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•••••• M••••••••• I•••
Latest filing Jun 29, 2026
First filing on the tape Jan 26, 2018 · 21 filings
SEC status approved since Feb 26, 2018
RAUM
$248M
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
6
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$248M as of Jun 29, 2026
Apr 1, 2019$141M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 29, 2026
Apr 1, 20190 then
Employees (5.A)6 as of Jun 29, 2026
Apr 1, 20193 then
Private funds2 as of Jun 29, 2026
Apr 1, 20192 then
RAUM +14% over the last fiscal year+5.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 29, 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
- $82.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 36%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
- +14%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $248M, 3 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$158M64%
- Charitable organizations$89.8M36%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $248M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.64 institutional_share=0.36 related_bd=false related_bank=true 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| K•••• B•• I••••••••• C•• L••• | Hedge Fund | $61.2M | 8 | Mar 13, 2012 |
| R•••••••• P•••••••• L••• | Hedge Fund | $37.3M | 39 | Mar 13, 2012 |
| E•••• 1••• L••no longer reported | Private Equity Fund | $16.7M | 18 | Mar 31, 2021 |
Owners and control persons
Schedule A and B, latest filing
- H•• C••••••••• A••••• · Chief Compliance Officercontrolsince 01/2021 · owns less than 5%
- R••••••••• J••••• B•••• · Director, Presidentcontrolsince 07/1984 · owns less than 5%
- R••••••••• J•••• N•• · Directorcontrolsince 08/2013 · owns less than 5%
- R••••••••• J••••••• M•• · Directorcontrolsince 03/2015 · owns less than 5%
- R••••••••• L••••• P••••• · Executive Vice Presidentcontrolsince 05/2017 · owns less than 5%
- V•••• A••••• N•• · Chief Financial Officer, Secretary & Treasurercontrolsince 05/2017 · owns less than 5%
- R••••••••• J••••• B•••• · Trusteecontrolsince 12/1997 · owns F of R•••••••• F••••• T••••
- R••••••••• L••••• P••••• · Trusteecontrolsince 12/1997 · owns F of R•••••••• F••••• T••••
Entity owners
- R•••••••• F••••• T•••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- A••• G• L••bankpooled vehicle sponsory
- B•••• F•••• P••••••••• L••y
- B•••• F•••• P••••••• M••••••••• I•••investment companyy
- D••••• A••••••• K•investment advisery
- D••••• I••••••••• A••••••• S••••••• P•••••• L••••••investment advisery
- D••••• I••••••••• ••••••••• P•• L••investment advisery
- D••••• I••••••••• •••• K•••• L••••••investment advisery
- D••••• I••••••••• I•••investment adviseryRAUM $5.7B
- I•••• G• L••bankpooled vehicle sponsory
- K••••• G• L••bankpooled vehicle sponsory
- P••••• G• L••bankpooled vehicle sponsory
- P••••• G• L••bankpooled vehicle sponsory
- R••••• S•• M••••••••• L•••investment advisery
- S••••• B• S•• L••bankpooled vehicle sponsory
- S••••• C• S•• L••bankpooled vehicle sponsory
Advisers that list R•••••••• C•••••• M••••••••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Jun 29, 2026institutional share of RAUM of 36% against a peer median of 0% (1568 comparable advisers, 100.0th percentile, 12.2 robust deviations)peers: asset managers, $100M to $500M (1,568) · 100% percentile
What changed
consecutive filings, newest first
- Assets in custody · $219M to $248MJun 30, 2025 to Mar 30, 2026
- Discretionary RAUM · $219M to $248MJun 30, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $143M to $158MJun 30, 2025 to Mar 30, 2026
- RAUM · $219M to $248MJun 30, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jun 30, 2025
- Assets in custody · $168M to $219MJul 15, 2024 to Mar 31, 2025
- Discretionary RAUM · $168M to $219MJul 15, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $98.5M to $143MJul 15, 2024 to Mar 31, 2025
- RAUM · $168M to $219MJul 15, 2024 to Mar 31, 2025
- Accounts · 5 to 3May 3, 2023 to Mar 29, 2024
- Individual clients · unset to 0.0May 3, 2023 to Mar 29, 2024
- Pooled vehicle clients · 4 to 2May 3, 2023 to Mar 29, 2024
- Assets in custody · $210M to $168MMay 3, 2023 to Mar 29, 2024
- Employees · 5 to 6May 3, 2023 to Mar 29, 2024
- Private funds · 4 to 2May 3, 2023 to Mar 29, 2024
- Discretionary RAUM · $210M to $168MMay 3, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $152M to $98.5MMay 3, 2023 to Mar 29, 2024
- RAUM · $210M to $168MMay 3, 2023 to Mar 29, 2024
- Individual clients · 0.0 to unsetMay 2, 2022 to Mar 31, 2023
- Assets in custody · $224M to $210MMay 2, 2022 to Mar 31, 2023
- Discretionary RAUM · $224M to $210MMay 2, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $157M to $152MMay 2, 2022 to Mar 31, 2023
- RAUM · $224M to $210MMay 2, 2022 to Mar 31, 2023
- Accounts · 4 to 5Mar 31, 2021 to Mar 31, 2022
- Pooled vehicle clients · 3 to 4Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $140M to $224MMar 31, 2021 to Mar 31, 2022
- Employees · 6 to 5Mar 31, 2021 to Mar 31, 2022
- Private funds · 3 to 4Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $140M to $224MMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $81.7M to $157MMar 31, 2021 to Mar 31, 2022
- RAUM · $140M to $224MMar 31, 2021 to Mar 31, 2022
- Pooled vehicle clients · 2 to 3Jan 8, 2021 to Mar 31, 2021
- Assets in custody · $121M to $140MJan 8, 2021 to Mar 31, 2021
- Private funds · 2 to 3Jan 8, 2021 to Mar 31, 2021
- Discretionary RAUM · $121M to $140MJan 8, 2021 to Mar 31, 2021
- Pooled vehicle RAUM · $64.4M to $81.7MJan 8, 2021 to Mar 31, 2021
- RAUM · $121M to $140MJan 8, 2021 to Mar 31, 2021
- Assets in custody · $141M to $121MApr 30, 2019 to Mar 30, 2020
- Employees · 3 to 6Apr 30, 2019 to Mar 30, 2020
- Discretionary RAUM · $141M to $121MApr 30, 2019 to Mar 30, 2020
Signals
4 dated events
- Oliver Steven Kramer (General Counsel) no longer on Schedule A of R•••••••• C•••••• M••••••••• I••• (listed 2022-05-02, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Alfred Christopher Ha (Chief Compliance Officer) appeared on Schedule A of R•••••••• C•••••• M••••••••• I•••Jan 8, 2021 · Control person joined · fact
- R•••••••• C•••••• M••••••••• I••• reported RAUM $141.2M, down 44% from $253.9M (2018-04-27 to 2019-04-01)Apr 1, 2019 · RAUM change · derived
- R•••••••• C•••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Jan 26, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R•••••••• C•••••• M••••••••• I••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 310-318-9000reportedpublic record, Form ADV, Jun 29, 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