DFX Intelligence
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R•• C•••••• M••••••••• L••
Former SEC-registered adviserFormer SEC adviser
Former SEC-registered adviser, reporting $133M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Last reported RAUM
- $133M
- Advisors
- Not applicable
- Net advisor flow, 12 months
- Not applicable
- RAUM change, last fiscal year
- +330%
- Private clients
- 0.0% of RAUM
Form ADV
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $30.8MRAUM now $133M
Every filed figure, and the identifiersCRD 284855 · SEC 801-113682 · 7 filingsShowHide
RAUM
$133M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$133M as of Sep 3, 2021
Mar 26, 2019$210M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 3, 2021
Mar 26, 20190 then
Employees (5.A)2 as of Sep 3, 2021
Mar 26, 20193 then
Private funds: no history
RAUM +330% over the last fiscal year-14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 3, 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
- $133MderivedRAUM 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
- +330%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 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
- 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
- Pooled investment vehicles$133M100%
- 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 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• R••••• K••••• · Founder, Managing Member And Chief Compliance Officercontrolsince 05/2016 · owns 75% or more
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
- Advisory employees · 3 to 2Jan 15, 2021 to Sep 3, 2021
- Employees · 3 to 2Jan 15, 2021 to Sep 3, 2021
- Discretionary RAUM · $30.8M to $133MJan 15, 2021 to Sep 3, 2021
- Pooled vehicle RAUM · $30.8M to $133MJan 15, 2021 to Sep 3, 2021
- RAUM · $30.8M to $133MJan 15, 2021 to Sep 3, 2021
- HQ city · NEW YORK to unsetAug 31, 2020 to Jan 15, 2021
- HQ state · NY to unsetAug 31, 2020 to Jan 15, 2021
- Discretionary RAUM · $147M to $30.8MFeb 13, 2020 to Aug 31, 2020
- Pooled vehicle RAUM · $147M to $30.8MFeb 13, 2020 to Aug 31, 2020
- RAUM · $147M to $30.8MFeb 13, 2020 to Aug 31, 2020
- Discretionary RAUM · $210M to $147MMar 26, 2019 to Feb 13, 2020
- Pooled vehicle RAUM · $210M to $147MMar 26, 2019 to Feb 13, 2020
- RAUM · $210M to $147MMar 26, 2019 to Feb 13, 2020
- Pooled vehicle clients · 2 to 1Jun 25, 2018 to Mar 26, 2019
- Legal name · R•• C•••••• M••••••••• L•• to R•• C•••••• M••••••••• L••Jun 25, 2018 to Mar 26, 2019
- Discretionary RAUM · $168M to $210MJun 25, 2018 to Mar 26, 2019
- Pooled vehicle RAUM · $168M to $210MJun 25, 2018 to Mar 26, 2019
- RAUM · $168M to $210MJun 25, 2018 to Mar 26, 2019
- Accounts · 2 to 1Jun 25, 2018 to Mar 26, 2019
- Business name · R•• C•••••• M••••••••• L•• to R•• C•••••• M••••••••• L••Jun 25, 2018 to Mar 26, 2019
Signals
2 dated events
- ••• LockedAug 31, 2020 · RAUM change · derived
- ••• LockedJun 25, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R•• C•••••• M••••••••• L•• · Venture Capitalshared crd · organization
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