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••••• G••••• R••• E••••• A•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 284412SEC 801-108081IAPD
Latest filing Mar 26, 2024
First filing on the tape Jun 29, 2016 · 16 filings
RAUM
$1.3B
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
11
6 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$1.3B as of Mar 26, 2024
Mar 31, 2017$450M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2024
Mar 31, 20170 then
Employees (5.A)11 as of Mar 26, 2024
Mar 31, 201710 then
Private funds: no history
RAUM -19% over the last fiscal year-5.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2024; 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
$333MderivedRAUM 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
-19%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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$719M54%
  • Investment companies$613M46%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D••••• A•••••• J•••• · Chief Investment Officer And Board Of Managers Membercontrol
        since 06/2016 · owns 10% to 25%
      • K•••••• T••••••• N•• · Board Of Managers Membercontrol
        since 10/2021 · owns less than 5%
      • L••••• R•••••••• S••••• · Chief Operating Officer, Chief Compliance Officer, Board Of Managers Member, Presidentcontrol
        since 06/2016 · owns less than 5%
      • L••••• D•••••• G••••• · Board Of Managers Membercontrol
        since 03/2021 · owns less than 5%
      • S•••••••• R••••••• B•••• · Board Of Managers Membercontrol
        since 05/2020 · owns less than 5%
      • T•••• F•••••••• S•••• · Senior Advisorcontrol
        since 06/2016 · owns 5% to 10%
      • L••••• R•••••••• S••••• · Managing Membercontrol
        since 06/2004 · owns 75% or more of T•• I••••••••• L••
      • S•••••••• R••••••• B•••• · Managing Membercontrol
        since 03/2019 · owns 75% or more of R•• 2••• L••
      Entity owners
      • Q• R••••• H••••• L•• · Member
        direct · owns 25% to 50%
      • R•• 2••• L•• · Member
        direct · owns 5% to 10%
      • T•• I••••••••• L•• · Member
        direct · owns 5% to 10%
      • B• M•••••••• P•••••• P••• · Member
        indirect · owns 75% or more of B•••• ••••••••• U• R••••• I•••
      • B•••• ••••••••• U• R••••• I••• · Member
        indirect · owns 25% to 50% of Q• M••••• H••••••• U•• I• L•
      • Q• M••••• H••••••• U•• I• L• · Member
        indirect · owns 75% or more of Q• U• O••• H••••• L••
      • Q• U• O••• H••••• L•• · Member
        indirect · owns 75% or more of Q• R••••• H••••• L••
      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
      • Pooled vehicle clients · 0.0 to unset
        May 4, 2023 to Mar 26, 2024
      • Employees · 10 to 11
        May 4, 2023 to Mar 26, 2024
      • Discretionary RAUM · $1.7B to $1.3B
        May 4, 2023 to Mar 26, 2024
      • Pooled vehicle RAUM · 0.0 to unset
        May 4, 2023 to Mar 26, 2024
      • RAUM · $1.7B to $1.3B
        May 4, 2023 to Mar 26, 2024
      • Accounts · 5 to 4
        Mar 31, 2022 to Mar 31, 2023
      • BD registered reps · 0 to 1
        Mar 31, 2022 to Mar 31, 2023
      • Discretionary RAUM · $2.4B to $1.7B
        Mar 31, 2022 to Mar 31, 2023
      • RAUM · $2.4B to $1.7B
        Mar 31, 2022 to Mar 31, 2023
      • BD registered reps · 2 to 0
        Nov 9, 2021 to Mar 31, 2022
      • Financial planning clients · 0 to unset
        Nov 9, 2021 to Mar 31, 2022
      • Discretionary RAUM · $2.1B to $2.4B
        Nov 9, 2021 to Mar 31, 2022
      • RAUM · $2.1B to $2.4B
        Nov 9, 2021 to Mar 31, 2022
      • Discretionary RAUM · $1.6B to $2.1B
