2016 to Jun 22, 2017
      • Employees · 7 to 8
        Jun 17, 2016 to Aug 25, 2016
      • Private funds · unset to 1
        Jun 17, 2016 to Aug 25, 2016
      • Assets in custody · $54.8M to $57.3M
        Aug 25, 2016 to Aug 25, 2016
      • Accounts · 5 to 6
        Sep 17, 2015 to Mar 29, 2016
      Signals
      4 dated events
      • R•••• C•••••• P••••••• reported RAUM $20.2M, down 86% from $146.5M (2020-06-23 to 2020-11-17)
        Nov 17, 2020 · RAUM change · derived
      • R•••• C•••••• P••••••• reported RAUM $146.5M, down 60% from $367.7M (2019-06-13 to 2020-06-23)
        Jun 23, 2020 · RAUM change · derived
      • R•••• C•••••• P••••••• reported RAUM $367.7M, down 34% from $553.8M (2019-04-11 to 2019-06-13)
        Jun 13, 2019 · RAUM change · derived
      • R•••• C•••••• P••••••• filed its initial SEC registration (Form ADV)
        Sep 17, 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