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•••••• M••••••••• ••• L•
Latest filing Aug 26, 2026
First filing on the tape Oct 17, 2019 · 35 filings
SEC status approved since Aug 24, 2020
RAUM
$20B
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
51
22 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$20B as of Aug 26, 2026
Mar 29, 2021$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 26, 2026
Mar 29, 20210 then
Employees (5.A)51 as of Aug 26, 2026
Mar 29, 20219 then
Private funds2 as of Aug 26, 2026
Mar 30, 20221 then
RAUM -3.3% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 26, 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
- $3.4BderivedRAUM 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
- -3.3%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $20B, 6 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 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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$20B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $20B for 6 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•• P•••••• M•••••• M••••• F••• L• | Private Equity Fund | $100M | 9 | Sep 3, 2021 |
Owners and control persons
Schedule A and B, latest filing
- N••••••••• C••••••• · Chief Legal Officercontrolsince 08/2021 · owns less than 5%
- R••••• C••••••••• C•••••• · L•••••• Partnercontrolsince 04/2020 · owns 75% or more
- S•••••• S•••••• · Chief Risk Officercontrolsince 01/2024 · owns less than 5%
- T•••• R••••••• K••••• · Global Head Of M••••••controlsince 02/2020 · owns less than 5%
- T•••••• K••••• M••••• · Chief Compliance Officercontrolsince 06/2024 · owns less than 5%
- R••••• C••••••••• C•••••• · L•••••• Partnercontrolsince 04/2015 · owns 75% or more of R•••• C•••••• M••••••••• ••••••• L•
Entity owners
- R•••• C•••••• M••••••••• ••• G• L•• · General Partnerdirect · owns less than 5%
- R•••• C•••••• M••••••••• ••• L•• · General Partnerindirect · owns F of R•••• C•••••• M••••••••• ••••••• L•
- R•••• C•••••• M••••••••• ••••••• L• · Shareholderindirect · owns 75% or more of R•••• C•••••• M••••••••• ••• G• L••
- R•••• S••••••• ••• L•• · L•••••• Partnerdirect · owns less than 5%
- R•••• I••••••••• ••••••• L•••••• · Shareholderindirect · owns 75% or more of R•••• S••••••• ••• L••
- R•••• S••••••• ••• L•• · Shareholderindirect · owns 75% or more of R•••• S••••••• ••• L••
Related persons
Schedule D 7.A
- R•• P•••••• M•••••• ••• L••••••pooled vehicle sponsorn
- R•••• C•••••• M••••••••• ••••••• L•pooled vehicle sponsory
- R•••• C•••••• M••••••••• L••investment adviserbanknRAUM $219B
- R•••• G••••• M•••• ••• L••••••pooled vehicle sponsorn
Advisers that list R•••• C•••••• M••••••••• ••• L• as a related person
- 281215 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5 to 6Mar 31, 2026 to Jun 1, 2026
- Pooled vehicle clients · 5 to 6Mar 31, 2026 to Jun 1, 2026
- Private funds · 1 to 2Mar 31, 2026 to Jun 1, 2026
- Advisory employees · 23 to 22Feb 27, 2026 to Mar 31, 2026
- Assets in custody · $21B to $20BFeb 27, 2026 to Mar 31, 2026
- Employees · 43 to 51Feb 27, 2026 to Mar 31, 2026
- Discretionary RAUM · $21B to $20BFeb 27, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $21B to $20BFeb 27, 2026 to Mar 31, 2026
- RAUM · $21B to $20BFeb 27, 2026 to Mar 31, 2026
- Advisory employees · 17 to 23Nov 27, 2024 to Feb 28, 2025
- Assets in custody · $20B to $21BNov 27, 2024 to Feb 28, 2025
- Employees · 36 to 43Nov 27, 2024 to Feb 28, 2025
- Financial planning clients · unset to Nov 27, 2024 to Feb 28, 2025
- Discretionary RAUM · $20B to $21BNov 27, 2024 to Feb 28, 2025
- Pooled vehicle RAUM · $20B to $21BNov 27, 2024 to Feb 28, 2025
- RAUM · $20B to $21BNov 27, 2024 to Feb 28, 2025
- Accounts · 4 to 5Jan 5, 2024 to Mar 28, 2024
- Advisory employees · 14 to 17Jan 5, 2024 to Mar 28, 2024
- Pooled vehicle clients · 4 to 5Jan 5, 2024 to Mar 28, 2024
- Assets in custody · $14B to $20BJan 5, 2024 to Mar 28, 2024
- Employees · 29 to 36Jan 5, 2024 to Mar 28, 2024
- Discretionary RAUM · $14B to $20BJan 5, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $14B to $20BJan 5, 2024 to Mar 28, 2024
- RAUM · $14B to $20BJan 5, 2024 to Mar 28, 2024
- Advisory employees · 13 to 14Nov 8, 2022 to Mar 30, 2023
