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
M•• R••••••••• S•••••••
Legal name R•••••• M•••••• L••••
Latest filing May 29, 2024
First filing on the tape Feb 7, 2017 · 9 filings
SEC status approved since Mar 8, 2017
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 29, 2024
Jun 1, 20180 then
Employees (5.A)1 as of May 29, 2024
Jun 1, 20181 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 29, 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- unknownderivedbetween 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, fixed feesreportedItem 5.E
- Advisory activities
- pension consultingreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 8reported
- Charitable clients
- n/areported
- Accounts
- n/areported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false 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
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- M•••••• L•••• R••••• to F••••• R••••••••• S•••••••Dec 31, 2025 · Other
Joined, latest
- M•••••• L•••• R••••• from C••••••• P•••••••Sep 12, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••• M••••••• L•••• · Ccocontrolsince 08/2016 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Campbell, Ca | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Pension plan clients · 14 to 8Feb 1, 2023 to May 29, 2024
- Pension plan clients · 16 to 14Mar 4, 2021 to Feb 23, 2022
- Accounts · 15.0 to unsetFeb 7, 2017 to Jun 1, 2018
- Pension plan clients · unset to 16.0Feb 7, 2017 to Jun 1, 2018
- HQ city · MORGAN HILL to unsetFeb 7, 2017 to Jun 1, 2018
- HQ state · CA to unsetFeb 7, 2017 to Jun 1, 2018
- Other offices · unset to 0.0Feb 7, 2017 to Jun 1, 2018
- Discretionary RAUM · 5000000.0 to unsetFeb 7, 2017 to Jun 1, 2018
- Non-discretionary RAUM · 200000000.0 to unsetFeb 7, 2017 to Jun 1, 2018
- RAUM · 205000000.0 to unsetFeb 7, 2017 to Jun 1, 2018
Signals
2 dated events
- M•••••• L•••• R••••• left M•• R••••••••• S••••••• for F••••• R••••••••• S••••••• (registered 2026-01-01)Dec 31, 2025 · Advisor changed firm · fact
- M•• R••••••••• S••••••• filed its initial SEC registration (Form ADV)Feb 7, 2017 · 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
- Principal office phone
- 408-621-8020reportedpublic record, Form ADV, May 29, 2024
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
- No RAUM reportedderiveda 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