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••••••• A••••••••• A••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 286099SEC 801-108890IAPD
Latest filing Aug 3, 2020
First filing on the tape Dec 22, 2016 · 13 filings
RAUM
$294M
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
59
13 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$294M as of Feb 11, 2020
Feb 28, 2018$77.8M then
HNW client RAUM$0 as of Feb 11, 2020
Feb 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Feb 11, 2020
Feb 28, 20180 then
Employees (5.A)59 as of Feb 11, 2020
Feb 28, 201838 then
Private funds: no history
RAUM +53% over the last fiscal yearIARs 0 to 0offices 5 to 3
Practice profile
derived from the filing of Aug 3, 2020; 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
$294MderivedRAUM 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
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
+53%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 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)
  • 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
  • Investment companies$294M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• J••••• A••••• · Senior Vice Presidentcontrol
        since 11/2016 · owns less than 5%
      • B••••• L•••••••• S••••• · Senior Vice President, Chief Compliance Officer & Secretarycontrol
        since 11/2016 · owns less than 5%
      • B••••••••• J••••••• D••• · Senior Vice Presidentcontrol
        since 11/2016 · owns less than 5%
      • C•••••••• G•••••• E••••• · Senior Vice Presidentcontrol
        since 11/2016 · owns less than 5%
      • C••••• J••••••• P•••••• · Presidentcontrol
        since 11/2016 · owns less than 5%
      • E••••••• T•••••• C•••••• · Senior Vice Presidentcontrol
        since 11/2016 · owns less than 5%
      • F••••••• A•••• F•••• · Senior Vice Presidentcontrol
        since 11/2016 · owns less than 5%
      • H••••••• B••••• S•••••• · Vice Presidentcontrol
        since 11/2016 · owns less than 5%
      • S••••• M••••••• J•• · Senior Vice Presidentcontrol
        since 11/2016 · owns less than 5%
      • T••••••••• M••••••• T••••• · Managing Directorcontrol
        since 08/2017 · owns less than 5%
      • A••••• J••••• A••••• · Member Of Board Of M••••••Scontrol
        since 01/2019 · owns F of C•••• C•••••• P••••••• L••
      • C••••• J••••••• P•••••• · Member Of Board Of M••••••Scontrol
        since 02/2010 · owns F of C•••• C•••••• P••••••• L••
      • F•••••• A•••••• L••••••• · Member Of Board Of M••••••Scontrol
        since 02/2010 · owns F of C•••• C•••••• P••••••• L••
      • F•••••• A•••••• L••••••• · Membercontrol
        since 07/2003 · owns 75% or more of I••••• C•••••• G•••• L••
      • J••••••••• M••••••• G•••••• · Member Of Board Of M••••••Scontrol
        since 05/2012 · owns F of C•••• C•••••• P••••••• L••
      • R••••••• S•••••• J••••• · Member Of Board Of M••••••Scontrol
        since 02/2010 · owns F of C•••• C•••••• P••••••• L••
      • G•••• M••••••••• F••••• · Vice President - Compliance & Assistant Secretary
        since 03/2018 · owns less than 5%
      Entity owners
      • R••••••• A••••••• I••• · Sole Member
        direct · owns 75% or more
      • A••••• A••••••• L•• · Member
        indirect · owns 75% or more of I••••• C•••• M•••••• L••
      • C•••• C•••••• P••••••• L•• · Sole Shareholder
        indirect · owns 75% or more of R••••••• A••••••• I•••
      • I••••• C•••• D••••••••• I• L•• · Managing Member
        indirect · owns F of I••••• C•••• H••••••• I• L••
      • I••••• C•••• D••••••••• L•• · Managing Member
        indirect · owns F of I••••• C•••• H••••••• L••
      • I••••• C•••• H••••••• I• L•• · Member
        indirect · owns 25% to 50% of C•••• C•••••• P••••••• L••
      • I••••• C•••• H••••••• L•• · Member
        indirect · owns 25% to 50% of C•••• C•••••• P••••••• L••
      • I••••• C•••• M•••••• L•• · M••••••
        indirect · owns F of C•••• C•••••• P••••••• L••
      • I••••• C•••••• G••••• L•• · Member
