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••••• A••••••• L•
Latest filing Mar 26, 2026
First filing on the tape Sep 28, 2018 · 12 filings
SEC status approved since Oct 29, 2018
RAUM
$3.1B
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
76
27 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
12
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$3.1B as of Mar 26, 2026
Mar 28, 2019$1.7B then
HNW client RAUM$0 as of Mar 26, 2026
Mar 28, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 28, 20190 then
Employees (5.A)76 as of Mar 26, 2026
Mar 28, 201937 then
Private funds12 as of Mar 26, 2026
Mar 28, 20194 then
RAUM -5.9% over the last fiscal year-1.0% 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
- $261MderivedRAUM 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
- -5.9%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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$3.1B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 12reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••••• W••• L••• | Securitized Asset Fund | $452M | 2 | Sep 28, 2018 |
| R••••• C••••• L••• | Securitized Asset Fund | $428M | 2 | Sep 28, 2018 |
| R••••• C•••••• L••• | Securitized Asset Fund | $412M | 1 | Mar 30, 2020 |
| R••••• C••••• L••• | Securitized Asset Fund | $389M | 2 | Mar 30, 2022 |
| R••••• C•••• L••• | Securitized Asset Fund | $387M | 2 | Mar 30, 2022 |
| R••••• C•••• L••• | Securitized Asset Fund | $384M | 2 | Sep 28, 2018 |
| R••••• C••••• F•••••• I• L••• | Securitized Asset Fund | $355M | 3 | Mar 30, 2020 |
| R••••• C••••• F•••••• I•• L••• | Securitized Asset Fund | $335M | 4 | Mar 30, 2022 |
| B•••••••• M••• C•• L••• | Securitized Asset Fund | $1.2M | 4 | Sep 26, 2013 |
Owners and control persons
Schedule A and B, latest filing
- K•••••• A•••• S•••• · Managercontrolsince 11/2017 · owns less than 5%
- L•••••• D••••• H••••• · President Of R•••••; Limited Partner; Managercontrolsince 11/2017 · owns 10% to 25%
- M•••••••• D•••••• J•••• · Chief Operating Officercontrolsince 03/2022 · owns less than 5%
- S••••••• N•••• A•••••• · Chief Financial Officer; Managercontrolsince 07/2020 · owns less than 5%
- S•••••••• M•••• R••••• · Managercontrolsince 08/2017 · owns less than 5%
- S•••••• J•••••• W••••• · Chief Investment Officer; Limited Partner; Managercontrolsince 08/2017 · owns 10% to 25%
- T••••••••• S••••• N•• · General Counsel; Chief Compliance Officer; Managercontrolsince 08/2017 · owns less than 5%
- S•••••••• M•••• R••••• · Trusteecontrolsince 08/2017 · owns F of R••••• T••••
- S•••••• J•••••• W••••• · Trusteecontrolsince 08/2017 · owns F of R••••• T••••
Entity owners
- R••••• C••••• A••••••• G• L•• · General Partnerdirect · owns less than 5%
- R••••• T•••• L•• · Limited Partnerdirect · owns 50% to 75%
- R••••• T•••• · Memberindirect · owns 75% or more of R••••• C••••• A••••••• G• L••
- R••••• T•••• · Memberindirect · owns 75% or more of R••••• T•••• L••
Related persons
Schedule D 7.A
- R••••• C•• A••••••• L••investment adviserpooled vehicle sponsory
- R••••• C•• V••••••• L••pooled vehicle sponsory
- S•• I••••••••• I• L••pooled vehicle sponsorn
- S••••••• C•••••• M••••••••• L••investment advisern
- S••••••• C•••••• M••••••••• I•••investment adviserbankpooled vehicle sponsornRAUM $35B
- S••••••• C•••••• M••••••••• L•••••pooled vehicle sponsorn
- S••••••• C•• O••••••••• G• L••pooled vehicle sponsorn
- S••••••• C•• E••••• O••••••••• F••• I• G•• L••bankpooled vehicle sponsorn
- S••••••• M••••••••• C••••• G• L••bankpooled vehicle sponsorn
- S••••••• M••••••••• C••••• S••••• G• L••bankpooled vehicle sponsorn
- S••••••• T••••••• C••••• G• L••bankpooled vehicle sponsorn
