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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SEC-registered adviser
R•••••••• A•••• M••••••••• P•••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Feb 13, 2017 · 25 filings
SEC status approved since Feb 24, 2017
RAUM
$388M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
81%
$313M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$388M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$388M as of Mar 23, 2026
Mar 29, 2018$112M then
HNW client RAUM$313M as of Mar 23, 2026
Mar 29, 2018$108M then
State-registered IARs (5.B.3)1 as of Mar 23, 2026
Mar 29, 20180 then
Employees (5.A)3 as of Mar 23, 2026
Mar 29, 20182 then
Private funds6 as of Mar 23, 2026
Mar 28, 20191 then
RAUM +21% over the last fiscal year+23% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- ria with p•••••• funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $388MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $2.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%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 individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $67.6M, 6 clientsreportedItem 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$313M81%
- Pooled investment vehicles$67.6M17%
- Charitable organizations$7.7M2.0%
- Individual clients
- n/areported
- HNW clients
- 129reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 137reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $67.6M for 6 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.81 fund_share=0.17 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• W•••••• R••••••• | Stamford, Ct | Jun 12, 2019 | 20 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••••••• A•••• M••••••••• O••••••••• F••• I•• L• | Private Equity Fund | $19.1M | 29 | Mar 24, 2022 |
| R•••••••• A•••• M••••••••• O••••••••• F•••• L• | Private Equity Fund | $16.0M | 22 | Jan 15, 2019 |
| R•••••••• A•••• M••••••••• R••• E••••• F•••• L• | Private Equity Fund | $14.2M | 21 | Mar 24, 2022 |
| R•••••••• A•••• M••••••••• P•••••• C••••• F•••• L• | Other Private Fund | $12.7M | 18 | Mar 29, 2024 |
| R•••••••• A••••• S•• L• | Private Equity Fund | $1.6M | 6 | Mar 16, 2021 |
| R•••••••• D•• S•• L• | Private Equity Fund | $1.4M | 7 | Mar 16, 2021 |
| R•••••••• B••••• S•• L•no longer reported | Private Equity Fund | $0 | 7 | Mar 16, 2021 |
Owners and control persons
Schedule A and B, latest filing
- R•••••••• M••••••• W•••••• · Managing Member & Chief Compliance Officercontrolsince 09/2015 · owns 50% to 75%
- S•••••• A••• T•••••• · Chief Operating Officercontrolsince 02/2019 · owns less than 5%
- W••••••• J•••• W•••••• · Executive Chairmancontrolsince 09/2015 · owns 50% to 75%
Related persons
Schedule D 7.A
- R•••••••• G• I•• L••pooled vehicle sponsory
- R•••••••• G• I••• L••pooled vehicle sponsory
- R•••••••• G• I•• L••pooled vehicle sponsory
- R•••••••• G•• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 113 to 137Mar 29, 2025 to Mar 23, 2026
- HNW clients · 105 to 129Mar 29, 2025 to Mar 23, 2026
- Discretionary RAUM · $321M to $388MMar 29, 2025 to Mar 23, 2026
- HNW RAUM · $247M to $313MMar 29, 2025 to Mar 23, 2026
- RAUM · $321M to $388MMar 29, 2025 to Mar 23, 2026
- Accounts · 105 to 113Jun 28, 2024 to Mar 29, 2025
- Charity clients · 2.0 to unsetJun 28, 2024 to Mar 29, 2025
- HNW clients · 97 to 105Jun 28, 2024 to Mar 29, 2025
- Assets in custody · $3.1M to $67.6MJun 28, 2024 to Mar 29, 2025
- Financial planning clients · unset to Jun 28, 2024 to Mar 29, 2025
- Discretionary RAUM · $273M to $321MJun 28, 2024 to Mar 29, 2025
- HNW RAUM · $202M to $247MJun 28, 2024 to Mar 29, 2025
- Pooled vehicle RAUM · $65.0M to $67.6MJun 28, 2024 to Mar 29, 2025
- RAUM · $273M to $321MJun 28, 2024 to Mar 29, 2025
- Accounts · 91 to 105Apr 10, 2023 to Mar 29, 2024
- Charity clients · 1 to 2Apr 10, 2023 to Mar 29, 2024
- HNW clients · 84 to 97Apr 10, 2023 to Mar 29, 2024
- Discretionary RAUM · $209M to $273MApr 10, 2023 to Mar 29, 2024
- HNW RAUM · $153M to $202MApr 10, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $52.4M to $65.0MApr 10, 2023 to Mar 29, 2024
- RAUM · $209M to $273MApr 10, 2023 to Mar 29, 2024
- Accounts · 77 to 91Sep 14, 2022 to Mar 30, 2023
- Charity clients · unset to 1.0Sep 14, 2022 to Mar 30, 2023
- HNW clients · 70 to 84Sep 14, 2022 to Mar 30, 2023
- Assets in custody · unset to 3100000.0Sep 14, 2022 to Mar 30, 2023
- Custody of client assets · false to trueSep 14, 2022 to Mar 30, 2023
- State-registered IARs · 0 to 1Sep 14, 2022 to Mar 30, 2023
- Discretionary RAUM · $224M to $209MSep 14, 2022 to Mar 30, 2023
- HNW RAUM · $175M to $153MSep 14, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $44.6M to $52.4MSep 14, 2022 to Mar 30, 2023
- RAUM · $224M to $209MSep 14, 2022 to Mar 30, 2023
- Accounts · 68 to 77Nov 10, 2021 to Mar 24, 2022
- HNW clients · 63 to 70Nov 10, 2021 to Mar 24, 2022
- Pooled vehicle clients · 4 to 6Nov 10, 2021 to Mar 24, 2022
- Assets in custody · 20720000.0 to unsetNov 10, 2021 to Mar 24, 2022
- Custody of client assets · true to falseNov 10, 2021 to Mar 24, 2022
- Private funds · 4 to 6Nov 10, 2021 to Mar 24, 2022
- Discretionary RAUM · $162M to $224MNov 10, 2021 to Mar 24, 2022
- HNW RAUM · $137M to $175MNov 10, 2021 to Mar 24, 2022
- Pooled vehicle RAUM · $20.7M to $44.6MNov 10, 2021 to Mar 24, 2022
Signals
2 dated events
- Theresa Ann Semmer (Chief Operating Officer) appeared on Schedule A of R•••••••• A•••• M••••••••• P•••••••• L••Mar 16, 2021 · Control person joined · fact
- R•••••••• A•••• M••••••••• filed its initial SEC registration (Form ADV)Feb 13, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R•••••••• A•••• M••••••••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- R•••••••• A•••• M••••••••• P•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 203-595-5535reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- R••••••••ASSET.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-595-5535reportedpublic record, Form ADV, Mar 23, 2026
- Contact form
- r•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $388Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026