        indirect · owns 75% or more of A••••• A••••••• L••
      • I••••• C•••••• G••••• L•• · Member
        indirect · owns 75% or more of I••••• C•••• D••••••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list R••••••• A••••••••• A••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY3 employees
      • Philadelphia, PA2 employees
      • Greenville, SC1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 15 to 13
        Aug 26, 2019 to Feb 11, 2020
      • Employees · 91 to 59
        Aug 26, 2019 to Feb 11, 2020
      • Other offices · 5 to 3
        Aug 26, 2019 to Feb 11, 2020
      • Discretionary RAUM · $192M to $294M
        Aug 26, 2019 to Feb 11, 2020
      • RAUM · $192M to $294M
        Aug 26, 2019 to Feb 11, 2020
      • Advisory employees · 10 to 15
        Jan 2, 2019 to Mar 12, 2019
      • BD registered reps · 3 to 4
        Jan 2, 2019 to Mar 12, 2019
      • Employees · 38 to 91
        Jan 2, 2019 to Mar 12, 2019
      • Discretionary RAUM · $77.8M to $192M
        Jan 2, 2019 to Mar 12, 2019
      • RAUM · $77.8M to $192M
        Jan 2, 2019 to Mar 12, 2019
      • Other offices · 4 to 5
        Mar 29, 2018 to Jun 27, 2018
      • BD registered reps · 4 to 3
        Feb 28, 2018 to Mar 29, 2018
      • Other offices · 1 to 4
        Feb 28, 2018 to Mar 29, 2018
      • Charity clients · unset to 0.0
        Sep 29, 2017 to Feb 28, 2018
      • Corporate clients · unset to 0.0
        Sep 29, 2017 to Feb 28, 2018
      • HNW clients · unset to 0.0
        Sep 29, 2017 to Feb 28, 2018
      • Individual clients · unset to 0.0
        Sep 29, 2017 to Feb 28, 2018
      • Pension plan clients · unset to 0.0
        Sep 29, 2017 to Feb 28, 2018
      • Pooled vehicle clients · unset to 0.0
        Sep 29, 2017 to Feb 28, 2018
      • Employees · 25 to 38
        Sep 29, 2017 to Feb 28, 2018
      • Other offices · unset to 1.0
        Sep 29, 2017 to Feb 28, 2018
      • Discretionary RAUM · $35.0M to $77.8M
        Sep 29, 2017 to Feb 28, 2018
      • HNW RAUM · unset to 0.0
        Sep 29, 2017 to Feb 28, 2018
      • Individual RAUM · unset to 0.0
        Sep 29, 2017 to Feb 28, 2018
      • Pension RAUM · unset to 0.0
        Sep 29, 2017 to Feb 28, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Sep 29, 2017 to Feb 28, 2018
      • RAUM · $35.0M to $77.8M
        Sep 29, 2017 to Feb 28, 2018
      • Related insurance company · true to false
        Sep 29, 2017 to Feb 28, 2018
      • BD registered reps · 3 to 4
        Apr 21, 2017 to Sep 29, 2017
      • Discretionary RAUM · $11.6M to $35.0M
        Apr 21, 2017 to Sep 29, 2017
      • RAUM · $11.6M to $35.0M
        Apr 21, 2017 to Sep 29, 2017
      • Accounts · unset to 1.0
        Jan 4, 2017 to Apr 21, 2017
      • Discretionary RAUM · unset to 11626259.0
        Jan 4, 2017 to Apr 21, 2017
      • Non-discretionary RAUM · unset to 0.0
        Jan 4, 2017 to Apr 21, 2017
      • RAUM · unset to 11626259.0
        Jan 4, 2017 to Apr 21, 2017
      Signals
      6 dated events
      • Matthew Justin Milberg (Managing Director) no longer on Schedule A of R••••••• A••••••••• A••••••• L•• (listed 2020-02-11, absent 2020-06-12)
        Jun 12, 2020 · Control person left · inference
      • R••••••• A••••••••• A••••••• L•• reported RAUM $293.5M, up 53% from $191.6M (2019-08-26 to 2020-02-11)
        Feb 11, 2020 · RAUM change · derived
      • R••••••• A••••••••• A••••••• L•• reported RAUM $191.6M, up 146% from $77.8M (2019-01-02 to 2019-03-12)
        Mar 12, 2019 · RAUM change · derived
      • Stephen Brian Hawkins (Vice President) appeared on Schedule A of R••••••• A••••••••• A••••••• L••
        Mar 12, 2019 · Control person joined · fact
      • Mcmurry Frank Garrison (Member Of Board Of Managers) no longer on Schedule A of R••••••• A••••••••• A••••••• L•• (listed 2018-06-27, absent 2019-01-02)
        Jan 2, 2019 · Control person left · inference
      • R••••••• A••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Dec 22, 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