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••••• C••••••• M••••••••• P•• L••
Latest filing Mar 12, 2024
First filing on the tape Oct 20, 2016 · 11 filings
SEC status approved since Nov 8, 2016
RAUM
$221M
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
9
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$221M as of Mar 12, 2024
Mar 9, 2017$518M then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 12, 2024
Mar 9, 20170 then
Employees (5.A)9 as of Mar 12, 2024
Mar 9, 201712 then
Private funds1 as of Feb 21, 2019
Mar 9, 20171 then
RAUM -18% over the last fiscal year-14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 12, 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
- $44.2MderivedRAUM 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
- -18%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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
- Pooled investment vehicles$204M92%
- Investment companies$16.8M7.6%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••••• S•••••••• F•••no longer reported | Hedge Fund | $35.2M | 6 | Oct 20, 2016 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• C••••••••• A••••• · Managing Member And Directorcontrolsince 07/2000 · owns 50% to 75%
- J•••••••• P••••• N•• · Managing Member And Directorcontrolsince 07/2000 · owns 25% to 50%
- W••••••• J•••••••• M••• · Ceo, Cco, Member And Directorcontrolsince 09/2012 · owns less than 5%
Related persons
Schedule D 7.A
- R••••• C•••••• M••••••••• P•• L••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 6 to 5Jun 21, 2023 to Mar 12, 2024
- Advisory employees · 5 to 4Jun 21, 2023 to Mar 12, 2024
- Employees · 11 to 9Jun 21, 2023 to Mar 12, 2024
- Discretionary RAUM · $269M to $221MJun 21, 2023 to Mar 12, 2024
- HNW RAUM · unset to 0.0Jun 21, 2023 to Mar 12, 2024
- Individual RAUM · unset to 0.0Jun 21, 2023 to Mar 12, 2024
- Pension RAUM · unset to 0.0Jun 21, 2023 to Mar 12, 2024
- Pooled vehicle RAUM · $252M to $204MJun 21, 2023 to Mar 12, 2024
- RAUM · $269M to $221MJun 21, 2023 to Mar 12, 2024
- Accounts · 7 to 6Mar 30, 2022 to Mar 28, 2023
- Pension plan clients · 1.0 to unsetMar 30, 2022 to Mar 28, 2023
- Discretionary RAUM · $310M to $269MMar 30, 2022 to Mar 28, 2023
- Pension RAUM · 22275000.0 to unsetMar 30, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $269M to $252MMar 30, 2022 to Mar 28, 2023
- RAUM · $310M to $269MMar 30, 2022 to Mar 28, 2023
- Pension plan clients · unset to 1.0Mar 16, 2021 to Mar 30, 2022
- Employees · 13 to 11Mar 16, 2021 to Mar 30, 2022
- Discretionary RAUM · $343M to $310MMar 16, 2021 to Mar 30, 2022
- Pension RAUM · $21.9M to $22.3MMar 16, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $296M to $269MMar 16, 2021 to Mar 30, 2022
- RAUM · $343M to $310MMar 16, 2021 to Mar 30, 2022
- Advisory employees · 7 to 5Mar 25, 2020 to Mar 16, 2021
- Discretionary RAUM · $342M to $343MMar 25, 2020 to Mar 16, 2021
- Pension RAUM · $21.6M to $21.9MMar 25, 2020 to Mar 16, 2021
- Pooled vehicle RAUM · $250M to $296MMar 25, 2020 to Mar 16, 2021
- RAUM · $342M to $343MMar 25, 2020 to Mar 16, 2021
- Accounts · 12 to 7Feb 21, 2019 to Mar 25, 2020
- Pooled vehicle clients · 10 to 5Feb 21, 2019 to Mar 25, 2020
- Private funds · 1 to unsetFeb 21, 2019 to Mar 25, 2020
- Discretionary RAUM · $816M to $342MFeb 21, 2019 to Mar 25, 2020
- Pension RAUM · $321M to $21.6MFeb 21, 2019 to Mar 25, 2020
- Pooled vehicle RAUM · $410M to $250MFeb 21, 2019 to Mar 25, 2020
- RAUM · $816M to $342MFeb 21, 2019 to Mar 25, 2020
- Accounts · 11 to 12Mar 6, 2018 to Feb 21, 2019
- Advisory employees · 6 to 7Mar 6, 2018 to Feb 21, 2019
- Pooled vehicle clients · 5 to 10Mar 6, 2018 to Feb 21, 2019
- Employees · 12 to 13Mar 6, 2018 to Feb 21, 2019
- Discretionary RAUM · $684M to $816MMar 6, 2018 to Feb 21, 2019
- Pension RAUM · $225M to $321MMar 6, 2018 to Feb 21, 2019
- Pooled vehicle RAUM · $414M to $410MMar 6, 2018 to Feb 21, 2019
Signals
4 dated events
- R••••• C••••••• M••••••••• P•• L•• no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $221.1M)Mar 6, 2025 · Left the SEC roster · derived
- R••••• C••••••• M••••••••• P•• L•• reported RAUM $341.7M, down 58% from $815.9M (2019-02-21 to 2020-03-25)Mar 25, 2020 · RAUM change · derived
- R••••• C••••••• M••••••••• P•• L•• reported RAUM $684.1M, up 32% from $518.0M (2017-03-09 to 2018-03-06)Mar 6, 2018 · RAUM change · derived
- R••••• C••••••• M••••••••• P•• L•• filed its initial SEC registration (Form ADV)Oct 20, 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