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•••••• I•••••••••
Legal name R•••••• I••••••••• C•••••••• A••••••• L••
Latest filing Oct 27, 2023
First filing on the tape Nov 8, 2017 · 14 filings
RAUM
$29.1M
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
450
106 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$29.1M as of Mar 31, 2023
Mar 29, 2018$13.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Mar 31, 2023
Mar 29, 20180 then
Employees (5.A)450 as of Mar 31, 2023
Mar 29, 201812 then
Private funds: no history
RAUM +1963% over the last fiscal year+13% a year over threeIARs 0 to 6
Practice profile
derived from the filing of Oct 27, 2023; every figure names its basis
- RAUM per advisor
- $4.9MderivedRAUM 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
- $29.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 75.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1963%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$29.1M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• S••••••• H••••• · Directorcontrolsince 07/2019 · owns less than 5%
- E••••••••• K••••••••• A••• · Directorcontrolsince 05/2021 · owns less than 5%
- F•••••••• T•••••• E••••• · Presidentcontrolsince 09/2017 · owns less than 5%
- M•••••••• K••••• K•••• · Directorcontrolsince 09/2020 · owns less than 5%
- M••••••••• P•••• · Chief R••• Officercontrolsince 06/2023 · owns less than 5%
- S••••••• H•••••• B•••• · Chief Legal Officercontrolsince 03/2022 · owns less than 5%
- R••••••••• M••••••• C••••••••• · Chief Compliance Officersince 10/2023 · owns less than 5%
Entity owners
- R•••••• I••••••••• U• I••••••••• H•••••• I••• · Ownerdirect · owns 75% or more
- E•••••• A••••••••• L•••••• · Ownerindirect · owns 75% or more of R•••••• I••••••••• U• I••••••••• H•••••• I•••
- R•••••• I••••••••• C••••• M••••• L••• · Ownerindirect · owns 75% or more of E•••••• A••••••••• L••••••
- R•••••• I••••••••• G••••• L••• · Ownerindirect · owns 75% or more of R•••••• I••••••••• C••••• M••••• L•••
- T• X•••• E• A••• L••• · Shareholderindirect · owns 25% to 50% of R•••••• I••••••••• G••••• L•••
Related persons
Schedule D 7.A
- F•• P••••••• I• L••pooled vehicle sponsorn
- F•• P••••••• I•• L•••pooled vehicle sponsorn
- I• P••••••••• F•••••••• A••••••• L••••••investment advisern
- R•••••• I••••••••• G•••• L•••investment advisern
- R•••••• I••••••••• G•••• P•• L••investment advisern
- R•••••• I••••••••• M••••••••• ••••••••• C••••••• L•••investment advisern
- R•••••• I••••••••• M••••••••• L••investment advisern
- R•••••• I•••••••••investment adviserbankpooled vehicle sponsorLP sponsornRAUM $69B
- R•••••• I••••••••• C••••• L••••••investment advisern
- R•••••• I•••••••••investment adviserbankpooled vehicle sponsornRAUM $35B
- R•••••• I••••••••• D•••••••• L••pooled vehicle sponsorn
- R•••••• I••••••••• E••••••• B••••••• P••• L•••investment advisern
- R•••••• I••••••••• F•••••••• S•••••••• L••broker-dealern
- R•••••• I••••••••• F•••••••• S•••••••• P•• L•••investment advisern
- R•••••• I••••••••• F••••• S••investment advisern
- R•••••• I••••••••• F•••• M••••••••• L••pooled vehicle sponsorn
- R•••••• I••••••••• G•• G• S•••••••pooled vehicle sponsorn
- R•••••• I••••••••• I••••••••• S••••••• L••••••investment advisern
- R•••••• I•••••••••broker-dealerinvestment adviserbanknRAUM $81B
- R•••••• I••••••••• I•••••• L••••••investment adviserpooled vehicle sponsorn
- R•••••• I••••••••• J•••• C••• L•••investment advisern
- R•••••• I••••••••• K•••• L••••••investment advisern
- R•••••• I••••••••• L••••••investment advisern
- R•••••• I••••••••• P•• 2••• G•• L••bankpooled vehicle sponsorn
- R•••••• I••••••••• T•••• C••••••bankn
- R•••••• I••••••••• W•• G••••• P•••••• C••••• G• L••••••pooled vehicle sponsorn
- R•••••• I••••••••• W•• G••••• P•••••• C••••• G•• L••••••pooled vehicle sponsorn
- T•• O•••••• P••••••••• L••••••investment advisern
- T•• W••••••••• N•••••• L••••••investment advisern
- T•••• R••• M••••••••• P••• L••••••n
Offices
Schedule D 1.F, the 25 largest
- New York, NY13 employees
What changed
consecutive filings, newest first
- Advisory employees · 13 to 106Nov 17, 2022 to Mar 31, 2023
- BD registered reps · 8 to 82Nov 17, 2022 to Mar 31, 2023
- Employees · 24 to 450Nov 17, 2022 to Mar 31, 2023
- Insurance-licensed employees · 0 to 6Nov 17, 2022 to Mar 31, 2023
- State-registered IARs · 0 to 6Nov 17, 2022 to Mar 31, 2023
