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• F••• P•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 298853SEC 801-114165IAPD
Latest filing Mar 2, 2020
First filing on the tape Sep 21, 2018 · 8 filings
RAUM
$461M
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
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$461M gross assets
History
8 filings and snapshots on the tape
RAUM$461M as of Mar 2, 2020
Jan 28, 2019$479M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 2, 2020
Jan 28, 20192 then
Employees (5.A)5 as of Mar 2, 2020
Jan 28, 20195 then
Private funds1 as of Mar 2, 2020
Jan 28, 20191 then
RAUM -3.7% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 2, 2020; every figure names its basis
RAUM per advisor
$231MderivedRAUM 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
$461MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-3.7%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$461M100%
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 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• J•••• C••••••••• · Board Membercontrol
        since 08/2018 · owns less than 5%
      • D••••••• R••••••• P•••••• · Chief Financial Officercontrol
        since 03/2019 · owns less than 5%
      • F••••••••• S••••• F•••••• · Board Membercontrol
        since 08/2018 · owns less than 5%
      • L•••••• C•••• M• · Chief Compliance Officercontrol
        since 08/2018 · owns less than 5%
      • R••••••••• J•••• R•••••• · President And Chief Executive Officer, Board Membercontrol
        since 01/2019 · owns less than 5%
      • W•••• E•••• S••••• · Board Membercontrol
        since 08/2018 · owns less than 5%
      Entity owners
      • R•• U•• H••••• C••••••••• · Direct Owner
        direct · owns 75% or more
      • R•• U• G•••• H••••••• L•• · Direct Owner
        indirect · owns 75% or more of R•• U•• H••••• C•••••••••
      • R•••• B••• O• C••••• · Ultimate Owner
        indirect · owns 75% or more of R•• U• G•••• H••••••• L•• · public reporting company
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • BD registered reps · 3 to 4
        Oct 3, 2019 to Jan 28, 2020
      • Discretionary RAUM · $479M to $461M
        Oct 3, 2019 to Jan 28, 2020
      • Pooled vehicle RAUM · $479M to $461M
        Oct 3, 2019 to Jan 28, 2020
      • RAUM · $479M to $461M
        Oct 3, 2019 to Jan 28, 2020
      • Accounts · unset to 1.0
        Oct 17, 2018 to Jan 28, 2019
      • Pooled vehicle clients · 0 to 1
        Oct 17, 2018 to Jan 28, 2019
      • State-registered IARs · 1 to 2
        Oct 17, 2018 to Jan 28, 2019
      • Private funds · unset to 1
        Oct 17, 2018 to Jan 28, 2019
      • Discretionary RAUM · unset to 478750494.0
        Oct 17, 2018 to Jan 28, 2019
      • Non-discretionary RAUM · unset to 0.0
        Oct 17, 2018 to Jan 28, 2019
      • Pooled vehicle RAUM · unset to 478750494.0
        Oct 17, 2018 to Jan 28, 2019
      • RAUM · unset to 478750494.0
        Oct 17, 2018 to Jan 28, 2019
      Signals
      5 dated events
      • Patrick Richard Davison (Chief Financial Officer) appeared on Schedule A of R•• C• F••• P•••••••• L••
        Mar 21, 2019 · Control person joined · fact
      • James Eugene Chiulli (Chief Financial Officer) no longer on Schedule A of R•• C• F••• P•••••••• L•• (listed 2019-01-29, absent 2019-03-21)
        Mar 21, 2019 · Control person left · inference
      • Mark Maroney (President And Chief Executive Officer, Board Member) no longer on Schedule A of R•• C• F••• P•••••••• L•• (listed 2018-10-17, absent 2019-01-28)
        Jan 28, 2019 · Control person left · inference
      • Richard John Rhinelander (President And Chief Executive Officer, Board Member) appeared on Schedule A of R•• C• F••• P•••••••• L••
        Jan 28, 2019 · Control person joined · fact
      • R•• C• F••• P•••••••• L•• filed its initial SEC registration (Form ADV)
        Sep 21, 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