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•••••••• V•••••• M••••••••• L••
Latest filing Jun 22, 2026
First filing on the tape May 29, 2020 · 21 filings
SEC status approved since Jun 29, 2020
RAUM
$650M
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
10
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
10
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$650M as of Jun 22, 2026
Mar 30, 2021$778M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 22, 2026
Mar 30, 20210 then
Employees (5.A)10 as of Jun 22, 2026
Mar 30, 202110 then
Private funds10 as of Jun 22, 2026
Mar 30, 20217 then
RAUM -4.5% over the last fiscal year-22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 22, 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
- $65.0MderivedRAUM 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
- -4.5%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
- 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)
- 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$650M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- 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=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
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••••••• F••••••• T••••••••• F••• I• L••• | Venture Capital Fund | $368M | 31 | Oct 18, 2022 |
| R•••••••• C••••• O••••••••• F••• I• L••• | Private Equity Fund | $360M | 29 | May 29, 2020 |
| R•••••••• V•••••• P••••••• I••• L• | Venture Capital Fund | $157M | 23 | Dec 20, 2018 |
| R•••••••• V•••••• P••••••• V• L• | Venture Capital Fund | $155M | 21 | Jun 30, 2019 |
| R•••••••• V••••••• O••••••••• F••• L• | Venture Capital Fund | $114M | 14 | Dec 6, 2019 |
| R•••••••• V•••••• P••••••• I•• L• | Venture Capital Fund | $87.5M | 18 | Mar 30, 2019 |
| R•••••••• V•••••• P•••••••• L• | Venture Capital Fund | $23.7M | 30 | Dec 20, 2018 |
| R•••••••• V•••••• P••••••• I•• L• | Venture Capital Fund | $14.2M | 33 | Dec 20, 2018 |
Owners and control persons
Schedule A and B, latest filing
- C•••• M•••••• · Managing Partnercontrolsince 12/2015 · owns 25% to 50%
- C•••••• P••••••• T• · Chief Compliance Officercontrolsince 04/2023 · owns less than 5%
- M•••••• M••••••• P•••••• · Managing Partnercontrolsince 12/2015 · owns 50% to 75%
Related persons
Schedule D 7.A
- R•••••••• C•••••• A••••••• L••investment advisernRAUM $27.3M
- R•••••••• C••••• O••••••••• F••• I• G•• L••pooled vehicle sponsorn
- R•••••••• F••••••• T••••••••• F••• I• G•• L••pooled vehicle sponsorn
- R•••••••• V•••••• G• I• L••pooled vehicle sponsorn
- R•••••••• V•••••• G• I•• L••pooled vehicle sponsorn
- R•••••••• V•••••• G• I• L••pooled vehicle sponsorn
- R•••••••• V•••••• G• V• L••pooled vehicle sponsorn
- R•••••••• V••••••• G•• L••pooled vehicle sponsorn
- R•••••••• V••••••• O••••••••• G• L••pooled vehicle sponsorn
Advisers that list R•••••••• V•••••• M••••••••• L•• as a related person
- 305951 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 9 to 7Nov 21, 2025 to Mar 27, 2026
- Employees · 12 to 10Nov 21, 2025 to Mar 27, 2026
- Discretionary RAUM · $680M to $650MNov 21, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $680M to $650MNov 21, 2025 to Mar 27, 2026
- RAUM · $680M to $650MNov 21, 2025 to Mar 27, 2026
- Accounts · 8 to 10Jun 12, 2025 to Nov 21, 2025
- Pooled vehicle clients · 8 to 10Jun 12, 2025 to Nov 21, 2025
- Private funds · 8 to 10Jun 12, 2025 to Nov 21, 2025
- Financial planning clients · unset to Mar 28, 2025 to Jun 12, 2025
- Advisory employees · 11 to 9Mar 29, 2024 to Mar 28, 2025
