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•••••••• P•••••• E••••• P•••••••
Legal name R•••••••• P•••••• E••••• P•••••••• L••
Latest filing Mar 31, 2021
First filing on the tape Mar 24, 2016 · 11 filings
RAUM
$750M
reported, Item 5.F
Discretionary
96%
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
11
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
5
$671M gross assets
History
11 filings and snapshots on the tape
RAUM$750M as of Mar 31, 2021
Mar 31, 2017$176M then
HNW client RAUM: $12.7M
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Mar 31, 20170 then
Employees (5.A)11 as of Mar 31, 2021
Mar 31, 20179 then
Private funds5 as of Mar 31, 2021
Mar 31, 20172 then
RAUM +6.6% over the last fiscal year+42% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $83.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%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
- +6.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1.8M, 5 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$717M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.8M for 5 clientsreported
- Compensation
- fixed, 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••• E••••• O••••••••• F••• • I••••••••• P•••••••• L••• | Private Equity Fund | $62.3M | 7 | Mar 24, 2016 |
| R•••••••• P•••••• E••••• P••••••• E••••• O••••••••• F•••• L•• | Private Equity Fund | $13.2M | 27 | Mar 31, 2017 |
Owners and control persons
Schedule A and B, latest filing
- A•••••••• M••••••• L••••••• · Managing Directorcontrolsince 09/2014 · owns less than 5%
- H•••••••• M••••• E•••••• · Vp-Legal & Chief Compliance Officercontrolsince 04/2014 · owns less than 5%
- L••••••• S•••••• J•••• · Vice Presidentcontrolsince 04/2014 · owns less than 5%
- P•••••• R•••• M•••••• · Senior Managing Directorcontrolsince 06/2014 · owns less than 5%
- S••••••••• J••••••• H••••• · Chief Financial Officercontrolsince 04/2014 · owns less than 5%
- S••••••• M••••••• E•••• · Senior Managing Directorcontrolsince 04/2014 · owns 10% to 25%
- S••••••• R•••••• E••••• · Chairmancontrolsince 04/2014 · owns 75% or more
- S••••••• R•••••• E• · T••••••controlsince 03/2006 · owns 75% or more of S•••••• Family C•••••• Trust
Entity owners
- S•••••• F••••• C•••••• T••••• R••••• E• S•••••• T•••••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- R•••••••• E••••• C•••••••••investment adviserpooled vehicle sponsornRAUM $3.3B
Advisers that list R•••••••• P•••••• E••••• P••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
What changed
consecutive filings, newest first
- Advisory employees · 5 to 7Mar 31, 2020 to Mar 31, 2021
- Assets in custody · $3.1M to $1.8MMar 31, 2020 to Mar 31, 2021
- Employees · 9 to 11Mar 31, 2020 to Mar 31, 2021
- Discretionary RAUM · $675M to $717MMar 31, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $28.4M to $32.6MMar 31, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $675M to $717MMar 31, 2020 to Mar 31, 2021
- RAUM · $703M to $750MMar 31, 2020 to Mar 31, 2021
- Private funds · 4 to 5Mar 30, 2020 to Mar 31, 2020
- Accounts · 8 to 9Apr 29, 2019 to Mar 30, 2020
- BD registered reps · 1 to 0Apr 29, 2019 to Mar 30, 2020
- Pooled vehicle clients · 6 to 7Apr 29, 2019 to Mar 30, 2020
- Assets in custody · $5.1M to $3.1MApr 29, 2019 to Mar 30, 2020
- Other offices · 2 to 1Apr 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $425M to $675MApr 29, 2019 to Mar 30, 2020
- Non-discretionary RAUM · $13.3M to $28.4MApr 29, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $411M to $675MApr 29, 2019 to Mar 30, 2020
- RAUM · $438M to $703MApr 29, 2019 to Mar 30, 2020
- Related broker-dealer · true to falseApr 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $460M to $425MMar 29, 2019 to Apr 29, 2019
- Non-discretionary RAUM · $13.4M to $13.3MMar 29, 2019 to Apr 29, 2019
- Pooled vehicle RAUM · $447M to $411MMar 29, 2019 to Apr 29, 2019
- RAUM · $473M to $438MMar 29, 2019 to Apr 29, 2019
- Accounts · 6 to 8Mar 30, 2018 to Mar 29, 2019
- Corporate clients · 1.0 to unsetMar 30, 2018 to Mar 29, 2019
- HNW clients · 1.0 to unsetMar 30, 2018 to Mar 29, 2019
- Pooled vehicle clients · 2 to 6Mar 30, 2018 to Mar 29, 2019
- Assets in custody · $3.8M to $5.1MMar 30, 2018 to Mar 29, 2019
- Private funds · 2 to 4Mar 30, 2018 to Mar 29, 2019
- Discretionary RAUM · $121M to $460MMar 30, 2018 to Mar 29, 2019
- HNW RAUM · 12712984.0 to unsetMar 30, 2018 to Mar 29, 2019
- Non-discretionary RAUM · $140M to $13.4MMar 30, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $57.3M to $447MMar 30, 2018 to Mar 29, 2019
- RAUM · $260M to $473MMar 30, 2018 to Mar 29, 2019
- Accounts · 5 to 6Dec 15, 2017 to Mar 30, 2018
- Corporate clients · unset to 1.0Dec 15, 2017 to Mar 30, 2018
- HNW clients · unset to 1.0Dec 15, 2017 to Mar 30, 2018
- Assets in custody · $2.8M to $3.8MDec 15, 2017 to Mar 30, 2018
- Discretionary RAUM · $37.0M to $121MDec 15, 2017 to Mar 30, 2018
- HNW RAUM · $12.7M to $12.7MDec 15, 2017 to Mar 30, 2018
- Non-discretionary RAUM · $265M to $140MDec 15, 2017 to Mar 30, 2018
Signals
3 dated events
- R•••••••• P•••••• E••••• P••••••• reported RAUM $703.0M, up 60% from $438.1M (2019-04-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- R•••••••• P•••••• E••••• P••••••• reported RAUM $473.4M, up 82% from $260.3M (2018-03-30 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- R•••••••• P•••••• E••••• P••••••• filed its initial SEC registration (Form ADV)Mar 24, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R•••••••• P•••••• E••••• P••••••• · Independent Sponsorsshared crd · capital_provider
- R•••••••• P•••••• E••••• P••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/R••••••••-P••••••-EQUITY-PARTNERSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- ridgewoodpep.weebly.comreportedpublic record, Form ADV, Sep 18, 2026
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