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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
R••••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Feb 16, 2017 · 20 filings
SEC status approved since Mar 17, 2017
RAUM
$2.9B
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
10
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
14
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$2.9B as of Mar 31, 2026
Mar 26, 2018$173M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 26, 20180 then
Employees (5.A)10 as of Mar 31, 2026
Mar 26, 20185 then
Private funds14 as of Mar 31, 2026
Mar 26, 20181 then
RAUM +20% over the last fiscal year+19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $62.0MderivedRAUM 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
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.9B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 47reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
13 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••••••• F• I• L•• | Other Private Fund | $450M | 93 | Feb 16, 2017 |
| R••••••• C•• I• L•• | Other Private Fund | $217M | 64 | Mar 30, 2020 |
| R••••••• S• I• L•• | Other Private Fund | $172M | 125 | Mar 30, 2020 |
| R••••••• F• I• L•• | Other Private Fund | $159M | 69 | Mar 30, 2022 |
| R••••••• O• I• L•• | Other Private Fund | $129M | 88 | Mar 30, 2023 |
| R••••••• W• I• L•• | Other Private Fund | $83.4M | 52 | Mar 30, 2022 |
| S• H••••••• I• L•• | Other Private Fund | $32.5M | 34 | Mar 26, 2019 |
| R••••••• Z•• I• L•• | Other Private Fund | $24.4M | 79 | Mar 29, 2024 |
| R••••••• S• I• L•• | Other Private Fund | $24.2M | 37 | Mar 30, 2021 |
| R••••••• J• I• L•• | Other Private Fund | $24.1M | 39 | Mar 26, 2019 |
| R••••••• S•••• I• L•• | Other Private Fund | $20.5M | 50 | Mar 30, 2022 |
| R••••••• B• I• L•• | Other Private Fund | $14.1M | 68 | Mar 29, 2024 |
| R••••••• R•••• I• L••no longer reported | Other Private Fund | $2.9M | 44 | Mar 26, 2019 |
Owners and control persons
Schedule A and B, latest filing
- D••••••••• J•••••• J•••• · Executive Officercontrolsince 03/2023 · owns less than 5%
- G••••••••• E••• E•••••• · M••••••controlsince 12/2015 · owns 50% to 75%
- J••••• D•••••• A••• · Chief Financial Officer/Chief Compliance Officercontrolsince 09/2019 · owns less than 5%
- M•••••• E•••• B••••• · M••••••controlsince 06/2016 · owns 25% to 50%
Related persons
Schedule D 7.A
- R••••••• S•• M•••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 41 to 47Sep 9, 2025 to Mar 31, 2026
- Advisory employees · 4 to 5Sep 9, 2025 to Mar 31, 2026
- Pooled vehicle clients · 41 to 47Sep 9, 2025 to Mar 31, 2026
- Employees · 9 to 10Sep 9, 2025 to Mar 31, 2026
- Private funds · 12 to 14Sep 9, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.4B to $2.9BSep 9, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $2.4B to $2.9BSep 9, 2025 to Mar 31, 2026
- RAUM · $2.4B to $2.9BSep 9, 2025 to Mar 31, 2026
- Accounts · 39 to 41Mar 29, 2024 to Mar 28, 2025
- Pooled vehicle clients · 39 to 41Mar 29, 2024 to Mar 28, 2025
- Assets in custody · $1.4B to $0Mar 29, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.7B to $2.4BMar 29, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.7B to $2.4BMar 29, 2024 to Mar 28, 2025
- RAUM · $1.7B to $2.4BMar 29, 2024 to Mar 28, 2025
- Accounts · 33 to 39Mar 30, 2023 to Mar 29, 2024
- Pooled vehicle clients · 33 to 39Mar 30, 2023 to Mar 29, 2024
- Assets in custody · $1.4B to $1.4BMar 30, 2023 to Mar 29, 2024
- Private funds · 10 to 12Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.7B to $1.7BMar 30, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $1.7B to $1.7BMar 30, 2023 to Mar 29, 2024
- RAUM · $1.7B to $1.7BMar 30, 2023 to Mar 29, 2024
- Accounts · 30 to 33Apr 19, 2022 to Mar 30, 2023
- Pooled vehicle clients · 30 to 33Apr 19, 2022 to Mar 30, 2023
- Assets in custody · $1.4B to $1.4BApr 19, 2022 to Mar 30, 2023
- Employees · 7 to 9Apr 19, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.5B to $1.7BApr 19, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $1.5B to $1.7BApr 19, 2022 to Mar 30, 2023
- RAUM · $1.5B to $1.7BApr 19, 2022 to Mar 30, 2023
- Accounts · 21 to 30Mar 30, 2021 to Mar 30, 2022
- Advisory employees · 5 to 4Mar 30, 2021 to Mar 30, 2022
- Pooled vehicle clients · 21 to 30Mar 30, 2021 to Mar 30, 2022
- Assets in custody · $964M to $1.4BMar 30, 2021 to Mar 30, 2022
- Private funds · 7 to 10Mar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $1.1B to $1.5BMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $1.1B to $1.5BMar 30, 2021 to Mar 30, 2022
- RAUM · $1.1B to $1.5BMar 30, 2021 to Mar 30, 2022
- Accounts · 19 to 21Jun 5, 2020 to Mar 30, 2021
- Advisory employees · 4 to 5Jun 5, 2020 to Mar 30, 2021
- Pooled vehicle clients · 19 to 21Jun 5, 2020 to Mar 30, 2021
Signals
7 dated events
- R••••••• M••••••••• L•• reported RAUM $2.4B, up 43% from $1.7B (2024-03-29 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- James Joseph Dimartino (Executive Officer) appeared on Schedule A of R••••••• M••••••••• L••Mar 30, 2023 · Control person joined · fact
- R••••••• M••••••••• L•• reported RAUM $1.5B, up 39% from $1.1B (2021-03-30 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- R••••••• M••••••••• L•• reported RAUM $1.1B, up 92% from $550.8M (2020-06-05 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- Adam Daniel Jemal (Chief Financial Officer/Chief Compliance Officer) appeared on Schedule A of R••••••• M••••••••• L••Sep 13, 2019 · Control person joined · fact
- R••••••• M••••••••• L•• reported RAUM $464.4M, up 169% from $172.8M (2018-05-01 to 2019-03-26)Mar 26, 2019 · RAUM change · derived
- R••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 16, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R••••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- R•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-858-0448reportedpublic 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
- 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