- Employees · 15 to 12Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.3B to $680MMar 29, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.3B to $680MMar 29, 2024 to Mar 28, 2025
- RAUM · $1.3B to $680MMar 29, 2024 to Mar 28, 2025
- Advisory employees · 10 to 11Apr 28, 2023 to Mar 29, 2024
- Employees · 14 to 15Apr 28, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.4B to $1.3BApr 28, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $1.4B to $1.3BApr 28, 2023 to Mar 29, 2024
- RAUM · $1.4B to $1.3BApr 28, 2023 to Mar 29, 2024
- Accounts · 7 to 8Feb 9, 2023 to Mar 30, 2023
- Pooled vehicle clients · 7 to 8Feb 9, 2023 to Mar 30, 2023
- Employees · 12 to 14Feb 9, 2023 to Mar 30, 2023
- Discretionary RAUM · $1.0B to $1.4BFeb 9, 2023 to Mar 30, 2023
- Pooled vehicle RAUM · $1.0B to $1.4BFeb 9, 2023 to Mar 30, 2023
- RAUM · $1.0B to $1.4BFeb 9, 2023 to Mar 30, 2023
- Private funds · 7 to 8Mar 22, 2022 to Oct 18, 2022
- Advisory employees · 7 to 10Mar 30, 2021 to Mar 22, 2022
- Employees · 10 to 12Mar 30, 2021 to Mar 22, 2022
- Discretionary RAUM · $778M to $1.0BMar 30, 2021 to Mar 22, 2022
- Pooled vehicle RAUM · $778M to $1.0BMar 30, 2021 to Mar 22, 2022
- RAUM · $778M to $1.0BMar 30, 2021 to Mar 22, 2022
- Advisory employees · 8 to 7Sep 28, 2020 to Mar 30, 2021
- BD registered reps · 2 to 0Sep 28, 2020 to Mar 30, 2021
- Employees · 11 to 10Sep 28, 2020 to Mar 30, 2021
- Discretionary RAUM · $813M to $778MSep 28, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $813M to $778MSep 28, 2020 to Mar 30, 2021
- RAUM · $813M to $778MSep 28, 2020 to Mar 30, 2021
- Related adviser · false to trueSep 28, 2020 to Mar 30, 2021
- Related broker-dealer · true to falseSep 28, 2020 to Mar 30, 2021
- Accounts · 6 to 7Aug 10, 2020 to Aug 31, 2020
Signals
9 dated events
- R•••••••• V•••••• M••••••••• L•• reported RAUM $680.4M, down 47% from $1.3B (2024-03-29 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- T Patrick Crotty (Chief Compliance Officer) appeared on Schedule A of R•••••••• V•••••• M••••••••• L••Apr 18, 2023 · Control person joined · fact
- R•••••••• V•••••• M••••••••• L•• reported RAUM $1.4B, up 31% from $1.0B (2023-02-09 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- C. Joseph Albanese (General Counsel And Cco) no longer on Schedule A of R•••••••• V•••••• M••••••••• L•• (listed 2022-10-18, absent 2023-02-09)Feb 9, 2023 · Control person left · inference
- C. Joseph Albanese (General Counsel And Cco) appeared on Schedule A of R•••••••• V•••••• M••••••••• L••Oct 18, 2022 · Control person joined · fact
- R•••••••• V•••••• M••••••••• L•• reported RAUM $1.0B, up 34% from $778.4M (2021-03-30 to 2022-03-22)Mar 22, 2022 · RAUM change · derived
- E Stewart Eichner (Chief Compliance Officer) no longer on Schedule A of R•••••••• V•••••• M••••••••• L•• (listed 2022-03-22, absent 2022-03-22)Mar 22, 2022 · Control person left · inference
- E Stewart Eichner (Chief Compliance Officer) appeared on Schedule A of R•••••••• V•••••• M••••••••• L••Aug 31, 2020 · Control person joined · fact
- R•••••••• V•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 29, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R•••••••• V•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- R•••••••• V•••••• M••••••••• L•• · Private Equityshared crd · organization
- R•••••••• V•••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/rosecliff-ventures/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- rosecliff.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (212) 492-3000reportedpublic record, Form ADV, Jun 22, 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