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•••

Former SEC-registered adviserNew York, New YorkCRD 304325SEC 801-121937IAPD
Legal name R••••••• M•••••• L••
Latest filing Jun 29, 2021
First filing on the tape Jun 29, 2021 · 1 filings
RAUM
$469M
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
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
238
$872M gross assets
History
1 filings and snapshots on the tape
RAUM: $469M
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 0
Private funds: 238
Practice profile
derived from the filing of Jun 29, 2021; 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
$3.9MderivedRAUM 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$38.8M, 4 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • 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$469M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
119reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$38.8M for 4 clientsreported
Compensation
fixed, performancereported
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
      27 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      R••••••• G••••• G••••• I• A• S••••• O• R••••••• M••••• F•••• L•Venture Capital Fund$14.9M41Jun 29, 2021
      R•••••••• S•••••••• X• A• S••••• O• R••••••• M••••• F•••• L•Venture Capital Fund$12.5M12Jun 29, 2021
      M•••••••• L••no longer reportedPrivate Equity Fund$11.4M2Apr 20, 2017
      R•••••• P•••••• S••••• C• I• A• S••••• O• R••••••• M••••• F•••• L•Venture Capital Fund$9.5M49Mar 31, 2021
      R•••••••• S•••••••• X•• A• S••••• O• R••••••• M••••• F•••• L•Venture Capital Fund$7.6M15Jun 29, 2021
      R•••••••• S•••••••• X•• A• S••••• O• R••••••• M••••• F•••• L•Venture Capital Fund$5.0M2Jun 29, 2021
      R•••••••• S•••••••• X•• A• S••••• O• R••••••• M••••• F•••• L•Venture Capital Fund$2.0M6Jun 29, 2021
      T••••••• L••• I•• A• S••••• O• R••••••• M••••• F•••• L•Venture Capital Fund$2.0M18Jun 29, 2021
      R•••••••• S•••••••• X•• A• S••••• O• R••••••• M••••• F•••• L•Venture Capital Fund$1.9M8Jun 29, 2021
      C••••• G••••• I• A• S••••• O• R••••••• M••••• F•••• L•Venture Capital Fund$1.7M14Jun 29, 2021
      N••••••••• I• A• S••••• O• R••••••• M••••• F•••• L•Venture Capital Fund$1.7M17Jun 29, 2021
      R••••••• D•••••••• A• S••••• O• R••••••• M••••• F•••• L•Venture Capital Fund$1.4M27Jun 29, 2021
      R••••••• K••••• I• A• S••••• O• R••••••• M••••• F•••• L•Venture Capital Fund$1.2M9Jun 29, 2021
      T••••••• I••••••••• I• A• S••••• O• R••••••• M••••• F•••• L•Venture Capital Fund$1.0M8Jun 29, 2021
      C••••• G••••• I••• A• S••••• O• R••••••• M••••• F•••• L•Venture Capital Fund$702,8721Jun 29, 2021
      R••••••• C•••••••• A• S••••• O• R••••••• M••••• F•••• L•Venture Capital Fund$700,00031Jun 29, 2021
      T••••••••• A• S••••• O• A••••• 3• M••••• F••• L••no longer reportedPrivate Equity Fund$606,05432Apr 20, 2017
      R•••••• P•••••• S••••• C• I••• A• S••••• O• R••••••• M••••• F•••• L•Venture Capital Fund$562,58312Jun 29, 2021
      C••••• G••••• I•• A• S••••• O• R••••••• M••••• F•••• L•Venture Capital Fund$532,0406Jun 29, 2021
      P••• G••••• I• T•••• C••••••• A• S••••• O• R••••••• M••••• F•••• L•Venture Capital Fund$499,99615Jun 29, 2021
      R•••••• P•••••• S••••• C• I•• A• S••••• O• R••••••• M••••• F•••• L•Venture Capital Fund$437,41436Jun 29, 2021
      O•••••••• I• A• S••••• O• R••••••• M••••• F•••• L•Venture Capital Fund$316,2008Jun 29, 2021
      S••••••• E•••••• I• A• S••••• O• R••••••• M••••• F•••• L•Venture Capital Fund$281,00011Jun 29, 2021
      R••••••••• S•••• E••• 1••• A• S••••• O• R••••••• M••••• F•••• L•no longer reportedPrivate Equity Fund$244,0399Oct 8, 2019
      G••••••• J•••• I• A• S••••• O• R••••••• M••••• F•••• L•Venture Capital Fund$144,8409Jun 29, 2021
      S•• F••• I• A• S••••• O• R•••• M•••••• L•Venture Capital Fund$130,0009Jun 4, 2019
      G••••••• S•••••••• I• A• S••••• O• R••••••• M••••• F•••• L•Venture Capital Fund$107,17611Jun 29, 2021
      Owners and control persons
      Schedule A and B, latest filing
      • N•••••• K•••••••• D•• T•• · Ceocontrol
        since 01/2019 · owns less than 5%
      • N•••••• K•••••••• D•• T•• · Ceocontrol
        since 04/2016 · owns F of O••••••• I•••
      • T•••• E•••• E•••••••• · Chief Compliance Officer
        since 05/2021 · owns less than 5%
      Entity owners
      • O••••••• I••• · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • O••••••• B••••• L••
        broker-dealern
      • O••••••• P••••• L••
        broker-dealern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      1 dated events
      • R••••••• L••• filed its initial SEC registration (Form ADV)
        Jun 29, 2021 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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