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
B••••••• C••••••
Legal name B••••••• M••••••••• G••••• L••
Latest filing Sep 2, 2022
First filing on the tape Mar 31, 2021 · 5 filings
RAUM
$119M
reported, Item 5.F
Discretionary
72%
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
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
17
$82.3M gross assets
History
5 filings and snapshots on the tape
RAUM$119M as of Sep 2, 2022
Mar 31, 2021$174M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 2, 2022
Mar 31, 20210 then
Employees (5.A)7 as of Sep 2, 2022
Mar 31, 202110 then
Private funds17 as of Sep 2, 2022
Mar 31, 202118 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 2, 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
- $6.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 72%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $32.9M, 2 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$86.1M72%
- Corporations and businesses$32.9M28%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 19reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $32.9M 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
Private funds
21 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••• C•••••• F••• I• L• | Private Equity Fund | $14.0M | 88 | Mar 31, 2021 |
| S•••• L•• | Private Equity Fund | $11.4M | 32 | Mar 31, 2021 |
| R••• I•• L•• | Private Equity Fund | $8.6M | 53 | Mar 31, 2021 |
| R•••• L•• | Private Equity Fund | $3.0M | 18 | Mar 31, 2021 |
| R••• L•• | Private Equity Fund | $2.8M | 4 | Mar 31, 2021 |
| S••• L•• | Private Equity Fund | $1.9M | 4 | Mar 31, 2021 |
| R••• L•• | Private Equity Fund | $1.8M | 2 | Mar 31, 2021 |
| S••• L•• | Private Equity Fund | $988,636 | 4 | Mar 31, 2021 |
| R••• I• L•• | Private Equity Fund | $565,070 | 6 | Mar 31, 2021 |
| R••• L•• | Private Equity Fund | $555,898 | 5 | Mar 31, 2021 |
| S•••• L•• | Private Equity Fund | $448,872 | 6 | May 4, 2023 |
| S••• L•• | Private Equity Fund | $426,283 | 4 | Mar 31, 2021 |
| R••• L•• | Private Equity Fund | $359,646 | 7 | Mar 31, 2021 |
| S••• L•• | Private Equity Fund | $340,000 | 2 | Mar 31, 2021 |
| R••• L•• | Private Equity Fund | $272,873 | 3 | Mar 31, 2021 |
| S••• L•• | Private Equity Fund | $263,988 | 4 | Mar 28, 2024 |
| B•••••••• H•••••••• L•• | Private Equity Fund | $201,245 | 20 | Mar 31, 2021 |
| R••• L•• | Private Equity Fund | $172,614 | 8 | Mar 31, 2021 |
| R••• L•• | Private Equity Fund | $154,853 | 17 | Mar 31, 2021 |
| S•••• L•• | Private Equity Fund | $102,766 | 3 | May 4, 2023 |
| R••• L•• | Private Equity Fund | $0 | 6 | Mar 31, 2021 |
Owners and control persons
Schedule A and B, latest filing
- A••••••• A••• · Managing Partner, Legal & Operations, Ccocontrolsince 12/2016 · owns less than 5%
- K•••••••• E••••• · Chief Financial Officercontrolsince 12/2020 · owns less than 5%
- R••••••••• J•••••••• L••••••• · Managing Partner, Strategy & Market Intelligencecontrolsince 05/2016 · owns 50% to 75%
- S••••••••• A•••••• T••• · Chief Executive Officercontrolsince 05/2016 · owns 50% to 75%
Related persons
Schedule D 7.A
- B••••••• I••••••••• G•••• L••pooled vehicle sponsorn
- R••• C•••••• F••• I• G• L••pooled vehicle sponsorn
- R••• C•••••• P••••••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 5 to 4Sep 23, 2021 to Mar 30, 2022
- Corporate clients · 1 to 2Sep 23, 2021 to Mar 30, 2022
- Pooled vehicle clients · 18 to 17Sep 23, 2021 to Mar 30, 2022
- Assets in custody · $59.5M to $32.9MSep 23, 2021 to Mar 30, 2022
- Employees · 10 to 7Sep 23, 2021 to Mar 30, 2022
- Private funds · 18 to 17Sep 23, 2021 to Mar 30, 2022
- Discretionary RAUM · $112M to $86.1MSep 23, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $62.2M to $32.9MSep 23, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $112M to $86.1MSep 23, 2021 to Mar 30, 2022
- RAUM · $174M to $119MSep 23, 2021 to Mar 30, 2022
Signals
2 dated events
- Vikas Satyavrat Joshi (Managing Partner, Investments) no longer on Schedule A of B••••••• C•••••• (listed 2022-05-31, absent 2022-09-02)Sep 2, 2022 · Control person left · inference
- B••••••• C•••••• filed its initial SEC registration (Form ADV)Mar 31, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- B••••••• C•••••• · Independent Sponsorsshared crd · capital_provider
- B••••••• C•••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/rosecapital/about/?viewAsMember=truereportedpublic record, Form ADV, Sep 18, 2026
- Website
- rosecapital.comreportedpublic record, Form ADV, Sep 18, 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
- 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