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••••• S••••• A••••••• L••
Latest filing Mar 26, 2018
First filing on the tape Feb 5, 2016 · 8 filings
RAUM
$58.1M
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
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
$58.1M gross assets
History
8 filings and snapshots on the tape
RAUM$58.1M as of Mar 26, 2018
Mar 13, 2017$46.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 26, 2018
Mar 13, 20172 then
Employees (5.A)4 as of Mar 26, 2018
Mar 13, 20172 then
Private funds3 as of Mar 26, 2018
Mar 13, 20173 then
RAUM +26% over the last fiscal yearIARs 2 to 4
Practice profile
derived from the filing of Mar 26, 2018; every figure names its basis
- RAUM per advisor
- $14.5MderivedRAUM 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
- $19.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 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
- 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)
- 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$58.1M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
- R• M•••••• T••••• to L•••••• A•••• M•••••••••May 16, 2018 · Other
- M•••• N•••••• S•••••• to C•••• A•••••••May 16, 2018 · Other
Joined, latest
- R• M•••••• T••••• from O•• L••• A•••••••Apr 20, 2016 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••••• S••••• S••••• F•••• L• | Hedge Fund | $29.1M | 80 | Apr 27, 2016 |
| R••••• S••••• D•••••• F•••• L• | Hedge Fund | $25.3M | 54 | Apr 27, 2016 |
| R••••• S••••• F•••••• F•••• L• | Hedge Fund | $3.7M | 16 | Apr 27, 2016 |
Owners and control persons
Schedule A and B, latest filing
- T•••••• R••••• M•••••• · Manager/ Ccocontrolsince 02/2016 · owns less than 5%
- H•••••••• E•••••• C•••••• · Membercontrolsince 11/2014 · owns 50% to 75% of H• 2•••• L••
- H•••••••• R•••• P••• · Membercontrolsince 11/2014 · owns 50% to 75% of H• 2•••• L••
- S••••••• J•••• D•••• · Membercontrolsince 01/2017 · owns 75% or more of M••••• M••••••••• L••
- S••••••• M••••• N•••••• · Membercontrolsince 03/2016 · owns 25% to 50% of M••••• M••••••••• L••
- S••••• D•••••• D•••• · Membercontrolsince 06/2015 · owns 50% to 75% of T••••• L••
- S••••• V•••••••• I•••• · Membercontrolsince 06/2015 · owns 50% to 75% of T••••• L••
- T•••••• R••••• M•••••• · Membercontrolsince 02/2003 · owns 75% or more of N•• S•••• V•••••••• L••
Entity owners
- H• 2•••• L•• · Memberdirect · owns 25% to 50%
- N•• S•••• V•••••••• L•• · Memberdirect · owns 25% to 50%
- M••••• M••••••••• L•• · Memberdirect · owns less than 5%
- T••••• L•• · Memberdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- C•••• A•••••••investment advisernRAUM $3.1B
- R••••• S••••• D•••••• P•••••••• L••investment adviserpooled vehicle sponsorn
- R••••• S••••• F•••••• P•••••••• L••investment adviserpooled vehicle sponsorn
- R••••• S••••• S••••• F•••• L••investment adviserpooled vehicle sponsorn
Advisers that list R••••• S••••• A••••••• L•• as a related person
- 145190 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 2 to 4Dec 5, 2017 to Mar 26, 2018
- Pooled vehicle clients · unset to 3.0Dec 5, 2017 to Mar 26, 2018
- Assets in custody · $46.2M to $0Dec 5, 2017 to Mar 26, 2018
- Custody of client assets · true to falseDec 5, 2017 to Mar 26, 2018
- Employees · 2 to 4Dec 5, 2017 to Mar 26, 2018
- State-registered IARs · 2 to 4Dec 5, 2017 to Mar 26, 2018
- Discretionary RAUM · $46.2M to $58.1MDec 5, 2017 to Mar 26, 2018
- Pooled vehicle RAUM · unset to 58072455.0Dec 5, 2017 to Mar 26, 2018
- RAUM · $46.2M to $58.1MDec 5, 2017 to Mar 26, 2018
- Other offices · unset to 1.0May 3, 2017 to Dec 1, 2017
- Accounts · 0 to 3Jun 7, 2016 to Mar 13, 2017
- Assets in custody · $0 to $46.2MJun 7, 2016 to Mar 13, 2017
- Insurance-licensed employees · 1 to 0Jun 7, 2016 to Mar 13, 2017
- Discretionary RAUM · $0 to $46.2MJun 7, 2016 to Mar 13, 2017
- RAUM · $0 to $46.2MJun 7, 2016 to Mar 13, 2017
- Assets in custody · unset to 0.0Feb 5, 2016 to Apr 27, 2016
- Custody of client assets · false to trueFeb 5, 2016 to Apr 27, 2016
- Financial planning clients · 0 to unsetFeb 5, 2016 to Apr 27, 2016
- Private funds · unset to 3Feb 5, 2016 to Apr 27, 2016
Signals
1 dated events
- R••••• S••••• A••••••• L•• filed its initial SEC registration (Form ADV)Feb 5, 2016 · 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