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•••••• G••••• I•••••••• L••
Latest filing Mar 17, 2025
First filing on the tape Jan 19, 2022 · 18 filings
SEC status approved since Feb 23, 2022
RAUM
$53.3M
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
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$53.3M as of Mar 17, 2025
Mar 19, 2023$23.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 17, 2025
Mar 19, 20231 then
Employees (5.A)6 as of Mar 17, 2025
Mar 19, 20237 then
Private funds1 as of Mar 17, 2025
Mar 19, 20231 then
RAUM +113% over the last fiscal yearIARs 1 to 0
Practice profile
derived from the filing of Mar 17, 2025; 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
- $26.6MderivedRAUM 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
- +113%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 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 pooled vehicles, 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)
- 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
- Investment companies$49.5M93%
- Pooled investment vehicles$3.8M7.2%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- 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 |
|---|---|---|---|---|
| R•••••• U••• S•••••• C•••••••• F•••• L•• | Other Private Fund | $3.7M | 2 | Jun 10, 2022 |
Owners and control persons
Schedule A and B, latest filing
- E•••• M••••••• K• · Board Membercontrolsince 01/2022 · owns less than 5%
- L••••••• E••• · Board Membercontrolsince 01/2022 · owns less than 5%
- M•••••••• K••••••• A••••• · Head Of Investments & Sustainabilitycontrolsince 07/2021 · owns 25% to 50%
- R•••••• H••••• K••••••• · Ceocontrolsince 07/2021 · owns 25% to 50%
- C••••••••• D••••• M• · Chief Compliance Officersince 09/2024 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · unset to Nov 20, 2024 to Mar 17, 2025
- HQ state · unset to Nov 20, 2024 to Mar 17, 2025
- Discretionary RAUM · $37.0M to $53.3MNov 20, 2024 to Mar 17, 2025
- Pooled vehicle RAUM · $3.7M to $3.8MNov 20, 2024 to Mar 17, 2025
- RAUM · $37.0M to $53.3MNov 20, 2024 to Mar 17, 2025
- Discretionary RAUM · $25.1M to $37.0MSep 30, 2024 to Nov 20, 2024
- Pooled vehicle RAUM · $3.4M to $3.7MSep 30, 2024 to Nov 20, 2024
- RAUM · $25.1M to $37.0MSep 30, 2024 to Nov 20, 2024
- BD registered reps · 1 to 0Sep 27, 2024 to Sep 27, 2024
- Employees · 7 to 6Sep 27, 2024 to Sep 27, 2024
- Insurance-licensed employees · 1 to 0Sep 27, 2024 to Sep 27, 2024
- State-registered IARs · 1 to 0Sep 27, 2024 to Sep 27, 2024
- Discretionary RAUM · $23.8M to $25.1MDec 8, 2023 to Feb 7, 2024
- Pooled vehicle RAUM · $788,052 to $3.4MDec 8, 2023 to Feb 7, 2024
- RAUM · $23.8M to $25.1MDec 8, 2023 to Feb 7, 2024
- Business name · R••••••••• G••••• I•••••••• to R•••••• G••••• I•••••••• L••Oct 16, 2023 to Nov 3, 2023
- Legal name · R••••••••• G••••• I•••••••• LLC to R•••••• G••••• I•••••••• L••Oct 16, 2023 to Nov 3, 2023
- Discretionary RAUM · $29.0M to $23.8MNov 28, 2022 to Mar 19, 2023
- Pooled vehicle RAUM · $790,854 to $788,052Nov 28, 2022 to Mar 19, 2023
- RAUM · $29.0M to $23.8MNov 28, 2022 to Mar 19, 2023
- Accounts · 1 to 2Jun 10, 2022 to Jul 26, 2022
- Discretionary RAUM · $884,527 to $29.0MJun 10, 2022 to Jul 26, 2022
- Pooled vehicle RAUM · $884,527 to $790,854Jun 10, 2022 to Jul 26, 2022
- RAUM · $884,527 to $29.0MJun 10, 2022 to Jul 26, 2022
- Advisory activities · 3 to 4Jan 19, 2022 to Jun 10, 2022
- Pooled vehicle clients · unset to 1.0Jan 19, 2022 to Jun 10, 2022
- Private funds · unset to 1Jan 19, 2022 to Jun 10, 2022
- Discretionary RAUM · $993,987 to $884,527Jan 19, 2022 to Jun 10, 2022
- Pooled vehicle RAUM · unset to 884527.0Jan 19, 2022 to Jun 10, 2022
- RAUM · $993,987 to $884,527Jan 19, 2022 to Jun 10, 2022
Signals
5 dated events
- R•••••• G••••• I•••••••• L•• no longer on the SEC adviser roster (last listed 2025-05-02, RAUM $53.3M)Jun 2, 2025 · Left the SEC roster · derived
- Erin Leonard (Board Member) appeared on Schedule A of R•••••• G••••• I•••••••• L••Mar 19, 2023 · Control person joined · fact
- K Michael Even (Board Member) appeared on Schedule A of R•••••• G••••• I•••••••• L••Mar 19, 2023 · Control person joined · fact
- Morris Frank Ridley (Trustee) no longer on Schedule A of R•••••• G••••• I•••••••• L•• (listed 2022-11-28, absent 2023-03-19)Mar 19, 2023 · Control person left · inference
- R••••••••• G••••• I•••••••• filed its initial SEC registration (Form ADV)Jan 19, 2022 · 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