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••• P••••••• L•
Latest filing May 4, 2026
First filing on the tape Oct 19, 2021 · 14 filings
SEC status approved since Nov 23, 2021
RAUM
$2.2B
reported, Item 5.F
Discretionary
13%
of RAUM
Private clients
85%
$1.9B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$2.2B as of May 4, 2026
May 3, 2022$1.8B then
HNW client RAUM$1.9B as of May 4, 2026
May 3, 2022$1.4B then
State-registered IARs (5.B.3)0 as of May 4, 2026
May 3, 20220 then
Employees (5.A)12 as of May 4, 2026
May 3, 20226 then
Private funds1 as of May 4, 2026
May 3, 20221 then
RAUM +0.1% over the last fiscal year+17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 4, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- 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
- $549MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 13%derivedof RAUM
- Institutional
- 2.0%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
- +0.1%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
- Custody
- yesreportedItem 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)
- 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 testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.9B85%
- Pooled investment vehicles$289M13%
- Charitable organizations$44.5M2.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.85 fund_share=0.13 institutional_share=0.02 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••• C•••••• P••••••• I• L• | Private Equity Fund | $109M | 42 | Mar 23, 2022 |
Owners and control persons
Schedule A and B, latest filing
- J••••• A•••• S••••••• · Managing Partnercontrolsince 02/2021 · owns less than 5%
- S•••••••• M••••••• J••• · Chief Compliance Officercontrolsince 11/2022 · owns less than 5%
- S•••••••• N••• · Directorcontrolsince 02/2021 · owns less than 5%
- J••••• A•••• S••••••• · Owner And Managing Membercontrolsince 02/2021 · owns 50% to 75% of R••• M••••••••• L••
- J••••• A•••• S••••••• · Trusteecontrolsince 02/2021 · owns F of J•••• F••••• L••••• T••••
- R••••••• B••••• E••••• · Trusteecontrolsince 02/2021 · owns F of J•••• F••••• L••••• T••••
Entity owners
- R••• M••••••••• L•• · Ownerdirect · owns 75% or more
- J•••• F••••• L••••• T•••• · Ownerindirect · owns 25% to 50% of R••• M••••••••• L••
Related persons
Schedule D 7.A
- R••• H••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing May 4, 2026r••••••• b••••• e••••• (TRUSTEE) left Schedule A between the filings of 2022-11-23 and 2026-05-04peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Discretionary RAUM · $288M to $289MMay 9, 2025 to Mar 27, 2026
- HNW RAUM · $1.9B to $1.9BMay 9, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $1.9B to $1.9BMay 9, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $288M to $289MMay 9, 2025 to Mar 27, 2026
- RAUM · $2.2B to $2.2BMay 9, 2025 to Mar 27, 2026
- Financial planning clients · unset to Mar 31, 2025 to May 9, 2025
- Advisory employees · 7 to 6May 2, 2024 to Mar 31, 2025
- Discretionary RAUM · $290M to $288MMay 2, 2024 to Mar 31, 2025
- HNW RAUM · $1.4B to $1.9BMay 2, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $1.4B to $1.9BMay 2, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $290M to $288MMay 2, 2024 to Mar 31, 2025
- RAUM · $1.7B to $2.2BMay 2, 2024 to Mar 31, 2025
- Advisory employees · 6 to 7May 3, 2023 to Mar 28, 2024
- Employees · 9 to 12May 3, 2023 to Mar 28, 2024
- Discretionary RAUM · $300M to $290MMay 3, 2023 to Mar 28, 2024
- HNW RAUM · $1.0B to $1.4BMay 3, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $1.1B to $1.4BMay 3, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $300M to $290MMay 3, 2023 to Mar 28, 2024
- RAUM · $1.4B to $1.7BMay 3, 2023 to Mar 28, 2024
- Advisory employees · 3 to 6Nov 23, 2022 to Mar 31, 2023
- Advisory activities · 3 to 4Nov 23, 2022 to Mar 31, 2023
- Assets in custody · $31.3M to $0Nov 23, 2022 to Mar 31, 2023
- Employees · 7 to 9Nov 23, 2022 to Mar 31, 2023
- HNW RAUM · $1.1B to $1.0BNov 23, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $1.1B to $1.1BNov 23, 2022 to Mar 31, 2023
- RAUM · $1.4B to $1.4BNov 23, 2022 to Mar 31, 2023
- Advisory activities · 2 to 3May 3, 2022 to Nov 23, 2022
- Assets in custody · unset to 31293253.0May 3, 2022 to Nov 23, 2022
- Custody of client assets · false to trueMay 3, 2022 to Nov 23, 2022
- Employees · 6 to 7May 3, 2022 to Nov 23, 2022
- HNW RAUM · $1.4B to $1.1BMay 3, 2022 to Nov 23, 2022
- Non-discretionary RAUM · $1.5B to $1.1BMay 3, 2022 to Nov 23, 2022
- RAUM · $1.8B to $1.4BMay 3, 2022 to Nov 23, 2022
- Advisory employees · 4 to 3Mar 23, 2022 to May 3, 2022
- Accounts · 0 to 4Nov 24, 2021 to Mar 23, 2022
- Advisory employees · 3 to 4Nov 24, 2021 to Mar 23, 2022
- Pooled vehicle clients · unset to 1.0Nov 24, 2021 to Mar 23, 2022
- Employees · 5 to 6Nov 24, 2021 to Mar 23, 2022
- Private funds · unset to 1Nov 24, 2021 to Mar 23, 2022
- Discretionary RAUM · $0 to $300MNov 24, 2021 to Mar 23, 2022
Signals
6 dated events
- R••• P••••••• L• reported RAUM $2.2B, up 27% from $1.7B (2024-05-02 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- R••• P••••••• L• reported RAUM $1.7B, up 25% from $1.4B (2023-05-03 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Noel Sullivan (Director) appeared on Schedule A of R••• P••••••• L•Mar 28, 2024 · Control person joined · fact
- J••• M•••••• S••••••• (Chief Compliance Officer) appeared on Schedule A of R••• P••••••• L•Nov 23, 2022 · Control person joined · fact
- Noel Sullivan (Chief Compliance Officer) no longer on Schedule A of R••• P••••••• L• (listed 2022-05-03, absent 2022-11-23)Nov 23, 2022 · Control person left · inference
- R••• P••••••• L• filed its initial SEC registration (Form ADV)Oct 19, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R••• P••••••• L• · Independent Sponsorsshared crd · capital_provider
- R••• P••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- i•••@r•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/ragapartnersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- r•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (646) 566-5209reportedpublic record, Form ADV, May 4, 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
- Independent wealth managerderiveda 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