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••••• T••• F••• M•••••••• L••
Latest filing Mar 31, 2023
First filing on the tape Jun 16, 2017 · 8 filings
RAUM
$129M
reported, Item 5.F
Discretionary
47%
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
5
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
12
$129M gross assets
History
8 filings and snapshots on the tape
RAUM$129M as of Mar 31, 2023
Mar 31, 2018$314M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 31, 20180 then
Employees (5.A)5 as of Mar 31, 2023
Mar 31, 20187 then
Private funds12 as of Mar 31, 2023
Mar 31, 201815 then
RAUM n/a over the last fiscal year-15% a year over three
Practice profile
derived from the filing of Mar 31, 2023; 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
- $10.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 47%derivedof RAUM
- Institutional
- 0.0%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
- 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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $129M, 12 clientsreportedItem 9.A
- 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
- Pooled investment vehicles$129M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 12reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $129M for 12 clientsreported
- 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
17 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••••• T••• V•• L•• | Venture Capital Fund | $54.8M | 2 | Jun 16, 2017 |
| R••••• T••• I•• L••• | Venture Capital Fund | $19.2M | 14 | Nov 25, 2020 |
| R••••• T••• S••• 2•••• L••• | Venture Capital Fund | $12.8M | 33 | Mar 31, 2018 |
| R••••• T••• I• L•• | Venture Capital Fund | $12.5M | 2 | May 23, 2014 |
| R••••• T••• S••• 2•••• L••• | Venture Capital Fund | $8.3M | 21 | Mar 29, 2016 |
| R••••• T••• I•• L•• | Other Private Fund | $4.0M | 2 | Nov 3, 2015 |
| R••••• T••• V••• L•• | Venture Capital Fund | $2.4M | 2 | Mar 31, 2018 |
| R••••• T••• C•• L••• | Venture Capital Fund | $2.4M | 43 | Mar 31, 2022 |
| R••••• T••• I•• L•• | Venture Capital Fund | $1.5M | 2 | May 23, 2014 |
| N•••••• V••••••• E••••••••• I••• L•••no longer reported | Venture Capital Fund | $1.2M | 35 | Mar 30, 2012 |
| N•••••• V••••••• I••• L•••no longer reported | Venture Capital Fund | $1.0M | 47 | Mar 30, 2012 |
| N•••••• V••••••• C••••• I••• L•••no longer reported | Venture Capital Fund | $995,441 | 4 | Mar 30, 2012 |
| R••••• T••• V• L•• | Venture Capital Fund | $949,463 | 3 | Mar 29, 2016 |
| N•••••• V••••••• I•• G••• • C•• K•no longer reported | Venture Capital Fund | $394,885 | 2 | Mar 30, 2012 |
| R••••• T••• I••• L•• | Venture Capital Fund | $24,560 | 3 | May 23, 2014 |
| R••••• T••• I••• L•• | Venture Capital Fund | $8,048 | 2 | Mar 31, 2018 |
| R••••• T••• I•••• L••no longer reported | Venture Capital Fund | $0 | 1 | Mar 31, 2017 |
Owners and control persons
Schedule A and B, latest filing
- H••••••••• O••••• · Managing Directorcontrolsince 10/2000 · owns 50% to 75%
- H••••••••• T••••• O••••• · Managing Directorcontrolsince 02/2014 · owns 50% to 75%
- K•••• J•••••• P•••• · Chief Financial Officer And Chief Compliance Officercontrolsince 01/2010 · owns less than 5%
Related persons
Schedule D 7.A
- R••••• T••• I••••••••• P•••••••• L••pooled vehicle sponsorn
- R••••• T••• M••••••••• I•• L••pooled vehicle sponsorn
- R••••• T••• M••••••••• L••pooled vehicle sponsorn
