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•••••• L•••
Wealth manager with institutional or fund businessNew York, New YorkCRD 285971SEC 801-111872websiteIAPD
Legal name R••••• C•••••• • G••••••• L•••
Latest filing Mar 31, 2026
First filing on the tape Dec 23, 2016 · 26 filings
SEC status approved since Oct 18, 2017
RAUM
$11B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
37%
$3.9B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
52
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$11B as of Mar 31, 2026
Mar 31, 2018$20B then
HNW client RAUM$3.9B as of Mar 31, 2026
Mar 31, 2018$3.7B then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20180 then
Employees (5.A)52 as of Mar 31, 2026
Mar 31, 201864 then
Private funds6 as of Mar 29, 2019
Mar 31, 20186 then
RAUM +12% over the last fiscal year+6.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $8.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 24%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
- Custody
- $104M, 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$3.9B37%
- Investment companies$3.8B36%
- Pension and profit-sharing plans$1.8B17%
- Charitable organizations$729M6.9%
- Corporations and businesses$259M2.5%
- Individual clients
- n/areported
- HNW clients
- 1,138reported
- Pension plan clients
- 11reported
- Charitable clients
- 31reported
- Accounts
- 1,213reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $104M for 1 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.37 fund_share=0.36 institutional_share=0.24 related_bd=false related_bank=false bd_reps=2.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• M••••••• G• · General Counselcontrolsince 06/2025 · owns less than 5%
- D•••••• P••••••• L•••• · Chief Financial Officercontrolsince 11/2017 · owns less than 5%
- H•••••• J•••• B••••• · Managing Directorcontrolsince 11/2016 · owns less than 5%
- L••••••••• Y•• D•• · Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- R•••• J•••••••• E• · Chief Operating Officercontrolsince 09/2023 · owns less than 5%
- A••••••••• G•••••• · Management Committee Membercontrolsince 02/2018 · owns F of R••••• L••
- G••••••••• A••••• C••••• · Management Committee Membercontrolsince 01/2019 · owns F of R••••• L••
- H•••••• J•••• B••••• · Managing Partnercontrolsince 02/2018 · owns F of R••••• L••
- M•••••• T•••••• R••• · Management Committee Membercontrolsince 01/2019 · owns F of R••••• L••
- S•••••••• D••••• C•••• · Management Committee Membercontrolsince 01/2019 · owns F of R••••• L••
Entity owners
- R••••• L•• · General Partnerdirect · owns less than 5%
- R••••• C•••••• • G••••••• I••• · Limited Partnerdirect · owns 75% or more
Related persons
Schedule D 7.A
- H••••••• C•••••• A••••••• L•investment advisernRAUM $581M
Advisers that list R•••• C•••••• L••• as a related person
- 304230 n
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL1 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 31, 2026B••••••• M••••••• G• (GENERAL COUNSEL) appeared on Schedule A between the filings of 2024-03-27 and 2026-03-31peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Mar 31, 2026A••••••••• G•••••• (MANAGEMENT COMMITTEE MEMBER) left Schedule A between the filings of 2024-03-27 and 2026-03-31peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Mar 31, 2026S•••••••• D••••• C•••• (MANAGEMENT COMMITTEE MEMBER) left Schedule A between the filings of 2024-03-27 and 2026-03-31peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Mar 31, 2026M•••••• T•••••• R••• (MANAGEMENT COMMITTEE MEMBER) left Schedule A between the filings of 2024-03-27 and 2026-03-31peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Mar 31, 2026G••••••••• A••••• C••••• (MANAGEMENT COMMITTEE MEMBER) left Schedule A between the filings of 2024-03-27 and 2026-03-31peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 1,271 to 1,213Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 14 to 12Mar 31, 2025 to Mar 31, 2026
- BD registered reps · 3 to 2Mar 31, 2025 to Mar 31, 2026
- Charity clients · 32 to 31Mar 31, 2025 to Mar 31, 2026
- Corporate clients · 38 to 32Mar 31, 2025 to Mar 31, 2026
- HNW clients · 1,188 to 1,138Mar 31, 2025 to Mar 31, 2026
