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•• A•••• M••••••••• G••••• L••
Latest filing Mar 31, 2026
First filing on the tape Feb 23, 2024 · 6 filings
SEC status approved since Mar 22, 2024
RAUM
$129M
reported, Item 5.F
Discretionary
69%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$129M
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
4
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$129M as of Mar 31, 2026
Mar 31, 2025$149M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 31, 20251 then
Employees (5.A)9 as of Mar 31, 2026
Mar 31, 20259 then
Private funds4 as of Mar 31, 2026
Mar 31, 20253 then
RAUM -13% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 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
- $129MderivedRAUM 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
- $16.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 69%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 9.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$89.6M69%
- Corporations and businesses$39.6M31%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.69 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 |
|---|---|---|---|---|
| R••• P•••••• L•••• | Studio City, Ca | Oct 31, 2024 | 17 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••• S••••• C•••••• F••• 3• L• | Real Estate Fund | $41.6M | 97 | Apr 9, 2021 |
| R•••• S••••• C•••••• F••• 4• L• | Real Estate Fund | $22.8M | 51 | May 25, 2023 |
| R•• I••••••••• V••••••• 2• L• | Real Estate Fund | $18.1M | 34 | Mar 31, 2023 |
| R•• E• P••• M•••••• I••••••• M••••• 1• L••no longer reported | Real Estate Fund | $9.4M | 3 | Apr 1, 2022 |
| R•• S•• A•••••• M•••••• I••••••• M••••• O••• L••no longer reported | Real Estate Fund | $4.9M | 16 | Apr 8, 2021 |
Owners and control persons
Schedule A and B, latest filing
- L••••• R•••• P•••••• · Co-Ceocontrolsince 06/2018 · owns less than 5%
- R••••• J•••••• S•••• · Presidentcontrolsince 06/2018 · owns less than 5%
- T•••• M••••••• C•••••• · Co-Ceocontrolsince 06/2018 · owns less than 5%
- L••••• R•••• P•••••• · Trusteecontrolsince 06/2012 · owns F of T•• R•• L••••• T••••
- R••••• J•••••• S•••• · Trusteecontrolsince 09/2014 · owns F of T•• R•••• L••••• T••••
- T•••• M••••••• C•••••• · Trusteecontrolsince 06/2009 · owns F of W••••••••• T••••
- F•••• N••••••• J• · Chief Compliance Officersince 05/2020 · owns less than 5%
Entity owners
- R•••• M••••• A•••• M••••••••• G••••• L•• · M•••••direct · owns 75% or more
- R•••• S••••• C•••••• M••••••• L•• · Non-M••••• M••••••direct · owns less than 5%
- R•••• S••••• C•••••• M••••••• L•• · Non-M••••• M••••••indirect · owns F of R•••• M••••• A•••• M••••••••• G••••• L••
- S••••• R•••• H••••• I• L•• · Sole M•••••indirect · owns 75% or more of R•••• S••••• C•••••• M••••••• L••
- T•• R•••• L••••• T•••• · M•••••indirect · owns 25% to 50% of S••••• R•••• H••••• I• L••
- T•• R•• L••••• T•••• · M•••••indirect · owns 25% to 50% of S••••• R•••• H••••• I• L••
- W••••••••• T•••• · M•••••indirect · owns 25% to 50% of S••••• R•••• H••••• I• L••
Related persons
Schedule D 7.A
- R•••• S••••• C•••••• G• 3• L••pooled vehicle sponsorn
- R•••• S••••• C•••••• G• 4• L••pooled vehicle sponsorn
- R•• A•••• M••••••••• G•••• 3• L••investment advisery
- R•• A•••• M••••••••• G•••• 4• L••investment advisery
- R•• I••••••••• A•••• M••••••••• G•••• 2• L••investment advisern
- R•• I••••••••• V••••••• 2• G•• L••pooled vehicle sponsorn
Advisers that list R•• A•••• M••••••••• G••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Denver, CO2 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 7 to 8Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 5 to 6Mar 31, 2025 to Mar 31, 2026
- Private funds · 3 to 4Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $82.2M to $89.6MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $66.8M to $39.6MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $82.2M to $89.6MMar 31, 2025 to Mar 31, 2026
- RAUM · $149M to $129MMar 31, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Sep 27, 2024 to Mar 31, 2025
- State-registered IARs · 5 to 1Sep 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $88.5M to $82.2MSep 27, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $88.5M to $82.2MSep 27, 2024 to Mar 31, 2025
- RAUM · $155M to $149MSep 27, 2024 to Mar 31, 2025
- Accounts · 6 to 7Apr 19, 2024 to Sep 27, 2024
- Advisory employees · 2 to 5Apr 19, 2024 to Sep 27, 2024
- Corporate clients · 3 to 2Apr 19, 2024 to Sep 27, 2024
- Pooled vehicle clients · 3 to 5Apr 19, 2024 to Sep 27, 2024
- Employees · 5 to 9Apr 19, 2024 to Sep 27, 2024
- State-registered IARs · 0 to 5Apr 19, 2024 to Sep 27, 2024
- Other offices · 1 to 2Apr 19, 2024 to Sep 27, 2024
- Discretionary RAUM · $70.5M to $88.5MApr 19, 2024 to Sep 27, 2024
- Pooled vehicle RAUM · $68.2M to $88.5MApr 19, 2024 to Sep 27, 2024
- RAUM · $137M to $155MApr 19, 2024 to Sep 27, 2024
- Private funds · 6 to 3Feb 23, 2024 to Mar 7, 2024
Signals
1 dated events
- R•• A•••• M••••••••• G••••• L•• filed its initial SEC registration (Form ADV)Feb 23, 2024 · 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 19, 2026
- Principal office phone
- (310) 598-7073reportedpublic record, Form ADV, Mar 31, 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
- $129Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
R•• A•••• M••••••••• G••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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