DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

R•• C•••• L••

Former SEC-registered adviserCRD 310945SEC 801-119765IAPD
Latest filing Mar 10, 2022
First filing on the tape Oct 9, 2020 · 6 filings
RAUM
$160M
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
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$160M as of Mar 10, 2022
May 7, 2021$160M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 10, 2022
May 7, 20210 then
Employees (5.A)5 as of Mar 10, 2022
May 7, 20215 then
Private funds: no history
RAUM +0.0% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 10, 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
$160MderivedRAUM 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
+0.0%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
  • Pooled investment vehicles$160M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• A••••••••• S••••••••• · Chief Executive Officercontrol
        since 09/2020 · owns 75% or more
      • D•••• C••••••••• E••• · President And Chief Compliance Officercontrol
        since 09/2020 · owns 10% to 25%
      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 · $150M to $160M
        Apr 19, 2021 to May 7, 2021
      • Pooled vehicle RAUM · $150M to $160M
        Apr 19, 2021 to May 7, 2021
      • RAUM · $150M to $160M
        Apr 19, 2021 to May 7, 2021
      • Employees · 6 to 5
        Mar 8, 2021 to Apr 19, 2021
      • Accounts · unset to 1.0
        Oct 15, 2020 to Mar 8, 2021
      • Pooled vehicle clients · unset to 1.0
        Oct 15, 2020 to Mar 8, 2021
      • Employees · 5 to 6
        Oct 15, 2020 to Mar 8, 2021
      • Discretionary RAUM · unset to 150000000.0
        Oct 15, 2020 to Mar 8, 2021
      • Non-discretionary RAUM · unset to 0.0
        Oct 15, 2020 to Mar 8, 2021
      • Pooled vehicle RAUM · unset to 150000000.0
        Oct 15, 2020 to Mar 8, 2021
      • RAUM · unset to 150000000.0
        Oct 15, 2020 to Mar 8, 2021
      Signals
      2 dated events
      • Victor Yankovsky (Chief Compliance Officer And Chief Operating Officer) no longer on Schedule A of R•• C•••• L•• (listed 2021-03-08, absent 2021-04-19)
        Apr 19, 2021 · Control person left · inference
      • R•• C•••• L•• filed its initial SEC registration (Form ADV)
        Oct 9, 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.
      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