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•••••••• L•
Latest filing Mar 19, 2026
First filing on the tape Apr 19, 2022 · 8 filings
SEC status approved since May 19, 2022
RAUM
$1.7B
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
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$1.7B as of Mar 19, 2026
Mar 29, 2023$592M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Mar 29, 20230 then
Employees (5.A)8 as of Mar 19, 2026
Mar 29, 20237 then
Private funds5 as of Mar 19, 2026
Mar 29, 20234 then
RAUM +63% over the last fiscal year+41% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 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
- $207MderivedRAUM 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
- +63%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, performance-basedreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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$1.7B100%
- 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 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••••••• F•••• L• P•••••••• D• • A••••• M•• | Hedge Fund | $334M | 1 | Mar 29, 2022 |
| R•••••••• F•••• L• P•••••••• A• • A••••• M•• | Hedge Fund | $215M | 12 | Oct 13, 2021 |
| R•••••••• O••••••• S••••••••• P•••••••• B• • I••••••• M•••••• F••• | Hedge Fund | $35.5M | 10 | Mar 29, 2023 |
| R•••••••• F•••• L• P•••••••• B• • I••••••• M•••••• | Hedge Fund | $13.4M | 2 | Mar 29, 2023 |
Owners and control persons
Schedule A and B, latest filing
- B•••• A••••• · Partner And Chief Investment Officercontrolsince 03/2020 · owns 25% to 50%
- K••••••••• V••• · Partner And P•••••••• Managercontrolsince 03/2020 · owns 25% to 50%
- R••••••• E•••••• G•••••• · Partner; Chief Business Officer; Chief Compliance Officercontrolsince 01/2022 · owns less than 5%
- S•••••••• S••••• E•••••••• · Chief Operating Officercontrolsince 03/2020 · owns less than 5%
- B•••• A••••• · Managing Membercontrolsince 06/2020 · owns 50% to 75% of R•••••••• A••••••• G•• L••
- K••••••••• V••• · Managing Membercontrolsince 06/2020 · owns 50% to 75% of R•••••••• A••••••• G•• L••
Entity owners
- R•••••••• A••••••• G•• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- R•••••••• A••••••• G•• L••pooled vehicle sponsorn
- R•••••••• 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 6Mar 17, 2025 to Mar 19, 2026
- Employees · 7 to 8Mar 17, 2025 to Mar 19, 2026
- Discretionary RAUM · $1.0B to $1.7BMar 17, 2025 to Mar 19, 2026
- Pooled vehicle RAUM · $1.0B to $1.7BMar 17, 2025 to Mar 19, 2026
- RAUM · $1.0B to $1.7BMar 17, 2025 to Mar 19, 2026
- Accounts · 12 to 8Mar 14, 2024 to Mar 17, 2025
- Advisory activities · 3 to 2Mar 14, 2024 to Mar 17, 2025
- Financial planning clients · 0 to 0Mar 14, 2024 to Mar 17, 2025
- Private funds · 4 to 5Mar 14, 2024 to Mar 17, 2025
- Discretionary RAUM · $805M to $1.0BMar 14, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $10.6M to $0Mar 14, 2024 to Mar 17, 2025
- Pooled vehicle RAUM · $688M to $1.0BMar 14, 2024 to Mar 17, 2025
- RAUM · $815M to $1.0BMar 14, 2024 to Mar 17, 2025
- Discretionary RAUM · $588M to $805MMar 29, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $4.5M to $10.6MMar 29, 2023 to Mar 14, 2024
- Pooled vehicle RAUM · $438M to $688MMar 29, 2023 to Mar 14, 2024
- RAUM · $592M to $815MMar 29, 2023 to Mar 14, 2024
- Accounts · 4 to 12Jul 8, 2022 to Mar 29, 2023
- Advisory employees · 2 to 5Jul 8, 2022 to Mar 29, 2023
- Advisory activities · 1 to 3Jul 8, 2022 to Mar 29, 2023
- Pooled vehicle clients · 4 to 8Jul 8, 2022 to Mar 29, 2023
- Employees · 4 to 7Jul 8, 2022 to Mar 29, 2023
- Private funds · 2 to 4Jul 8, 2022 to Mar 29, 2023
- Discretionary RAUM · $217M to $588MJul 8, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $0 to $4.5MJul 8, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $217M to $438MJul 8, 2022 to Mar 29, 2023
- RAUM · $217M to $592MJul 8, 2022 to Mar 29, 2023
- HQ city · unset to NEW YORKJun 16, 2022 to Jul 8, 2022
- HQ state · unset to NYJun 16, 2022 to Jul 8, 2022
- Private funds · 4 to 2Apr 19, 2022 to Apr 19, 2022
Signals
4 dated events
- R•••••••• A•••••••• L• reported RAUM $1.7B, up 63% from $1.0B (2025-03-17 to 2026-03-19)Mar 19, 2026 · RAUM change · derived
- R•••••••• A•••••••• L• reported RAUM $815.2M, up 38% from $592.3M (2023-03-29 to 2024-03-14)Mar 14, 2024 · RAUM change · derived
- R•••••••• A•••••••• L• reported RAUM $592.3M, up 173% from $217.0M (2022-07-08 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- R•••••••• A•••••••• L• filed its initial SEC registration (Form ADV)Apr 19, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R•••••••• A•••••••• L• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- richbrookadv.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646-833-1020reportedpublic record, Form ADV, Mar 19, 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