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••••• C•••••• M••••••••• L•
Latest filing Mar 30, 2026
First filing on the tape Sep 9, 2016 · 20 filings
SEC status approved since Sep 29, 2016
RAUM
$9.6B
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
15
9 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
3
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$9.6B as of Mar 30, 2026
Mar 16, 2017$580M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 16, 20170 then
Employees (5.A)15 as of Mar 30, 2026
Mar 16, 20179 then
Private funds3 as of Mar 30, 2026
Mar 16, 20171 then
RAUM +35% over the last fiscal year+34% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $1.1BderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +35%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
- Custody
- $8.8B, 7 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$9.6B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $8.8B for 7 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=true bd_reps=0.0derived
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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••••• C•••••• M••••• F••• L• | Hedge Fund | $3.3B | 109 | Sep 9, 2016 |
| R••••• B•• F••• L•• | Hedge Fund | $197M | 12 | Aug 29, 2022 |
| R••••• L••• T••• O••••••••• O•••••• M••••• F••• L• | Private Equity Fund | $0 | 14 | Oct 1, 2024 |
| R••••• L••• T••• O••••••••• O••••••• M••••• F••• L• | Private Equity Fund | $0 | 5 | Oct 1, 2024 |
Owners and control persons
Schedule A and B, latest filing
- R••••• D••••• E••••• · Limited Partnercontrolsince 03/2016 · owns 75% or more
- R••••• D••••• E••••• · Managing Membercontrolsince 03/2016 · owns 75% or more of R••••• C•••••• M••••••••• G• L••
- K••••••••• B••••• W••• · Chief Compliance Officersince 03/2018 · owns less than 5%
- K••••••••• M••••••• · Chief Financial Officersince 01/2019 · owns less than 5%
- N•••••••• C•••••• M•••••• · Chief Operating Officersince 07/2016 · owns less than 5%
Entity owners
- R••••• C•••••• M••••••••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- R••••• C•••••• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- White Plains, NY4 employees
- Southlake, TX1 employees
What changed
consecutive filings, newest first
- Accounts · 10 to 9Mar 25, 2025 to Mar 30, 2026
- Advisory employees · 8 to 9Mar 25, 2025 to Mar 30, 2026
- Pooled vehicle clients · 10 to 9Mar 25, 2025 to Mar 30, 2026
- Assets in custody · $6.3B to $8.8BMar 25, 2025 to Mar 30, 2026
- Employees · 14 to 15Mar 25, 2025 to Mar 30, 2026
- Private funds · 4 to 3Mar 25, 2025 to Mar 30, 2026
- Discretionary RAUM · $7.1B to $9.6BMar 25, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $7.1B to $9.6BMar 25, 2025 to Mar 30, 2026
- RAUM · $7.1B to $9.6BMar 25, 2025 to Mar 30, 2026
- Accounts · 6 to 10Oct 1, 2024 to Mar 25, 2025
- Pooled vehicle clients · 6 to 10Oct 1, 2024 to Mar 25, 2025
- Assets in custody · $3.5B to $6.3BOct 1, 2024 to Mar 25, 2025
- Employees · 13 to 14Oct 1, 2024 to Mar 25, 2025
- Financial planning clients · unset to Oct 1, 2024 to Mar 25, 2025
- Discretionary RAUM · $4.1B to $7.1BOct 1, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $4.1B to $7.1BOct 1, 2024 to Mar 25, 2025
- RAUM · $4.1B to $7.1BOct 1, 2024 to Mar 25, 2025
- Private funds · 2 to 4Mar 28, 2024 to Oct 1, 2024
- Assets in custody · $3.3B to $3.5BJun 1, 2023 to Mar 28, 2024
- Employees · 12 to 13Jun 1, 2023 to Mar 28, 2024
- Discretionary RAUM · $4.0B to $4.1BJun 1, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $4.0B to $4.1BJun 1, 2023 to Mar 28, 2024
- RAUM · $4.0B to $4.1BJun 1, 2023 to Mar 28, 2024
- Accounts · 5 to 6Aug 29, 2022 to Mar 30, 2023
- Pooled vehicle clients · 5 to 6Aug 29, 2022 to Mar 30, 2023
- Assets in custody · $2.0B to $3.3BAug 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $2.5B to $4.0BAug 29, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $2.5B to $4.0BAug 29, 2022 to Mar 30, 2023
- RAUM · $2.5B to $4.0BAug 29, 2022 to Mar 30, 2023
- Private funds · 1 to 2May 16, 2022 to Aug 29, 2022
- Other offices · 1 to 2Mar 30, 2022 to May 16, 2022
- Assets in custody · $1.4B to $2.0BMar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $1.9B to $2.5BMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $1.9B to $2.5BMar 30, 2021 to Mar 30, 2022
- RAUM · $1.9B to $2.5BMar 30, 2021 to Mar 30, 2022
- Accounts · 4 to 5Sep 1, 2020 to Mar 30, 2021
- Pooled vehicle clients · 4 to 5Sep 1, 2020 to Mar 30, 2021
- Assets in custody · $1.3B to $1.4BSep 1, 2020 to Mar 30, 2021
- Other offices · 0 to 1Sep 1, 2020 to Mar 30, 2021
- Discretionary RAUM · $1.6B to $1.9BSep 1, 2020 to Mar 30, 2021
Signals
6 dated events
- R••••• C•••••• M••••••••• L• reported RAUM $9.6B, up 35% from $7.1B (2025-03-25 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- R••••• C•••••• M••••••••• L• reported RAUM $7.1B, up 72% from $4.1B (2024-10-01 to 2025-03-25)Mar 25, 2025 · RAUM change · derived
- R••••• C•••••• M••••••••• L• reported RAUM $4.0B, up 59% from $2.5B (2022-08-29 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- R••••• C•••••• M••••••••• L• reported RAUM $2.5B, up 30% from $1.9B (2021-03-30 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- R••••• C•••••• M••••••••• L• reported RAUM $1.9B, up 227% from $580.3M (2017-03-16 to 2018-03-12)Mar 12, 2018 · RAUM change · derived
- R••••• C•••••• M••••••••• 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•••••• M••••••••• L• · Independent Sponsorsshared crd · capital_provider
- R••••• C•••••• M••••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- r•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-418-1888reportedpublic record, Form ADV, Mar 30, 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