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••••••
Legal name R••••••••• C•••••• M••••••••• L•••
Latest filing Mar 27, 2026
First filing on the tape Jun 27, 2019 · 10 filings
SEC status approved since Jul 26, 2019
RAUM
$847M
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
12
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
5
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$847M as of Mar 27, 2026
Mar 29, 2020$407M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 29, 20200 then
Employees (5.A)12 as of Mar 27, 2026
Mar 29, 20208 then
Private funds5 as of Mar 27, 2026
Mar 29, 20203 then
RAUM -0.9% over the last fiscal year+1.0% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Mar 27, 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
- $169MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.9%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$847M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••••••••• C•••••• I•• L••• | Private Equity Fund | $359M | 31 | Mar 31, 2022 |
| R••••••••• C••••••• L••• | Private Equity Fund | $296M | 52 | Dec 12, 2017 |
| R••••••••• C•••••• I•••• L••• | Private Equity Fund | $83.3M | 12 | Mar 31, 2022 |
| K••• C••• C••••••••• L•• | Private Equity Fund | $36.8M | 7 | Mar 25, 2019 |
| H••• H•••••• C••••••••• L•• | Private Equity Fund | $19.6M | 1 | Mar 31, 2022 |
| U• O••• S•••••• M••••••••• C••••••••• L••no longer reported | Private Equity Fund | $4.6M | 3 | Dec 12, 2017 |
Owners and control persons
Schedule A and B, latest filing
- P•••••••• M•••• D•••• · Chief Compliance Officer, Chief Financial Oficercontrolsince 11/2017 · owns less than 5%
- R•••• G••••••• M••••••• · Managing Partner; Limited Partnercontrolsince 02/2017 · owns 25% to 50%
- R••••••••• D•••••• W•••••• · Managing Partner; Limited Partnercontrolsince 02/2017 · owns 25% to 50%
- R•••• G••••••• M••••••• · Trustee Of Garrick M. Rice Revocable Trust U/A/D 6/7/01controlsince 06/2001 · owns F of Garrick M. Rice Revocable Trust U/A/D 6/7/01
- R••••••••• D•••••• W•••••• · Member; Managing Partnercontrolsince 02/2017 · owns 50% to 75% of Riverglade Capital, LLC
Entity owners
- R••••••••• C••••••• L•• · General Partnerdirect · owns less than 5%
- G•••••• M• R••• R•••••••• T•••• U•••• 6••••• · Memberindirect · owns 50% to 75% of Riverglade Capital, LLC
Related persons
Schedule D 7.A
- R••••••••• C•••••• G•• L••pooled vehicle sponsorn
- R••••••••• C•••••• I• G•• L•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 13 to 12Mar 28, 2025 to Mar 27, 2026
- Employees · 13 to 12Mar 28, 2025 to Mar 27, 2026
- Other offices · 0 to 1Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $855M to $847MMar 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $855M to $847MMar 28, 2025 to Mar 27, 2026
- RAUM · $855M to $847MMar 28, 2025 to Mar 27, 2026
- Advisory employees · 11 to 13Mar 28, 2024 to Mar 28, 2025
- Employees · 11 to 13Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $794M to $855MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $794M to $855MMar 28, 2024 to Mar 28, 2025
- RAUM · $794M to $855MMar 28, 2024 to Mar 28, 2025
- Advisory employees · 10 to 11Mar 31, 2023 to Mar 28, 2024
- Employees · 13 to 11Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $822M to $794MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $822M to $794MMar 31, 2023 to Mar 28, 2024
- RAUM · $822M to $794MMar 31, 2023 to Mar 28, 2024
- Accounts · 6 to 5Jan 10, 2023 to Mar 31, 2023
- Advisory employees · 9 to 10Jan 10, 2023 to Mar 31, 2023
- Pooled vehicle clients · 6 to 5Jan 10, 2023 to Mar 31, 2023
- Employees · 10 to 13Jan 10, 2023 to Mar 31, 2023
- Private funds · 6 to 5Jan 10, 2023 to Mar 31, 2023
- Discretionary RAUM · $581M to $822MJan 10, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $581M to $822MJan 10, 2023 to Mar 31, 2023
- RAUM · $581M to $822MJan 10, 2023 to Mar 31, 2023
- Accounts · 3 to 6Aug 27, 2021 to Mar 31, 2022
- Advisory employees · 7 to 9Aug 27, 2021 to Mar 31, 2022
- Pooled vehicle clients · 3 to 6Aug 27, 2021 to Mar 31, 2022
- Employees · 8 to 10Aug 27, 2021 to Mar 31, 2022
- Legal name · RIVERGLADE CAPITAL MANAGEMENT, LLC to RIVERGLADE CAPITAL MANAGEMENT, L.P.Aug 27, 2021 to Mar 31, 2022
- Private funds · 3 to 6Aug 27, 2021 to Mar 31, 2022
- Discretionary RAUM · $427M to $581MAug 27, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $427M to $581MAug 27, 2021 to Mar 31, 2022
- RAUM · $427M to $581MAug 27, 2021 to Mar 31, 2022
- Succession · true to falseAug 27, 2021 to Mar 31, 2022
- Organization form · Limited Liability Company to Limited PartnershipMar 30, 2021 to Aug 27, 2021
- Succession · false to trueMar 30, 2021 to Aug 27, 2021
- Discretionary RAUM · $407M to $427MMar 29, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $407M to $427MMar 29, 2020 to Mar 30, 2021
- RAUM · $407M to $427MMar 29, 2020 to Mar 30, 2021
Signals
5 dated events
- Riverglade Capital reported RAUM $822.0M, up 41% from $581.3M (2023-01-10 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Riverglade Capital reported RAUM $581.3M, up 36% from $426.6M (2021-08-27 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Riverglade Capital reported succeeding to the business of Another Adviser (Form ADV Item 4)Aug 27, 2021 · Succession (Item 4) · fact
- Riverglade Capital reported RAUM $406.6M, up 47% from $277.3M (2019-06-27 to 2020-03-29)Mar 29, 2020 · RAUM change · derived
- Riverglade Capital filed its initial SEC registration (Form ADV)Jun 27, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Riverglade Capital · Independent Sponsorsshared crd · capital_provider
- Riverglade Capital · Private Equityshared crd · organization
- Riverglade Capital · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/riverglade-capital-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- riverglade.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-940-6700reportedpublic record, Form ADV, Mar 27, 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