- S••••••• W••••••••• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Stamford, CT3 employees
- Boca Raton, FL
What changed
consecutive filings, newest first
- Accounts · 11 to 12Jan 8, 2026 to Mar 26, 2026
- Advisory employees · 22 to 27Jan 8, 2026 to Mar 26, 2026
- Advisory activities · 2 to 1Jan 8, 2026 to Mar 26, 2026
- Pooled vehicle clients · 11 to 12Jan 8, 2026 to Mar 26, 2026
- Employees · 73 to 76Jan 8, 2026 to Mar 26, 2026
- Private funds · 11 to 12Jan 8, 2026 to Mar 26, 2026
- Discretionary RAUM · $3.3B to $3.1BJan 8, 2026 to Mar 26, 2026
- Pooled vehicle RAUM · $3.3B to $3.1BJan 8, 2026 to Mar 26, 2026
- RAUM · $3.3B to $3.1BJan 8, 2026 to Mar 26, 2026
- Accounts · 9 to 11Mar 27, 2024 to Mar 31, 2025
- Advisory employees · 21 to 22Mar 27, 2024 to Mar 31, 2025
- Pooled vehicle clients · 9 to 11Mar 27, 2024 to Mar 31, 2025
- Employees · 71 to 73Mar 27, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 31, 2025
- Private funds · 9 to 11Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $3.1B to $3.3BMar 27, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $3.1B to $3.3BMar 27, 2024 to Mar 31, 2025
- RAUM · $3.1B to $3.3BMar 27, 2024 to Mar 31, 2025
- Advisory employees · 20 to 21May 9, 2023 to Mar 27, 2024
- Employees · 72 to 71May 9, 2023 to Mar 27, 2024
- Discretionary RAUM · $3.2B to $3.1BMay 9, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $3.2B to $3.1BMay 9, 2023 to Mar 27, 2024
- RAUM · $3.2B to $3.1BMay 9, 2023 to Mar 27, 2024
- Advisory employees · 19 to 20Mar 30, 2022 to Mar 30, 2023
- Employees · 61 to 72Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $3.6B to $3.2BMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $3.6B to $3.2BMar 30, 2022 to Mar 30, 2023
- RAUM · $3.6B to $3.2BMar 30, 2022 to Mar 30, 2023
- Accounts · 6 to 9Mar 30, 2021 to Mar 30, 2022
- Pooled vehicle clients · 6 to 9Mar 30, 2021 to Mar 30, 2022
- Employees · 53 to 61Mar 30, 2021 to Mar 30, 2022
- Other offices · 1 to 2Mar 30, 2021 to Mar 30, 2022
- Private funds · 6 to 9Mar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $2.5B to $3.6BMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $2.5B to $3.6BMar 30, 2021 to Mar 30, 2022
- RAUM · $2.5B to $3.6BMar 30, 2021 to Mar 30, 2022
- Advisory employees · 18 to 19Jul 10, 2020 to Mar 30, 2021
- Employees · 55 to 53Jul 10, 2020 to Mar 30, 2021
- Discretionary RAUM · $2.5B to $2.5BJul 10, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $2.5B to $2.5BJul 10, 2020 to Mar 30, 2021
Signals
6 dated events
- J Daniel Mangiero (Chief Operating Officer) appeared on Schedule A of R••••• C••••• A••••••• L•Mar 30, 2023 · Control person joined · fact
- R••••• C••••• A••••••• L• reported RAUM $3.6B, up 42% from $2.5B (2021-03-30 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Berish Dov Braun (Chief Financial Officer; Manager) no longer on Schedule A of R••••• C••••• A••••••• L• (listed 2020-03-30, absent 2020-07-10)Jul 10, 2020 · Control person left · inference
- Anthony Neil Scanlon (Chief Financial Officer) appeared on Schedule A of R••••• C••••• A••••••• L•Jul 10, 2020 · Control person joined · fact
- R••••• C••••• A••••••• L• reported RAUM $2.5B, up 45% from $1.7B (2019-03-28 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- R••••• C••••• A••••••• L• filed its initial SEC registration (Form ADV)Sep 28, 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.
How to reach
public business contact points only, each with its source
- Website
- r•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-867-9090reportedpublic 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