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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
R••••••• C•••••• A•••• P••••••• L••
Latest filing Jun 24, 2026
First filing on the tape Mar 31, 2022 · 8 filings
SEC status approved since May 2, 2022
RAUM
$381M
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
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$381M as of Jun 24, 2026
Mar 31, 2023$197M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 24, 2026
Mar 31, 20230 then
Employees (5.A)8 as of Jun 24, 2026
Mar 31, 20236 then
Private funds5 as of Jun 24, 2026
Mar 31, 20233 then
RAUM +29% over the last fiscal year+25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 24, 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
- $76.2MderivedRAUM 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
- +29%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
- $381M, 5 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$381M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $381M for 5 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••••••• C•••••• A•••• P••••••• F••• I• L• | Hedge Fund | $230M | 16 | Mar 31, 2022 |
| F••• P••••••• L•• | Private Equity Fund | $45.1M | 3 | Mar 31, 2022 |
| F••• V•••••• H••••••• L•• | Private Equity Fund | $9.4M | 5 | Mar 31, 2022 |
Owners and control persons
Schedule A and B, latest filing
- F••••••• A••••• E••••• · Chief Operating Officer, Chief Compliance Officercontrolsince 09/2018 · owns less than 5%
- H••••••• J••••• A•••••• · Ceocontrolsince 09/2018 · owns 75% or more
Related persons
Schedule D 7.A
- F••• C••••••• L••pooled vehicle sponsorn
- F••• P•••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1 to 5Apr 10, 2025 to Mar 31, 2026
- Advisory employees · 4 to 5Apr 10, 2025 to Mar 31, 2026
- Pooled vehicle clients · 1 to 5Apr 10, 2025 to Mar 31, 2026
- Assets in custody · $352M to $381MApr 10, 2025 to Mar 31, 2026
- Employees · 6 to 8Apr 10, 2025 to Mar 31, 2026
- Private funds · 4 to 5Apr 10, 2025 to Mar 31, 2026
- Discretionary RAUM · $296M to $381MApr 10, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $296M to $381MApr 10, 2025 to Mar 31, 2026
- RAUM · $296M to $381MApr 10, 2025 to Mar 31, 2026
- Accounts · 3 to 1Mar 28, 2024 to Apr 10, 2025
- Pooled vehicle clients · 3 to 1Mar 28, 2024 to Apr 10, 2025
- Assets in custody · $284M to $352MMar 28, 2024 to Apr 10, 2025
- Financial planning clients · unset to Mar 28, 2024 to Apr 10, 2025
- Private funds · 3 to 4Mar 28, 2024 to Apr 10, 2025
- Discretionary RAUM · $284M to $296MMar 28, 2024 to Apr 10, 2025
- Pooled vehicle RAUM · $284M to $296MMar 28, 2024 to Apr 10, 2025
- RAUM · $284M to $296MMar 28, 2024 to Apr 10, 2025
- Accounts · 1 to 3Jun 12, 2023 to Mar 28, 2024
- Advisory employees · 3 to 4Jun 12, 2023 to Mar 28, 2024
- Pooled vehicle clients · 1 to 3Jun 12, 2023 to Mar 28, 2024
- Assets in custody · $251M to $284MJun 12, 2023 to Mar 28, 2024
- Discretionary RAUM · $197M to $284MJun 12, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $197M to $284MJun 12, 2023 to Mar 28, 2024
- RAUM · $197M to $284MJun 12, 2023 to Mar 28, 2024
- Assets in custody · $264M to $251MMay 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $209M to $197MMay 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $209M to $197MMay 31, 2022 to Mar 31, 2023
- RAUM · $209M to $197MMay 31, 2022 to Mar 31, 2023
Signals
1 dated events
- R••••••• C•••••• A•••• P••••••• L•• filed its initial SEC registration (Form ADV)Mar 31, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R••••••• C•••••• A•••• P••••••• L•• · Independent Sponsorsshared crd · capital_provider
- R••••••• C•••••• A•••• P••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- resolutecapital.netreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 303-209-4114reportedpublic record, Form ADV, Jun 24, 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