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 30, 2026
First filing on the tape Jul 27, 2020 · 15 filings
SEC status approved since Jan 11, 2021
RAUM
$27.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$27.3M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$27.3M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$27.3M as of Mar 30, 2026
Mar 31, 2021$0 then
HNW client RAUM$26.6M as of Mar 30, 2026
Mar 31, 2021$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 31, 20210 then
Employees (5.A)4 as of Mar 30, 2026
Mar 31, 20214 then
Private funds: no history
RAUM +5.6% over the last fiscal year+1.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $27.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 185derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $168,584derivedHNW RAUM over HNW clients
- Average account
- $147,494derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +32%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$26.6M98%
- Individuals$650,0202.4%
- Individual clients
- 27reported
- HNW clients
- 158reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 185reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $27.3M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• S•••• T••••• | New York, Ny | Jun 3, 2021 | 21 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•••• M•••••• · Managing Member/Chief Executive Officercontrolsince 01/2020 · owns 75% or more
- C•••••• P••••••• T• · Chief Compliance Officercontrolsince 04/2023 · owns less than 5%
Related persons
Schedule D 7.A
- R•••••••• V•••••• M••••••••• L••investment adviserpooled vehicle sponsornRAUM $650M
Advisers that list R•••••••• C•••••• A••••••• L•• as a related person
- 300188 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 140 to 185Aug 26, 2025 to Mar 30, 2026
- Advisory employees · 3 to 2Aug 26, 2025 to Mar 30, 2026
- HNW clients · 103 to 158Aug 26, 2025 to Mar 30, 2026
- Individual clients · 37 to 27Aug 26, 2025 to Mar 30, 2026
- Employees · 5 to 4Aug 26, 2025 to Mar 30, 2026
- Discretionary RAUM · $25.8M to $27.3MAug 26, 2025 to Mar 30, 2026
- HNW RAUM · $24.0M to $26.6MAug 26, 2025 to Mar 30, 2026
- Individual RAUM · $1.9M to $650,020Aug 26, 2025 to Mar 30, 2026
- RAUM · $25.8M to $27.3MAug 26, 2025 to Mar 30, 2026
- Wrap assets (manager) · $25.8M to $27.3MAug 26, 2025 to Mar 30, 2026
- Accounts · 171 to 140Mar 29, 2024 to Mar 31, 2025
- HNW clients · 128 to 103Mar 29, 2024 to Mar 31, 2025
- Individual clients · 51 to 37Mar 29, 2024 to Mar 31, 2025
- Employees · 4 to 5Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $26.4M to $25.8MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $24.7M to $24.0MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $1.7M to $1.9MMar 29, 2024 to Mar 31, 2025
- RAUM · $26.4M to $25.8MMar 29, 2024 to Mar 31, 2025
- Wrap assets (manager) · $26.4M to $25.8MMar 29, 2024 to Mar 31, 2025
- Accounts · 135 to 171Apr 18, 2023 to Mar 29, 2024
- HNW clients · 103 to 128Apr 18, 2023 to Mar 29, 2024
- Individual clients · 32 to 51Apr 18, 2023 to Mar 29, 2024
- Discretionary RAUM · $25.8M to $26.4MApr 18, 2023 to Mar 29, 2024
- HNW RAUM · $25.2M to $24.7MApr 18, 2023 to Mar 29, 2024
- Individual RAUM · $573,869 to $1.7MApr 18, 2023 to Mar 29, 2024
- RAUM · $25.8M to $26.4MApr 18, 2023 to Mar 29, 2024
- Wrap assets (manager) · $25.8M to $26.4MApr 18, 2023 to Mar 29, 2024
- Accounts · 121 to 135Feb 9, 2023 to Mar 31, 2023
- Advisory activities · 2 to 1Feb 9, 2023 to Mar 31, 2023
- Charity clients · 0.0 to unsetFeb 9, 2023 to Mar 31, 2023
- Corporate clients · 0.0 to unsetFeb 9, 2023 to Mar 31, 2023
- HNW clients · 89 to 103Feb 9, 2023 to Mar 31, 2023
- Pension plan clients · 0.0 to unsetFeb 9, 2023 to Mar 31, 2023
- Pooled vehicle clients · 0.0 to unsetFeb 9, 2023 to Mar 31, 2023
- Financial planning clients · 0 to unsetFeb 9, 2023 to Mar 31, 2023
- Discretionary RAUM · $37.2M to $25.8MFeb 9, 2023 to Mar 31, 2023
- HNW RAUM · $36.4M to $25.2MFeb 9, 2023 to Mar 31, 2023
- Individual RAUM · $824,569 to $573,869Feb 9, 2023 to Mar 31, 2023
- Pension RAUM · 0.0 to unsetFeb 9, 2023 to Mar 31, 2023
Signals
5 dated events
- T Patrick Crotty (Chief Compliance Officer) appeared on Schedule A of R•••••••• C•••••• A••••••• L••Apr 18, 2023 · Control person joined · fact
- C. Joseph Albanese (General Counsel And Cco) no longer on Schedule A of R•••••••• C•••••• A••••••• L•• (listed 2022-11-03, absent 2023-02-09)Feb 9, 2023 · Control person left · inference
- C. Joseph Albanese (General Counsel And Cco) appeared on Schedule A of R•••••••• C•••••• A••••••• L••Nov 3, 2022 · Control person joined · fact
- E Stewart Eichner (Chief Compliance Officer) no longer on Schedule A of R•••••••• C•••••• A••••••• L•• (listed 2021-04-29, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- R•••••••• C•••••• A••••••• L•• filed its initial SEC registration (Form ADV)Jul 27, 2020 · 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 18, 2026
- Principal office phone
- (212) 404-7447reportedpublic record, Form ADV, Mar 30, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $27.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026