- Discretionary RAUM · $2.9M to $29.1MNov 17, 2022 to Mar 31, 2023
- RAUM · $2.9M to $29.1MNov 17, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.4M to $2.9MMar 31, 2022 to May 17, 2022
- RAUM · $1.4M to $2.9MMar 31, 2022 to May 17, 2022
- Advisory employees · 16 to 13Aug 12, 2021 to Mar 31, 2022
- BD registered reps · 2 to 8Aug 12, 2021 to Mar 31, 2022
- Employees · 29 to 24Aug 12, 2021 to Mar 31, 2022
- Other offices · 0 to 1Aug 12, 2021 to Mar 31, 2022
- Discretionary RAUM · $11.3M to $1.4MAug 12, 2021 to Mar 31, 2022
- RAUM · $11.3M to $1.4MAug 12, 2021 to Mar 31, 2022
- Advisory employees · 7 to 16Dec 23, 2020 to Mar 18, 2021
- BD registered reps · 4 to 2Dec 23, 2020 to Mar 18, 2021
- Employees · 12 to 29Dec 23, 2020 to Mar 18, 2021
- Discretionary RAUM · $20.4M to $11.3MDec 23, 2020 to Mar 18, 2021
- RAUM · $20.4M to $11.3MDec 23, 2020 to Mar 18, 2021
- Financial planning clients · 0 to unsetMar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $112M to $20.4MMar 29, 2019 to Mar 30, 2020
- RAUM · $112M to $20.4MMar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $13.2M to $112MMar 29, 2018 to Mar 29, 2019
- RAUM · $13.2M to $112MMar 29, 2018 to Mar 29, 2019
- Business name · R•••••• I••••••••• C•••••••• A••••••• L•• to R•••••• I•••••••••Nov 8, 2017 to Mar 29, 2018
- Financial planning clients · unset to 0Nov 8, 2017 to Mar 29, 2018
- Discretionary RAUM · $17.2M to $13.2MNov 8, 2017 to Mar 29, 2018
- RAUM · $17.2M to $13.2MNov 8, 2017 to Mar 29, 2018
Signals
19 dated events
- Sylvester Marbey (Chief Compliance Officer) no longer on Schedule A of R•••••• I••••••••• (listed 2023-06-30, absent 2023-10-27)Oct 27, 2023 · Control person left · inference
- Patrick John Mcmurray (Chief Risk Officer) no longer on Schedule A of R•••••• I••••••••• (listed 2023-03-31, absent 2023-06-30)Jun 30, 2023 · Control person left · inference
- P•••• M•••••••• (Chief Risk Officer) appeared on Schedule A of R•••••• I•••••••••Jun 30, 2023 · Control person joined · fact
- Brian Howard Surloff (Global Chief Legal Counsel) appeared on Schedule A of R•••••• I•••••••••Mar 31, 2022 · Control person joined · fact
- Patrick John Mcmurray (Chief Risk Officer) appeared on Schedule A of R•••••• I•••••••••Mar 31, 2022 · Control person joined · fact
- Sylvester Marbey (Us Advisor Chief Compliance Officer) appeared on Schedule A of R•••••• I•••••••••Aug 12, 2021 · Control person joined · fact
- Lyda Iturralde (Us Advisor Chief Compliance Officer) no longer on Schedule A of R•••••• I••••••••• (listed 2021-06-01, absent 2021-08-12)Aug 12, 2021 · Control person left · inference
- J P•••• Gunning (Director) no longer on Schedule A of R•••••• I••••••••• (listed 2021-03-18, absent 2021-06-01)Jun 1, 2021 · Control person left · inference
- Anne Katherine El-Hillow (Director) appeared on Schedule A of R•••••• I•••••••••Jun 1, 2021 · Control person joined · fact
- Vincent Steven Kirschner (Director) no longer on Schedule A of R•••••• I••••••••• (listed 2020-12-23, absent 2021-03-18)Mar 18, 2021 · Control person left · inference
- Kevin Kelly Mainelli (Director) appeared on Schedule A of R•••••• I•••••••••Mar 18, 2021 · Control person joined · fact
- Louise Kristin Burnett (Chief Compliance Officer) no longer on Schedule A of R•••••• I••••••••• (listed 2020-03-30, absent 2020-12-23)Dec 23, 2020 · Control person left · inference
- Lyda Iturralde (Us Advisor Chief Compliance Officer) appeared on Schedule A of R•••••• I•••••••••Dec 23, 2020 · Control person joined · fact
- Harold Stephen Belgrad (Director) appeared on Schedule A of R•••••• I•••••••••Mar 30, 2020 · Control person joined · fact
- J P•••• Gunning (Director) appeared on Schedule A of R•••••• I•••••••••Mar 29, 2019 · Control person joined · fact
- Todd Jeffrey Hussey (Director) no longer on Schedule A of R•••••• I••••••••• (listed 2018-03-29, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Charles Matthew Moss (Chief Financial Officer) no longer on Schedule A of R•••••• I••••••••• (listed 2018-03-29, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Wayne Kenneth Willman (Chief Legal Officer) no longer on Schedule A of R•••••• I••••••••• (listed 2018-03-29, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- R•••••• I••••••••• C•••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Nov 8, 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.
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