- R••••• T••• P••••••• I•• L••pooled vehicle sponsorn
- R••••• T••• S••• P••••••• I• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Assets in custody · $193M to $129MJul 13, 2022 to Mar 31, 2023
- HQ city · SAN FRANCISCO to unsetJul 13, 2022 to Mar 31, 2023
- HQ state · CA to unsetJul 13, 2022 to Mar 31, 2023
- Discretionary RAUM · $78.5M to $60.3MJul 13, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $114M to $68.2MJul 13, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $193M to $129MJul 13, 2022 to Mar 31, 2023
- RAUM · $193M to $129MJul 13, 2022 to Mar 31, 2023
- Related adviser · true to falseJul 13, 2022 to Mar 31, 2023
- Private funds · 24 to 12Jun 29, 2022 to Jul 13, 2022
- Accounts · 11 to 12Mar 27, 2020 to Jun 29, 2022
- Advisory employees · 6 to 5Mar 27, 2020 to Jun 29, 2022
- Pooled vehicle clients · 11 to 12Mar 27, 2020 to Jun 29, 2022
- Assets in custody · $213M to $193MMar 27, 2020 to Jun 29, 2022
- Employees · 6 to 5Mar 27, 2020 to Jun 29, 2022
- Private funds · 11 to 24Mar 27, 2020 to Jun 29, 2022
- Discretionary RAUM · $58.1M to $78.5MMar 27, 2020 to Jun 29, 2022
- Non-discretionary RAUM · $154M to $114MMar 27, 2020 to Jun 29, 2022
- Pooled vehicle RAUM · $213M to $193MMar 27, 2020 to Jun 29, 2022
- RAUM · $213M to $193MMar 27, 2020 to Jun 29, 2022
- Accounts · 15 to 11Mar 29, 2019 to Mar 27, 2020
- Advisory employees · 8 to 6Mar 29, 2019 to Mar 27, 2020
- Pooled vehicle clients · 15 to 11Mar 29, 2019 to Mar 27, 2020
- Assets in custody · $413M to $213MMar 29, 2019 to Mar 27, 2020
- Employees · 9 to 6Mar 29, 2019 to Mar 27, 2020
- Private funds · 15 to 11Mar 29, 2019 to Mar 27, 2020
- Discretionary RAUM · $109M to $58.1MMar 29, 2019 to Mar 27, 2020
- Non-discretionary RAUM · $303M to $154MMar 29, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $413M to $213MMar 29, 2019 to Mar 27, 2020
- RAUM · $413M to $213MMar 29, 2019 to Mar 27, 2020
- Advisory employees · 6 to 8Mar 31, 2018 to Mar 29, 2019
- Assets in custody · $314M to $413MMar 31, 2018 to Mar 29, 2019
- Employees · 7 to 9Mar 31, 2018 to Mar 29, 2019
- Discretionary RAUM · $83.9M to $109MMar 31, 2018 to Mar 29, 2019
- Non-discretionary RAUM · $231M to $303MMar 31, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $314M to $413MMar 31, 2018 to Mar 29, 2019
- RAUM · $314M to $413MMar 31, 2018 to Mar 29, 2019
- Accounts · 12 to 15Aug 26, 2017 to Mar 31, 2018
- Pooled vehicle clients · unset to 15.0Aug 26, 2017 to Mar 31, 2018
- Assets in custody · $304M to $314MAug 26, 2017 to Mar 31, 2018
- Other offices · unset to 1.0Aug 26, 2017 to Mar 31, 2018
Signals
3 dated events
- John Bruce Bauer (Managing Director (Of Newbury Ventures)) no longer on Schedule A of R••••• T••• F••• M•••••••• L•• (listed 2020-03-27, absent 2022-06-29)Jun 29, 2022 · Control person left · inference
- R••••• T••• F••• M•••••••• L•• reported RAUM $212.6M, down 49% from $412.8M (2019-03-29 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- R••••• T••• F••• M•••••••• L•• filed its initial SEC registration (Form ADV)Jun 16, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R••••• T••• F••• M•••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/risingtidevcreportedpublic record, Form ADV, Sep 19, 2026
- Website
- RTF.VCreportedpublic record, Form ADV, Sep 19, 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
- 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