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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
R••••••••• C••••••
Legal name A•••••• L••• D•••• R••••••••• C••••••
Latest filing Mar 31, 2026
First filing on the tape Sep 9, 2016 · 15 filings
SEC status approved since Sep 14, 2016
RAUM
$91.9M
reported, Item 5.F
Discretionary
0.0%
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$91.9M as of Mar 31, 2026
Mar 13, 2017$41.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 13, 20170 then
Employees (5.A)1 as of Mar 31, 2026
Mar 13, 20171 then
Private funds1 as of Mar 31, 2026
Mar 23, 20181 then
RAUM -27% over the last fiscal year-13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- $13.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- -27%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 vehicles, selection of other advisers, otherreportedItem 5.G
- Custody
- $9,605, 1 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$91.9M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $9,605 for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••••••••• C•••••• H••••••• L•• | Private Equity Fund | $30.6M | 2 | Mar 23, 2018 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• M••••••• B••• · Member And Chief Compliance Officercontrolsince 08/2014 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 31, 2026discretionary share of RAUM moved from 17.0% to 0.0% between the annual amendments of 2025-03-26 and 2026-03-31peers: asset managers, under $100M (329)
What changed
consecutive filings, newest first
- Assets in custody · $21.9M to $9,605Mar 26, 2025 to Mar 31, 2026
- Discretionary RAUM · $21.9M to $9,605Mar 26, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $105M to $91.9MMar 26, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $126M to $91.9MMar 26, 2025 to Mar 31, 2026
- RAUM · $126M to $91.9MMar 26, 2025 to Mar 31, 2026
- Assets in custody · $30.6M to $21.9MMar 22, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 22, 2024 to Mar 26, 2025
- HQ city · unset to Mar 22, 2024 to Mar 26, 2025
- HQ state · unset to Mar 22, 2024 to Mar 26, 2025
- Discretionary RAUM · $30.6M to $21.9MMar 22, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $109M to $105MMar 22, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $139M to $126MMar 22, 2024 to Mar 26, 2025
- RAUM · $139M to $126MMar 22, 2024 to Mar 26, 2025
- Assets in custody · $28.5M to $30.6MMar 23, 2023 to Mar 22, 2024
- Discretionary RAUM · $28.5M to $30.6MMar 23, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $112M to $109MMar 23, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $141M to $139MMar 23, 2023 to Mar 22, 2024
- RAUM · $141M to $139MMar 23, 2023 to Mar 22, 2024
- Accounts · 6 to 7Sep 26, 2022 to Mar 23, 2023
- Pooled vehicle clients · 6 to 7Sep 26, 2022 to Mar 23, 2023
- Assets in custody · $44.3M to $28.5MSep 26, 2022 to Mar 23, 2023
- Discretionary RAUM · $44.3M to $28.5MSep 26, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $122M to $112MSep 26, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $166M to $141MSep 26, 2022 to Mar 23, 2023
- RAUM · $166M to $141MSep 26, 2022 to Mar 23, 2023
- Pooled vehicle clients · 5 to 6Sep 22, 2022 to Sep 26, 2022
- Pooled vehicle RAUM · $122M to $166MSep 22, 2022 to Sep 26, 2022
- Assets in custody · unset to 44294019.0Mar 23, 2022 to Sep 22, 2022
- Custody of client assets · false to trueMar 23, 2022 to Sep 22, 2022
- Accounts · 5 to 6Mar 18, 2021 to Mar 23, 2022
- Pooled vehicle clients · 4 to 5Mar 18, 2021 to Mar 23, 2022
- Discretionary RAUM · $35.6M to $44.3MMar 18, 2021 to Mar 23, 2022
- Non-discretionary RAUM · $119M to $122MMar 18, 2021 to Mar 23, 2022
- Pooled vehicle RAUM · $119M to $122MMar 18, 2021 to Mar 23, 2022
- RAUM · $154M to $166MMar 18, 2021 to Mar 23, 2022
- Accounts · 4 to 5Mar 17, 2020 to Mar 18, 2021
- Pooled vehicle clients · 3 to 4Mar 17, 2020 to Mar 18, 2021
- Discretionary RAUM · $26.2M to $35.6MMar 17, 2020 to Mar 18, 2021
- Non-discretionary RAUM · $46.4M to $119MMar 17, 2020 to Mar 18, 2021
- Pooled vehicle RAUM · $46.4M to $119MMar 17, 2020 to Mar 18, 2021
Signals
1 dated events
- R••••••••• C•••••• filed its initial SEC registration (Form ADV)Sep 9, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R••••••••• C•••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- R•••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 917-288-3834reportedpublic record, Form ADV, Mar 31, 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
- Asset manager (funds and pooled vehicles)deriveda 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