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•••••••• R••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Nov 26, 2019 · 9 filings
SEC status approved since Jan 2, 2020
RAUM
$137M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$137M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$137M as of Mar 20, 2026
Feb 17, 2021$4.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 20, 2026
Mar 19, 20201 then
Employees (5.A)2 as of Mar 20, 2026
Mar 19, 20202 then
Private funds: no history
RAUM +20% over the last fiscal year+59% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $137MderivedRAUM 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
- $137MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%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 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
- 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
- Investment companies$137M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• L••••• G•••••• | Darnestown, Md | Feb 17, 2021 | 35 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• T•••••• A•••••• · Presidentcontrolsince 11/2019 · owns 10% to 25%
- F••••• W••••••• E••••• · Chief Executive Officer And Ccocontrolsince 06/2016 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $114M to $137MMar 13, 2025 to Mar 20, 2026
- RAUM · $114M to $137MMar 13, 2025 to Mar 20, 2026
- Financial planning clients · 0 to 0Feb 20, 2024 to Mar 13, 2025
- HQ city · unset to Feb 20, 2024 to Mar 13, 2025
- HQ state · unset to Feb 20, 2024 to Mar 13, 2025
- Discretionary RAUM · $80.3M to $114MFeb 20, 2024 to Mar 13, 2025
- RAUM · $80.3M to $114MFeb 20, 2024 to Mar 13, 2025
- Discretionary RAUM · $34.2M to $80.3MMar 11, 2023 to Feb 20, 2024
- RAUM · $34.2M to $80.3MMar 11, 2023 to Feb 20, 2024
- Discretionary RAUM · $34.7M to $34.2MMar 23, 2022 to Mar 11, 2023
- RAUM · $34.7M to $34.2MMar 23, 2022 to Mar 11, 2023
- Discretionary RAUM · $4.3M to $34.7MFeb 17, 2021 to Mar 23, 2022
- RAUM · $4.3M to $34.7MFeb 17, 2021 to Mar 23, 2022
- Accounts · unset to 1.0Mar 19, 2020 to Feb 17, 2021
- Financial planning clients · unset to 0Mar 19, 2020 to Feb 17, 2021
- HQ city · DARNESTOWN to unsetMar 19, 2020 to Feb 17, 2021
- HQ state · MD to unsetMar 19, 2020 to Feb 17, 2021
- Discretionary RAUM · unset to 4300000.0Mar 19, 2020 to Feb 17, 2021
- Non-discretionary RAUM · unset to 0.0Mar 19, 2020 to Feb 17, 2021
- RAUM · unset to 4300000.0Mar 19, 2020 to Feb 17, 2021
- Accounts · 0.0 to unsetFeb 4, 2020 to Mar 19, 2020
- Discretionary RAUM · 0.0 to unsetFeb 4, 2020 to Mar 19, 2020
- Non-discretionary RAUM · 0.0 to unsetFeb 4, 2020 to Mar 19, 2020
- RAUM · 0.0 to unsetFeb 4, 2020 to Mar 19, 2020
Signals
2 dated events
- Anthony Thomas Carter (President) appeared on Schedule A of R•••••••• R••••••• L••Feb 4, 2020 · Control person joined · fact
- R•••••••• R••••••• L•• filed its initial SEC registration (Form ADV)Nov 26, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/71937918reportedpublic record, Form ADV, Sep 19, 2026
- Website
- ridgelineresearch.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 301-685-7171reportedpublic record, Form ADV, Mar 20, 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
- $137Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026