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•••••••••

Former SEC-registered adviserChicago, IllinoisCRD 311548SEC 801-120101IAPD
Legal name R••••••••• C•••••• M••••••••• L••
Latest filing Mar 30, 2023
First filing on the tape Dec 4, 2020 · 6 filings
RAUM
$41.0M
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
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$33.0M gross assets
History
6 filings and snapshots on the tape
RAUM$41.0M as of Mar 30, 2023
Mar 30, 2022$95.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2023
Mar 30, 20220 then
Employees (5.A)4 as of Mar 30, 2023
Mar 30, 20223 then
Private funds2 as of Mar 30, 2023
Mar 30, 20222 then
RAUM -57% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2023; 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
$10.3MderivedRAUM 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
-57%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 pooled vehiclesreportedItem 5.G
Custody
$33.0M, 2 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$41.0M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$33.0M for 2 clientsreported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      R••••••••• F•••• L•Hedge Fund$29.8M16Feb 13, 2012
      R••••••••• D•••••• G••••• F•••• L•Hedge Fund$24.7M7Feb 17, 2015
      R••••••••• M•••• C•• R•••••• F•••• L•Hedge Fund$6.1M19Mar 30, 2023
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• W•••••• H•••• · Chief Compliance Officercontrol
        since 12/2020 · owns less than 5%
      • C••••••• J•••• W•••••• · Membercontrol
        since 02/2002 · owns 25% to 50%
      • R••••••••• J•••• A• · Managing Membercontrol
        since 01/2011 · owns 25% to 50%
      • S•••••• J•••• R••••• · Managing Membercontrol
        since 04/2004 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Advisers that list R••••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 4
        May 13, 2022 to Mar 30, 2023
      • Assets in custody · $84.5M to $33.0M
        May 13, 2022 to Mar 30, 2023
      • Employees · 3 to 4
        May 13, 2022 to Mar 30, 2023
      • Discretionary RAUM · $95.0M to $41.0M
        May 13, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · $95.0M to $41.0M
        May 13, 2022 to Mar 30, 2023
      • RAUM · $95.0M to $41.0M
        May 13, 2022 to Mar 30, 2023
      • Accounts · 2 to 4
        Jan 27, 2022 to Mar 30, 2022
      • Pooled vehicle clients · 2 to 4
        Jan 27, 2022 to Mar 30, 2022
      • Assets in custody · unset to 84546000.0
        Jan 27, 2022 to Mar 30, 2022
      • Custody of client assets · false to true
        Jan 27, 2022 to Mar 30, 2022
      • Discretionary RAUM · $104M to $95.0M
        Jan 27, 2022 to Mar 30, 2022
      • Pooled vehicle RAUM · $104M to $95.0M
        Jan 27, 2022 to Mar 30, 2022
      • RAUM · $104M to $95.0M
        Jan 27, 2022 to Mar 30, 2022
      • Discretionary RAUM · $99.1M to $104M
        Dec 4, 2020 to May 6, 2021
      • Pooled vehicle RAUM · $99.1M to $104M
        Dec 4, 2020 to May 6, 2021
      • RAUM · $99.1M to $104M
        Dec 4, 2020 to May 6, 2021
      Signals
      1 dated events
      • Rail-Splitter filed its initial SEC registration (Form ADV)
        Dec 4, 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