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•••••••••
Legal name R•• A••••••••• L••
Latest filing Apr 17, 2026
First filing on the tape Jun 29, 2022 · 8 filings
SEC status approved since Jul 29, 2022
RAUM
$145M
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
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$145M as of Apr 17, 2026
Mar 31, 2023$194M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 17, 2026
Mar 31, 20230 then
Employees (5.A)3 as of Apr 17, 2026
Mar 31, 20236 then
Private funds6 as of Apr 17, 2026
Mar 31, 20232 then
RAUM n/a over the last fiscal year-9.3% a year over three
Practice profile
derived from the filing of Apr 17, 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
- $24.1MderivedRAUM 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
- unknownderivedbetween 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
- $145M, 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$145M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $145M for 6 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•• A••••••••• L••• | Private Equity Fund | $124M | 16 | Mar 30, 2016 |
| R• C••••••••• F••• L••• S••••• 3• | Private Equity Fund | $32.2M | 1 | Mar 29, 2024 |
| R• C••••••••• F••• L••• S••••• 4• | Private Equity Fund | $20.6M | 7 | Mar 30, 2020 |
| R• C••••••••• F••• L••• S••••• 1• | Private Equity Fund | $5.9M | 2 | Mar 29, 2024 |
| R• C••••••••• F••• L••• S••••• 2• | Private Equity Fund | $2.6M | 1 | Mar 29, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B••••• G•••••• A•••• · Managing Membercontrolsince 07/2020 · owns 50% to 75%
- K••••••• H••••• B••••• · Managing Membercontrolsince 07/2020 · owns 50% to 75%
- K•••••••• P•••• · Chief Financial Officer, Chief Compliance Officersince 07/2020 · owns less than 5%
Related persons
Schedule D 7.A
- R••• L••pooled vehicle sponsorn
- R•••• L•••pooled vehicle sponsorn
- R•• C•••••• P•••••••investment advisernRAUM $1.1B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2May 1, 2025 to Mar 31, 2026
- Assets in custody · $172M to $145MMay 1, 2025 to Mar 31, 2026
- Employees · 5 to 3May 1, 2025 to Mar 31, 2026
- Discretionary RAUM · $172M to $145MMay 1, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $172M to $145MMay 1, 2025 to Mar 31, 2026
- RAUM · $172M to $145MMay 1, 2025 to Mar 31, 2026
- Accounts · 5 to 6Sep 9, 2024 to May 1, 2025
- Advisory employees · 4 to 3Sep 9, 2024 to May 1, 2025
- Pooled vehicle clients · 5 to 6Sep 9, 2024 to May 1, 2025
- Assets in custody · $185M to $172MSep 9, 2024 to May 1, 2025
- Financial planning clients · unset to Sep 9, 2024 to May 1, 2025
- Private funds · 5 to 6Sep 9, 2024 to May 1, 2025
- Discretionary RAUM · $185M to $172MSep 9, 2024 to May 1, 2025
- Pooled vehicle RAUM · $185M to $172MSep 9, 2024 to May 1, 2025
- RAUM · $185M to $172MSep 9, 2024 to May 1, 2025
- Related adviser · false to trueMar 29, 2024 to Sep 9, 2024
- Accounts · 2 to 5May 3, 2023 to Mar 29, 2024
- Pooled vehicle clients · 2 to 5May 3, 2023 to Mar 29, 2024
- Assets in custody · $194M to $185MMay 3, 2023 to Mar 29, 2024
- Employees · 6 to 5May 3, 2023 to Mar 29, 2024
- Private funds · 2 to 5May 3, 2023 to Mar 29, 2024
- Discretionary RAUM · $194M to $185MMay 3, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $194M to $185MMay 3, 2023 to Mar 29, 2024
- RAUM · $194M to $185MMay 3, 2023 to Mar 29, 2024
- Advisory employees · 3 to 4Jun 29, 2022 to Mar 31, 2023
- Assets in custody · $214M to $194MJun 29, 2022 to Mar 31, 2023
- Employees · 4 to 6Jun 29, 2022 to Mar 31, 2023
- Private funds · 4 to 2Jun 29, 2022 to Mar 31, 2023
- Discretionary RAUM · $214M to $194MJun 29, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $214M to $194MJun 29, 2022 to Mar 31, 2023
- RAUM · $214M to $194MJun 29, 2022 to Mar 31, 2023
Signals
1 dated events
- R•• A••••••••• filed its initial SEC registration (Form ADV)Jun 29, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R•• A••••••••• · Independent Sponsorsshared crd · capital_provider
- R•• A••••••••• · Private Equityshared crd · organization
- R•• A••••••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- r•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-751-6677reportedpublic record, Form ADV, Apr 17, 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