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•••• H••••••••• C•••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jun 26, 2020 · 9 filings
SEC status approved since Jul 27, 2020
RAUM
$1.5B
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
22
20 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$1.5B as of Mar 31, 2026
Mar 29, 2021$258M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20210 then
Employees (5.A)22 as of Mar 31, 2026
Mar 29, 202111 then
Private funds8 as of Mar 31, 2026
Mar 29, 20213 then
RAUM +86% over the last fiscal year+21% a year over threeIARs 0 to 0offices 1 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
- $189MderivedRAUM 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
- +86%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 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)
- 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$1.5B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••••••• L• | Private Equity Fund | $220M | 96 | Mar 28, 2022 |
| R••••••• Q•• L• | Private Equity Fund | $187M | 7 | Mar 28, 2022 |
| R•••• H••••••••• C•••••• P•••••••• L••• | Private Equity Fund | $131M | 79 | Mar 16, 2018 |
| R••••••• L••• | Private Equity Fund | $83.8M | 81 | Mar 30, 2020 |
| R•••••• Q•• L••• | Private Equity Fund | $81.9M | 5 | Mar 30, 2020 |
Owners and control persons
Schedule A and B, latest filing
- K••• D••••• C••• · Co-Managing Membercontrolsince 02/2018 · owns 50% to 75%
- S•••••••• J••• E••••• · Chief Compliance Officercontrolsince 02/2018 · owns 25% to 50%
- W•••• T••••• K•••••• · Membersince 01/2022 · owns 10% to 25%
Related persons
Schedule D 7.A
- R•••• H••••••••• C•••••• G• I•• L••pooled vehicle sponsorn
- R•••• H••••••••• C•••••• G• I••• L••pooled vehicle sponsorn
- R•••• H••••••••• C•••••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Port Washington, NY2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $812,185,528 to $1,511,698,537 (+86.0%) between the annual amendments of 2025-03-21 and 2026-03-31; the peer median change was +11.0% (1368 comparable advisers, 92.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 92% percentile
What changed
consecutive filings, newest first
- Advisory employees · 18 to 20Mar 21, 2025 to Mar 31, 2026
- Employees · 20 to 22Mar 21, 2025 to Mar 31, 2026
- Other offices · 1 to 0Mar 21, 2025 to Mar 31, 2026
- Discretionary RAUM · $812M to $1.5BMar 21, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $812M to $1.5BMar 21, 2025 to Mar 31, 2026
- RAUM · $812M to $1.5BMar 21, 2025 to Mar 31, 2026
- Accounts · 5 to 8Mar 27, 2024 to Mar 21, 2025
- Advisory employees · 17 to 18Mar 27, 2024 to Mar 21, 2025
- Pooled vehicle clients · 5 to 8Mar 27, 2024 to Mar 21, 2025
- Employees · 19 to 20Mar 27, 2024 to Mar 21, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 21, 2025
- Private funds · 5 to 8Mar 27, 2024 to Mar 21, 2025
- Discretionary RAUM · $704M to $812MMar 27, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $704M to $812MMar 27, 2024 to Mar 21, 2025
- RAUM · $704M to $812MMar 27, 2024 to Mar 21, 2025
- Related adviser · false to trueMar 27, 2024 to Mar 21, 2025
- Advisory employees · 14 to 17Mar 30, 2023 to Mar 27, 2024
- Employees · 15 to 19Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $861M to $704MMar 30, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $861M to $704MMar 30, 2023 to Mar 27, 2024
- RAUM · $861M to $704MMar 30, 2023 to Mar 27, 2024
- Advisory employees · 13 to 14Nov 29, 2022 to Mar 30, 2023
- Assets in custody · unset to 0.0Nov 29, 2022 to Mar 30, 2023
- Custody of client assets · false to trueNov 29, 2022 to Mar 30, 2023
- Employees · 13 to 15Nov 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $846M to $861MNov 29, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $846M to $861MNov 29, 2022 to Mar 30, 2023
- RAUM · $846M to $861MNov 29, 2022 to Mar 30, 2023
- Accounts · 3 to 5Mar 29, 2021 to Mar 28, 2022
- Advisory employees · 11 to 13Mar 29, 2021 to Mar 28, 2022
- Pooled vehicle clients · 3 to 5Mar 29, 2021 to Mar 28, 2022
- Assets in custody · 130000000.0 to unsetMar 29, 2021 to Mar 28, 2022
- Custody of client assets · true to falseMar 29, 2021 to Mar 28, 2022
- Employees · 11 to 13Mar 29, 2021 to Mar 28, 2022
- Other offices · 0 to 1Mar 29, 2021 to Mar 28, 2022
- Private funds · 3 to 5Mar 29, 2021 to Mar 28, 2022
- Discretionary RAUM · $258M to $846MMar 29, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $258M to $846MMar 29, 2021 to Mar 28, 2022
- RAUM · $258M to $846MMar 29, 2021 to Mar 28, 2022
- Advisory employees · 10 to 11Jun 26, 2020 to Mar 29, 2021
Signals
3 dated events
- R•••• H••••••••• C•••••• M••••••••• L•• reported RAUM $1.5B, up 86% from $812.2M (2025-03-21 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- R•••• H••••••••• C•••••• M••••••••• L•• reported RAUM $846.3M, up 228% from $258.0M (2021-03-29 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- R•••• H••••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 26, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R•••• H••••••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- R•••• H••••••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
- R•••• H••••••••• C•••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/regal-healthcare-capital-partnersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (212)-393-4790reportedpublic 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