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••••••••• L•••
Latest filing Mar 26, 2026
First filing on the tape Jun 27, 2022 · 5 filings
SEC status approved since Jul 27, 2022
RAUM
$233M
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
4
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
2
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$233M as of Mar 26, 2026
Mar 27, 2023$247M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 27, 20230 then
Employees (5.A)4 as of Mar 26, 2026
Mar 27, 20234 then
Private funds2 as of Mar 26, 2026
Mar 27, 20232 then
RAUM -3.6% over the last fiscal year-1.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 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
- $117MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.6%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 pooled vehiclesreportedItem 5.G
- Custody
- $119M, 2 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)
- 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$233M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $119M for 2 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••••••• C•••••• P•••••••• L••• | Private Equity Fund | $139M | 16 | Mar 30, 2022 |
| V•••••• P•••••• C•••••• P•••••••• L••• | Private Equity Fund | $99.4M | 68 | May 29, 2015 |
Owners and control persons
Schedule A and B, latest filing
- C••••• S•••• A••• · Managing Partner / Limited Partner / Chief Compliance Officercontrolsince 02/2015 · owns 75% or more
- C••••• S•••• A••• · Managing Membercontrolsince 02/2015 · owns 75% or more of R••••••• C•••••• M••••••••• A••••••••• L••
Entity owners
- R••••••• C•••••• M••••••••• A••••••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- R••••••• C•••••• G•• L••investment adviserpooled vehicle sponsorn
- V••• G•• L••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Assets in custody · $99.8M to $119MMar 26, 2025 to Mar 26, 2026
- Discretionary RAUM · $242M to $233MMar 26, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $242M to $233MMar 26, 2025 to Mar 26, 2026
- RAUM · $242M to $233MMar 26, 2025 to Mar 26, 2026
- Assets in custody · $93.6M to $99.8MMar 27, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 26, 2025
- Discretionary RAUM · $239M to $242MMar 27, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $239M to $242MMar 27, 2024 to Mar 26, 2025
- RAUM · $239M to $242MMar 27, 2024 to Mar 26, 2025
- Assets in custody · $96.5M to $93.6MMar 27, 2023 to Mar 27, 2024
- Discretionary RAUM · $247M to $239MMar 27, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $247M to $239MMar 27, 2023 to Mar 27, 2024
- RAUM · $247M to $239MMar 27, 2023 to Mar 27, 2024
- Assets in custody · $102M to $96.5MJun 27, 2022 to Mar 27, 2023
- Private funds · 4 to 2Jun 27, 2022 to Mar 27, 2023
- Discretionary RAUM · $254M to $247MJun 27, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $254M to $247MJun 27, 2022 to Mar 27, 2023
- RAUM · $254M to $247MJun 27, 2022 to Mar 27, 2023
Signals
1 dated events
- R••••••• C•••••• M••••••••• L••• filed its initial SEC registration (Form ADV)Jun 27, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R••••••• C•••••• M••••••••• L••• · Independent Sponsorsshared crd · capital_provider
- R••••••• C•••••• M••••••••• L••• · Private Equityshared crd · organization
- R••••••• C•••••• M••••••••• L••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-918-5239reportedpublic record, Form ADV, Mar 26, 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