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• L••••• A•••• L•

Former SEC-registered adviserDallas, TexasCRD 301263SEC 801-116767IAPD
Legal name R• A•••• L•
Latest filing Mar 31, 2022
First filing on the tape May 9, 2019 · 6 filings
RAUM
$6.2M
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
17
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$6.2M as of Mar 31, 2022
Mar 31, 2020$10.6M then
HNW client RAUM$0 as of Mar 31, 2022
Mar 31, 2020$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 31, 20200 then
Employees (5.A)17 as of Mar 31, 2022
Mar 31, 202020 then
Private funds: no history
RAUM -89% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2022; 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
$6.2MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-89%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 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$6.2M100%
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
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••••• K••••••• S•••• · Chief Executive Officercontrol
        since 03/2019 · owns less than 5%
      • C••••••• P••••• S•••• · Cfo/Coocontrol
        since 09/2021 · owns less than 5%
      • M•••••••• W•••••• C••••••• · General Counsel & Chief Compliance Officercontrol
        since 01/2021 · owns less than 5%
      • M•••••••• B•••••••• E••••• · Portfolio Managercontrol
        since 03/2019 · owns less than 5%
      • C••••• K••••••• S•••• · Limited Partner Of R••••• C•••••• G••••• L•control
        since 01/2021 · owns 25% to 50% of R••••• C•••••• G••••• L•
      • E••••••• J••••• C••••••••• · Manager Of R••••• C•••••• M••••••••• L••control
        since 03/2021 · owns 50% to 75% of R••••• C•••••• M••••••••• L••
      • E••••••• J••••• C••••••••• · Limited Partner Of R••••• C•••••• G••••• L•control
        since 01/2021 · owns 25% to 50% of R••••• C•••••• G••••• L•
      • E••••••• J••••• C••••••••• · Manager Of R••••• C•••••• P•••••••• L••control
        since 01/2021 · owns 75% or more of R••••• C•••••• P•••••••• L••
      • M•••••••• B•••••••• E••••• · Member Of I•• G•••••• L••control
        since 02/2019 · owns 25% to 50% of I•• G•••••• L••
      Entity owners
      • I•• P•••••••• L•• · Limited Partner Of R• A•••• L•
        direct · owns 50% to 75%
      • R••••• C•••••• G••••• L• · Limited Partner Of R• A•••• L•
        direct · owns 50% to 75%
      • R• A••• •••• L•• · General Partner Of R• A•••• L•
        direct · owns less than 5%
      • I•• G•••••• L•• · Manager Of I•• P•••••••• L••
        indirect · owns F of I•• P•••••••• L••
      • R••••• C•••••• M••••••••• L•• · Sole Manager Of R• A••• •••• L••
        indirect · owns 75% or more of R• A••• •••• L••
      • R••••• C•••••• P•••••••• L•• · General Partner Of R••••• C•••••• G••••• L•
        indirect · owns F of R••••• C•••••• G••••• L•
      Related persons
      Schedule D 7.A
      Advisers that list R• L••••• A•••• L• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Phoenix, AZ1 employees
      What changed
      consecutive filings, newest first
      • Legal name · R• L••••• A•••• L• to R• A•••• L•
        Mar 31, 2021 to Mar 31, 2022
      • Discretionary RAUM · $55.0M to $6.2M
        Mar 31, 2021 to Mar 31, 2022
      • RAUM · $55.0M to $6.2M
        Mar 31, 2021 to Mar 31, 2022
      • Assets in custody · 0.0 to unset
        Mar 31, 2020 to Mar 31, 2021
      • Employees · 20 to 17
        Mar 31, 2020 to Mar 31, 2021
      • Insurance-licensed employees · 1 to 0
        Mar 31, 2020 to Mar 31, 2021
      • Discretionary RAUM · $10.6M to $55.0M
        Mar 31, 2020 to Mar 31, 2021
      • RAUM · $10.6M to $55.0M
        Mar 31, 2020 to Mar 31, 2021
      • Accounts · 0 to 1
        May 13, 2019 to Mar 31, 2020
      • Discretionary RAUM · $0 to $10.6M
        May 13, 2019 to Mar 31, 2020
      • RAUM · $0 to $10.6M
        May 13, 2019 to Mar 31, 2020
      Signals
      6 dated events
      • Scott Peter Carlsen (Cfo/Coo) appeared on Schedule A of R• L••••• A•••• L•
        Mar 31, 2022 · Control person joined · fact
      • Whitaker Joseph Iii Thompson (Coo/Cfo) no longer on Schedule A of R• L••••• A•••• L• (listed 2021-03-31, absent 2022-03-31)
        Mar 31, 2022 · Control person left · inference
      • James Nimrod Hacker (General Counsel) no longer on Schedule A of R• L••••• A•••• L• (listed 2021-03-31, absent 2022-03-31)
        Mar 31, 2022 · Control person left · inference
      • Campbell Wesley Mcdowell (Chief Compliance Officer) appeared on Schedule A of R• L••••• A•••• L•
        Mar 31, 2021 · Control person joined · fact
      • Mark Hasbani (Chief Compliance Officer) no longer on Schedule A of R• L••••• A•••• L• (listed 2020-03-31, absent 2021-03-31)
        Mar 31, 2021 · Control person left · inference
      • R• L••••• A•••• L• filed its initial SEC registration (Form ADV)
        May 9, 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.
      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