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••• C•••••• M•••••••••

Former SEC-registered adviserCarlsbad, CaliforniaCRD 298831SEC 801-114648IAPD
Legal name R••• C•••••• M••••••••• L••
Latest filing Mar 24, 2020
First filing on the tape Jan 2, 2019 · 5 filings
RAUM
$2.3M
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
9
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$2.3M as of Mar 24, 2020
Jan 2, 2019$40.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2020
Jan 2, 20190 then
Employees (5.A)9 as of Mar 24, 2020
Jan 2, 20199 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 24, 2020; 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
$2.3MderivedRAUM 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 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)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$2.3M100%
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
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••• J••••• S•••• · Presidentcontrol
        since 10/2019 · owns less than 5%
      • G••••••• J••••• S•••• · Membercontrol
        since 06/2015 · owns 25% to 50% of S•• I••••••••• H•••••••
      • S••••••••• R••••••• C••••• · Membercontrol
        since 06/2015 · owns 25% to 50% of S•• I••••••••• H•••••••
      • S••••••• C••••••••• A••••• · Membercontrol
        since 06/2015 · owns 25% to 50% of S•• I••••••••• H•••••••
      • W••••••• J••••• C•••••• · Chief Compliance Officer
        since 09/2018 · owns less than 5%
      Entity owners
      • S•• I••••••••• H••••••• · Member
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      Advisers that list R••• C•••••• M••••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • BD registered reps · 0 to 5
        Jan 8, 2020 to Mar 24, 2020
      • Employees · 4 to 9
        Jan 8, 2020 to Mar 24, 2020
      • Financial planning clients · 0 to unset
        Jan 8, 2020 to Mar 24, 2020
      • State-registered IARs · 2 to 0
        Jan 8, 2020 to Mar 24, 2020
      • Discretionary RAUM · $2.4M to $2.3M
        Jan 8, 2020 to Mar 24, 2020
      • RAUM · $2.4M to $2.3M
        Jan 8, 2020 to Mar 24, 2020
      • BD registered reps · 5 to 0
        Jun 19, 2019 to Jan 8, 2020
      • Employees · 9 to 4
        Jun 19, 2019 to Jan 8, 2020
      • HQ city · S••••SDALE to CARLSBAD
        Jun 19, 2019 to Jan 8, 2020
      • HQ state · AZ to CA
        Jun 19, 2019 to Jan 8, 2020
      • State-registered IARs · 0 to 2
        Jun 19, 2019 to Jan 8, 2020
      • Discretionary RAUM · $44.6M to $2.4M
        Jun 19, 2019 to Jan 8, 2020
      • RAUM · $44.6M to $2.4M
        Jun 19, 2019 to Jan 8, 2020
      • Related bank · false to true
        Jun 19, 2019 to Jan 8, 2020
      • Related broker-dealer · true to false
        Jun 19, 2019 to Jan 8, 2020
      • Accounts · unset to 1.0
        Jan 31, 2019 to Jun 19, 2019
      • Discretionary RAUM · unset to 44620000.0
        Jan 31, 2019 to Jun 19, 2019
      • Non-discretionary RAUM · unset to 0.0
        Jan 31, 2019 to Jun 19, 2019
      • RAUM · unset to 44620000.0
        Jan 31, 2019 to Jun 19, 2019
      • Accounts · 1.0 to unset
        Jan 2, 2019 to Jan 31, 2019
      • Discretionary RAUM · 40000000.0 to unset
        Jan 2, 2019 to Jan 31, 2019
      • Non-discretionary RAUM · 0.0 to unset
        Jan 2, 2019 to Jan 31, 2019
      • RAUM · 40000000.0 to unset
        Jan 2, 2019 to Jan 31, 2019
      Signals
      2 dated events
      • Edward Paul Kujalowicz (President) no longer on Schedule A of R••• C•••••• M••••••••• (listed 2019-06-19, absent 2020-01-08)
        Jan 8, 2020 · Control person left · inference
      • R••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)
        Jan 2, 2019 · 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