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• C•••• G••••• C•••••• I•••
Latest filing Mar 20, 2024
First filing on the tape Feb 26, 2021 · 7 filings
RAUM
$25.2M
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
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$25.2M as of Mar 20, 2024
Mar 30, 2023$5.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2024
Mar 30, 20230 then
Employees (5.A)3 as of Mar 20, 2024
Mar 30, 20236 then
Private funds: no history
RAUM +352% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 2024; 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
- $25.2MderivedRAUM 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
- +352%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$25.2M100%
- 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 AUMreported
- 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•• L•••• L•no longer reported | Hedge Fund | $0 | 3 | Feb 26, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• B••••• A••• · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- R•••••• C••••• J• · Chief Investment Officercontrolsince 01/2021 · owns 25% to 50%
- R••••• J•••• C••••• · Chief Executive Officercontrolsince 01/2021 · owns 25% to 50%
- R•••••• D••••• J• · Ownersince 01/2023 · owns 5% to 10%
- R••••• M•••• T• · Ownersince 01/2023 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list R• C•••• G••••• C•••••• I••• as a related person
- 330018 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 2 to 1Jun 7, 2023 to Mar 20, 2024
- Employees · 6 to 3Jun 7, 2023 to Mar 20, 2024
- HQ city · PLANTATION to BELLEVUEJun 7, 2023 to Mar 20, 2024
- HQ state · FL to WAJun 7, 2023 to Mar 20, 2024
- Discretionary RAUM · $5.6M to $25.2MJun 7, 2023 to Mar 20, 2024
- RAUM · $5.6M to $25.2MJun 7, 2023 to Mar 20, 2024
- Business name · R• C•••• G••••• C•••••• L•• to R• C•••• G••••• C•••••• I•••May 4, 2023 to Jun 7, 2023
- Legal name · R• C•••• G••••• C•••••• L•• to R• C•••• G••••• C•••••• I•••May 4, 2023 to Jun 7, 2023
- Accounts · 0 to 1Jun 6, 2022 to Mar 30, 2023
- Employees · 4 to 6Jun 6, 2022 to Mar 30, 2023
- Organization form · Limited Liability Company to CorporationJun 6, 2022 to Mar 30, 2023
- Discretionary RAUM · $0 to $5.6MJun 6, 2022 to Mar 30, 2023
- RAUM · $0 to $5.6MJun 6, 2022 to Mar 30, 2023
- Advisory activities · 1 to 3Feb 26, 2021 to Feb 17, 2022
- Pooled vehicle clients · 0.0 to unsetFeb 26, 2021 to Feb 17, 2022
- Employees · 3 to 4Feb 26, 2021 to Feb 17, 2022
- Private funds · 1 to unsetFeb 26, 2021 to Feb 17, 2022
- Pooled vehicle RAUM · 0.0 to unsetFeb 26, 2021 to Feb 17, 2022
Signals
5 dated events
- M Peter Reilly (Chief Compliance Officer/Chief Operating Officer) no longer on Schedule A of R• C•••• G••••• C•••••• I••• (listed 2023-06-07, absent 2024-03-20)Mar 20, 2024 · Control person left · inference
- Alan Blake Bjordahl (Chief Compliance Officer) appeared on Schedule A of R• C•••• G••••• C•••••• I•••Mar 20, 2024 · Control person joined · fact
- Frank Brannen (Portfolio Manager And Limited Partner) no longer on Schedule A of R• C•••• G••••• C•••••• I••• (listed 2022-06-06, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Frank Brannen (Portfolio Manager And Limited Partner) appeared on Schedule A of R• C•••• G••••• C•••••• I•••Feb 17, 2022 · Control person joined · fact
- R• C•••• G••••• C•••••• L•• filed its initial SEC registration (Form ADV)Feb 26, 2021 · 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