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••• G••••• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 296846SEC 801-113348IAPD
Latest filing Jun 8, 2021
First filing on the tape May 1, 2018 · 7 filings
RAUM
$263M
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
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$155M gross assets
History
7 filings and snapshots on the tape
RAUM$263M as of Mar 10, 2021
Mar 26, 2019$91.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 10, 2021
Mar 26, 20190 then
Employees (5.A)5 as of Mar 10, 2021
Mar 26, 20195 then
Private funds1 as of Mar 10, 2021
Mar 26, 20191 then
RAUM +66% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 8, 2021; 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
$65.7MderivedRAUM 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
+66%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
$155M, 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
  • 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$155M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$155M for 3 clientsreported
Compensation
% of AUM, performancereported
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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      R••• G••••• M••••• F••• L•Hedge Fund$155M38Sep 28, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • R•••••• R••••• •••••• · Managing Partnercontrol
        since 06/2017 · owns 75% or more
      • Y••• W••••••• •••••• · Cfo/Ccocontrol
        since 01/2018 · owns less than 5%
      • R•••••• R••••• •••••• · Owner
        since 09/2017 · owns 75% or more of R••• G••••• A••••••••• G• L••
      Entity owners
      • R••• G••••• A••••••••• G• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • R••• G••••• A••••••••• F••• G• L••
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $72.9M to $155M
        Dec 8, 2020 to Mar 10, 2021
      • Discretionary RAUM · $159M to $263M
        Dec 8, 2020 to Mar 10, 2021
      • Pooled vehicle RAUM · $72.9M to $155M
        Dec 8, 2020 to Mar 10, 2021
      • RAUM · $159M to $263M
        Dec 8, 2020 to Mar 10, 2021
      • Assets in custody · $34.2M to $72.9M
        Mar 26, 2019 to Mar 23, 2020
      • Discretionary RAUM · $91.8M to $159M
        Mar 26, 2019 to Mar 23, 2020
      • Pooled vehicle RAUM · $34.2M to $72.9M
        Mar 26, 2019 to Mar 23, 2020
      • RAUM · $91.8M to $159M
        Mar 26, 2019 to Mar 23, 2020
      • Related adviser · false to true
        Mar 26, 2019 to Mar 23, 2020
      • Charity clients · unset to 0.0
        Sep 28, 2018 to Mar 26, 2019
      • Corporate clients · unset to 0.0
        Sep 28, 2018 to Mar 26, 2019
      • HNW clients · unset to 0.0
        Sep 28, 2018 to Mar 26, 2019
      • Individual clients · unset to 0.0
        Sep 28, 2018 to Mar 26, 2019
      • Pension plan clients · unset to 0.0
        Sep 28, 2018 to Mar 26, 2019
      • Assets in custody · $30.2M to $34.2M
        Sep 28, 2018 to Mar 26, 2019
      • Discretionary RAUM · $80.4M to $91.8M
        Sep 28, 2018 to Mar 26, 2019
      • Pooled vehicle RAUM · $30.2M to $34.2M
        Sep 28, 2018 to Mar 26, 2019
      • RAUM · $80.4M to $91.8M
        Sep 28, 2018 to Mar 26, 2019
      • Accounts · unset to 4.0
        May 1, 2018 to Sep 28, 2018
      • Advisory activities · 1 to 2
        May 1, 2018 to Sep 28, 2018
      • Pooled vehicle clients · unset to 3.0
        May 1, 2018 to Sep 28, 2018
      • Assets in custody · unset to 30181219.0
        May 1, 2018 to Sep 28, 2018
      • Custody of client assets · false to true
        May 1, 2018 to Sep 28, 2018
      • Private funds · unset to 1
        May 1, 2018 to Sep 28, 2018
      • Discretionary RAUM · unset to 80422222.0
        May 1, 2018 to Sep 28, 2018
      • Non-discretionary RAUM · unset to 0.0
        May 1, 2018 to Sep 28, 2018
      • Pooled vehicle RAUM · unset to 30181218.0
        May 1, 2018 to Sep 28, 2018
      • RAUM · unset to 80422222.0
        May 1, 2018 to Sep 28, 2018
      Signals
      2 dated events
      • R••• G••••• M••••••••• L• reported RAUM $262.8M, up 66% from $158.8M (2020-12-08 to 2021-03-10)
        Mar 10, 2021 · RAUM change · derived
      • R••• G••••• M••••••••• L• filed its initial SEC registration (Form ADV)
        May 1, 2018 · 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