- Pension plan clients · 12 to 11Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $87.7M to $104MMar 31, 2025 to Mar 31, 2026
- Employees · 54 to 52Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $9.4B to $11BMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $3.5B to $3.9BMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $1.5B to $1.8BMar 31, 2025 to Mar 31, 2026
- RAUM · $9.4B to $11BMar 31, 2025 to Mar 31, 2026
- Accounts · 1,244 to 1,271Oct 29, 2024 to Mar 31, 2025
- Advisory employees · 15 to 14Oct 29, 2024 to Mar 31, 2025
- Charity clients · 36 to 32Oct 29, 2024 to Mar 31, 2025
- Corporate clients · 39 to 38Oct 29, 2024 to Mar 31, 2025
- HNW clients · 1,151 to 1,188Oct 29, 2024 to Mar 31, 2025
- Pension plan clients · 17 to 12Oct 29, 2024 to Mar 31, 2025
- Assets in custody · $78.9M to $87.7MOct 29, 2024 to Mar 31, 2025
- Employees · 57 to 54Oct 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Oct 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $9.7B to $9.4BOct 29, 2024 to Mar 31, 2025
- HNW RAUM · $3.2B to $3.5BOct 29, 2024 to Mar 31, 2025
- Pension RAUM · $2.0B to $1.5BOct 29, 2024 to Mar 31, 2025
- RAUM · $9.7B to $9.4BOct 29, 2024 to Mar 31, 2025
- Accounts · 1,328 to 1,244Mar 22, 2024 to Mar 27, 2024
- BD registered reps · 8 to 3Mar 22, 2024 to Mar 27, 2024
- Charity clients · 40 to 36Mar 22, 2024 to Mar 27, 2024
- Corporate clients · 49 to 39Mar 22, 2024 to Mar 27, 2024
- HNW clients · 1,219 to 1,151Mar 22, 2024 to Mar 27, 2024
- Pension plan clients · 19 to 17Mar 22, 2024 to Mar 27, 2024
- Assets in custody · $61.6M to $78.9MMar 22, 2024 to Mar 27, 2024
- Employees · 62 to 57Mar 22, 2024 to Mar 27, 2024
- Discretionary RAUM · $8.8B to $9.7BMar 22, 2024 to Mar 27, 2024
- HNW RAUM · $2.9B to $3.2BMar 22, 2024 to Mar 27, 2024
- Pension RAUM · $1.7B to $2.0BMar 22, 2024 to Mar 27, 2024
- RAUM · $8.8B to $9.7BMar 22, 2024 to Mar 27, 2024
- Business name · R••••• C•••••• • G••••••• L••• to R•••• C•••••• L•••Mar 27, 2024 to Mar 27, 2024
- Accounts · 1,446 to 1,328Mar 30, 2022 to Mar 31, 2023
Signals
12 dated events
- Dearholt Wendy Goodrich (Executive Vice President) no longer on Schedule A of R•••• C•••••• L••• (listed 2024-03-22, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- E Jennifer R••• (Chief Operating Officer) appeared on Schedule A of R•••• C•••••• L•••Mar 27, 2024 · Control person joined · fact
- R•••• C•••••• L••• reported RAUM $8.8B, down 40% from $14.6B (2022-03-30 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Nachum Michael Sloyer (Chief Compliance Officer) no longer on Schedule A of R•••• C•••••• L••• (listed 2021-03-18, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Yau Dun Lee (Chief Compliance Officer) appeared on Schedule A of R•••• C•••••• L•••Mar 30, 2022 · Control person joined · fact
- C••••• A•••• G••••••••• (Management Committee Member) appeared on Schedule A of R•••• C•••••• L•••Mar 18, 2021 · Control person joined · fact
- Ryan Trevor Magyar (Management Committee Member) appeared on Schedule A of R•••• C•••••• L•••Mar 18, 2021 · Control person joined · fact
- C•••• D•••• S••••••• (Management Committee Member) appeared on Schedule A of R•••• C•••••• L•••Mar 18, 2021 · Control person joined · fact
- R•••• C•••••• L••• reported RAUM $10.7B, down 38% from $17.1B (2019-03-29 to 2019-06-17)Jun 17, 2019 · RAUM change · derived
- Martin D•••• Poppe (Management Committee Member) no longer on Schedule A of R•••• C•••••• L••• (listed 2018-03-31, absent 2019-01-23)Jan 23, 2019 · Control person left · inference
- R•••• C•••••• L••• reported RAUM $20.0B, up 142% from $8.3B (2018-02-12 to 2018-03-31)Mar 31, 2018 · RAUM change · derived
- R••••• C•••••• • G••••••• L••• filed its initial SEC registration (Form ADV)Dec 23, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 800-686-6884reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H••••://WWW.SEQUOIAFUND.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-832-5280reportedpublic 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
- Wealth manager with institutional or fund businessderiveda 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