- Assets in custody · $9.0B to $14BNov 8, 2022 to Mar 30, 2023
- Employees · 30 to 29Nov 8, 2022 to Mar 30, 2023
- Discretionary RAUM · $9.0B to $14BNov 8, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $9.0B to $14BNov 8, 2022 to Mar 30, 2023
- RAUM · $9.0B to $14BNov 8, 2022 to Mar 30, 2023
- Accounts · 1 to 4Jan 3, 2022 to Mar 30, 2022
- Advisory employees · 4 to 13Jan 3, 2022 to Mar 30, 2022
- Pooled vehicle clients · 1 to 4Jan 3, 2022 to Mar 30, 2022
- Assets in custody · $1.2B to $9.0BJan 3, 2022 to Mar 30, 2022
- Employees · 9 to 30Jan 3, 2022 to Mar 30, 2022
- Discretionary RAUM · $1.2B to $9.0BJan 3, 2022 to Mar 30, 2022
- Pooled vehicle RAUM · $1.2B to $9.0BJan 3, 2022 to Mar 30, 2022
- RAUM · $1.2B to $9.0BJan 3, 2022 to Mar 30, 2022
- Private funds · unset to 1Aug 17, 2021 to Sep 3, 2021
- Advisory employees · 2 to 4Jan 7, 2021 to Mar 29, 2021
Signals
18 dated events
- M••••• K•••• T••••• (Chief Compliance Officer) appeared on Schedule A of R•••• C•••••• M••••••••• ••• L•Jun 12, 2024 · Control person joined · fact
- Dmitry Green (Co-Chief Risk Officer) no longer on Schedule A of R•••• C•••••• M••••••••• ••• L• (listed 2024-03-28, absent 2024-06-12)Jun 12, 2024 · Control person left · inference
- Marie Kathryn Murtagh (Senior Legal Counsel & Chief Compliance Officer) no longer on Schedule A of R•••• C•••••• M••••••••• ••• L• (listed 2024-03-28, absent 2024-06-12)Jun 12, 2024 · Control person left · inference
- R•••• C•••••• M••••••••• ••• L• reported RAUM $20.1B, up 42% from $14.1B (2024-01-05 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- S•••••• S••••• (Co-Chief Risk Officer) appeared on Schedule A of R•••• C•••••• M••••••••• ••• L•Jan 5, 2024 · Control person joined · fact
- R•••• C•••••• M••••••••• ••• L• reported RAUM $14.1B, up 57% from $9.0B (2022-11-08 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- R•••• C•••••• M••••••••• ••• L• reported RAUM $9.0B, up 652% from $1.2B (2022-01-03 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Luigi Ettore Gianluca Squassi (Co-Global Chief Risk Officer) no longer on Schedule A of R•••• C•••••• M••••••••• ••• L• (listed 2021-08-17, absent 2021-09-03)Sep 3, 2021 · Control person left · inference
- Francis David Gilbert (General Counsel) no longer on Schedule A of R•••• C•••••• M••••••••• ••• L• (listed 2021-03-30, absent 2021-08-17)Aug 17, 2021 · Control person left · inference
- Christos Nifadopoulos (Group General Counsel) appeared on Schedule A of R•••• C•••••• M••••••••• ••• L•Aug 17, 2021 · Control person joined · fact
- R•••• C•••••• M••••••••• ••• L• reported RAUM $1.2B, down 58% from $2.9B (2021-01-07 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- Sorrall Beadsworth (Chief Compliance Officer) no longer on Schedule A of R•••• C•••••• M••••••••• ••• L• (listed 2020-11-27, absent 2021-01-07)Jan 7, 2021 · Control person left · inference
- Kathryn Murtagh (Senior Legal Counsel & Chief Compliance Officer) appeared on Schedule A of R•••• C•••••• M••••••••• ••• L•Jan 7, 2021 · Control person joined · fact
- Dmitry Green (Co-Global Chief Risk Officer) appeared on Schedule A of R•••• C•••••• M••••••••• ••• L•Nov 26, 2020 · Control person joined · fact
- Luigi Ettore Gianluca Squassi (Co-Global Chief Risk Officer) appeared on Schedule A of R•••• C•••••• M••••••••• ••• L•Nov 26, 2020 · Control person joined · fact
- Francis David Gilbert (General Counsel) appeared on Schedule A of R•••• C•••••• M••••••••• ••• L•Jul 22, 2020 · Control person joined · fact
- Kochia Richard Tang (Global Head Of Markets) appeared on Schedule A of R•••• C•••••• M••••••••• ••• L•Jul 22, 2020 · Control person joined · fact
- R•••• C•••••• M••••••••• ••• L• filed its initial SEC registration (Form ADV)Oct 17, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R•••• C•••••• M••••••••• ••• L• · Independent Sponsorsshared crd · capital_provider
- R•••• C•••••• M••••••••• ••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/rokoscapitalmanagementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- rokoscapital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- +16464481400reportedpublic record, Form ADV, Aug 26, 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