        Apr 13, 2021 to Nov 9, 2021
      • RAUM · $1.6B to $2.1B
        Apr 13, 2021 to Nov 9, 2021
      • Advisory employees · 5 to 6
        Aug 3, 2020 to Mar 31, 2021
      • Discretionary RAUM · $1.1B to $1.6B
        Aug 3, 2020 to Mar 31, 2021
      • RAUM · $1.1B to $1.6B
        Aug 3, 2020 to Mar 31, 2021
      • Advisory activities · 3 to 2
        Mar 16, 2020 to Aug 3, 2020
      • Corporate clients · 1 to 2
        Mar 16, 2020 to Aug 3, 2020
      • Pooled vehicle clients · 1 to 0
        Mar 16, 2020 to Aug 3, 2020
      • Discretionary RAUM · $1.1B to $1.1B
        Mar 16, 2020 to Aug 3, 2020
      • Pooled vehicle RAUM · $39.3M to $0
        Mar 16, 2020 to Aug 3, 2020
      • RAUM · $1.1B to $1.1B
        Mar 16, 2020 to Aug 3, 2020
      • Accounts · 4 to 5
        Jan 21, 2020 to Mar 16, 2020
      • BD registered reps · 1 to 2
        Jan 21, 2020 to Mar 16, 2020
      • Discretionary RAUM · $761M to $1.1B
        Jan 21, 2020 to Mar 16, 2020
      • Pooled vehicle RAUM · $55.1M to $39.3M
        Jan 21, 2020 to Mar 16, 2020
      • RAUM · $761M to $1.1B
        Jan 21, 2020 to Mar 16, 2020
      • HQ city · DENVER to NEW YORK
        Oct 23, 2019 to Jan 21, 2020
      • HQ state · CO to NY
        Oct 23, 2019 to Jan 21, 2020
      • Other offices · 2 to 0
        Oct 23, 2019 to Jan 21, 2020
      • Advisory employees · 6 to 5
        Feb 20, 2018 to Mar 6, 2019
      • BD registered reps · 0 to 1
        Feb 20, 2018 to Mar 6, 2019
      • Discretionary RAUM · $582M to $761M
        Feb 20, 2018 to Mar 6, 2019
      • Pooled vehicle RAUM · $30.6M to $55.1M
        Feb 20, 2018 to Mar 6, 2019
      • RAUM · $582M to $761M
        Feb 20, 2018 to Mar 6, 2019
      • Advisory employees · 5 to 6
        Mar 31, 2017 to Feb 20, 2018
      • Corporate clients · unset to 1.0
        Mar 31, 2017 to Feb 20, 2018
      • Pooled vehicle clients · unset to 1.0
        Mar 31, 2017 to Feb 20, 2018
      Signals
      10 dated events
      • R••••• G••••• R••• E••••• A•••••••• L•• reported RAUM $1.7B, down 32% from $2.4B (2022-03-31 to 2023-03-31)
        Mar 31, 2023 · RAUM change · derived
      • R••••• G••••• R••• E••••• A•••••••• L•• reported RAUM $2.1B, up 33% from $1.6B (2021-04-13 to 2021-11-09)
        Nov 9, 2021 · RAUM change · derived
      • Thierry Keable (Board Of Managers Member) appeared on Schedule A of R••••• G••••• R••• E••••• A•••••••• L••
        Nov 9, 2021 · Control person joined · fact
      • Gerard Dennis Lopez (Board Of Managers Member) appeared on Schedule A of R••••• G••••• R••• E••••• A•••••••• L••
        Nov 9, 2021 · Control person joined · fact
      • R••••• G••••• R••• E••••• A•••••••• L•• reported RAUM $1.6B, up 47% from $1.1B (2020-08-03 to 2021-03-31)
        Mar 31, 2021 · RAUM change · derived
      • Marc X Lopresti (Executive Board Member) no longer on Schedule A of R••••• G••••• R••• E••••• A•••••••• L•• (listed 2020-03-16, absent 2020-08-03)
        Aug 3, 2020 · Control person left · inference
      • R••••• G••••• R••• E••••• A•••••••• L•• reported RAUM $1.1B, up 47% from $760.7M (2020-01-21 to 2020-03-16)
        Mar 16, 2020 · RAUM change · derived
      • R••••• G••••• R••• E••••• A•••••••• L•• reported RAUM $760.7M, up 31% from $581.9M (2018-02-20 to 2019-03-06)
        Mar 6, 2019 · RAUM change · derived
      • R••••• G••••• R••• E••••• A•••••••• L•• reported RAUM $581.9M, up 29% from $450.0M (2017-03-31 to 2018-02-20)
        Feb 20, 2018 · RAUM change · derived
      • R••••• G••••• R••• E••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 29, 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