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•••• M•••••••••
Legal name R••••••••• A•••• M••••••••• L•
Latest filing Mar 30, 2026
First filing on the tape Nov 23, 2021 · 12 filings
SEC status approved since Jan 3, 2022
RAUM
$10B
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
41
23 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
2
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$10B as of Mar 30, 2026
Mar 27, 2023$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 27, 20230 then
Employees (5.A)41 as of Mar 30, 2026
Mar 27, 202318 then
Private funds2 as of Mar 30, 2026
Mar 27, 20231 then
RAUM +58% over the last fiscal year+108% a year over threeIARs 0 to 0offices 4 to 3
Practice profile
derived from the filing of Mar 30, 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
- $2.1BderivedRAUM 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
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +58%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 pooled vehiclesreportedItem 5.G
- Custody
- $10B, 5 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)
- 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$10B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $10B for 5 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=true 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••••••••• M••••• F•••• L••• | Hedge Fund | $5.6B | 38 | Nov 23, 2021 |
Owners and control persons
Schedule A and B, latest filing
- G•••••• R•••• M•••••• · Managing Partnercontrolsince 07/2021 · owns 25% to 50%
- G•••••••• D••••• B•••••• · Managing Partnercontrolsince 07/2021 · owns 25% to 50%
- H••••• A•••••• Y•• · Chief Operating Officercontrolsince 06/2023 · owns less than 5%
- M••••••• S•••••••• Q•••• · Chief Compliance Officer & General Counselcontrolsince 01/2024 · owns less than 5%
- P•••••••• D••••• K• · Chief Financial Officercontrolsince 08/2021 · owns less than 5%
- D••••••• W••••••• J••••• · Managercontrolsince 03/2012 · owns 75% or more of D••• T•• L••
- G•••••• R•••• M•••••• · Managing Membercontrolsince 07/2021 · owns 50% to 75% of R••••••••• H•••••••• L••
- G•••••••• D••••• B•••••• · Managing Membercontrolsince 07/2021 · owns 50% to 75% of R••••••••• H•••••••• L••
- G••••••• P•••• A••••• · Managercontrolsince 03/2012 · owns 75% or more of P••• L••
Entity owners
- R••••••••• H•••••••• L•• · General Partnerdirect · owns less than 5%
- D••• T•• L•• · Memberindirect · owns 50% to 75% of R•••• V••• I••••••••• I•• L••
- P••• L•• · Memberindirect · owns 50% to 75% of R•••• V••• I••••••••• I•• L••
- R•••• V••• I••••••••• I•• L•• · Limited Partnerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- R••••••••• F••• G•• L••investment adviserbankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- New York, NY3 employees
- Naperville, IL1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 4 to 5Mar 31, 2025 to Mar 30, 2026
- Advisory employees · 21 to 23Mar 31, 2025 to Mar 30, 2026
- Pooled vehicle clients · 4 to 5Mar 31, 2025 to Mar 30, 2026
- Assets in custody · $6.5B to $10BMar 31, 2025 to Mar 30, 2026
- Employees · 34 to 41Mar 31, 2025 to Mar 30, 2026
- Other offices · 4 to 3Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $6.5B to $10BMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $6.5B to $10BMar 31, 2025 to Mar 30, 2026
- RAUM · $6.5B to $10BMar 31, 2025 to Mar 30, 2026
- Accounts · 3 to 4Sep 17, 2024 to Mar 31, 2025
- Advisory employees · 16 to 21Sep 17, 2024 to Mar 31, 2025
- Pooled vehicle clients · 3 to 4Sep 17, 2024 to Mar 31, 2025
- Assets in custody · $5.6B to $6.5BSep 17, 2024 to Mar 31, 2025
- Employees · 28 to 34Sep 17, 2024 to Mar 31, 2025
- Financial planning clients · unset to Sep 17, 2024 to Mar 31, 2025
- Private funds · 1 to 2Sep 17, 2024 to Mar 31, 2025
- Discretionary RAUM · $5.6B to $6.5BSep 17, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $5.6B to $6.5BSep 17, 2024 to Mar 31, 2025
- RAUM · $5.6B to $6.5BSep 17, 2024 to Mar 31, 2025
- Other offices · 3 to 4Mar 22, 2024 to Sep 17, 2024
- Advisory employees · 12 to 16Jan 8, 2024 to Mar 22, 2024
- Assets in custody · $1.1B to $5.6BJan 8, 2024 to Mar 22, 2024
- Employees · 18 to 28Jan 8, 2024 to Mar 22, 2024
- Discretionary RAUM · $1.1B to $5.6BJan 8, 2024 to Mar 22, 2024
- Pooled vehicle RAUM · $1.1B to $5.6BJan 8, 2024 to Mar 22, 2024
- RAUM · $1.1B to $5.6BJan 8, 2024 to Mar 22, 2024
- Advisory employees · 7 to 12Nov 2, 2022 to Mar 27, 2023
- Assets in custody · $240M to $1.1BNov 2, 2022 to Mar 27, 2023
- Employees · 11 to 18Nov 2, 2022 to Mar 27, 2023
- Other offices · 2 to 3Nov 2, 2022 to Mar 27, 2023
- Discretionary RAUM · $240M to $1.1BNov 2, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $240M to $1.1BNov 2, 2022 to Mar 27, 2023
- RAUM · $240M to $1.1BNov 2, 2022 to Mar 27, 2023
- Other offices · 1 to 2Sep 2, 2022 to Nov 2, 2022
- Accounts · 0 to 3Feb 18, 2022 to Mar 18, 2022
- Advisory employees · 4 to 7Feb 18, 2022 to Mar 18, 2022
- Assets in custody · $0 to $240MFeb 18, 2022 to Mar 18, 2022
- Employees · 6 to 11Feb 18, 2022 to Mar 18, 2022
- Discretionary RAUM · $0 to $240MFeb 18, 2022 to Mar 18, 2022
- Pooled vehicle RAUM · $0 to $240MFeb 18, 2022 to Mar 18, 2022
Signals
8 dated events
- R••••••••• A•••• M••••••••• reported RAUM $10.3B, up 58% from $6.5B (2025-03-31 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- R••••••••• A•••• M••••••••• reported RAUM $5.6B, up 389% from $1.1B (2024-01-08 to 2024-03-22)Mar 22, 2024 · RAUM change · derived
- Yih Andrew Hwang (Chief Operating Officer) appeared on Schedule A of R••••••••• A•••• M•••••••••Jan 8, 2024 · Control person joined · fact
- Quinn Shellane Mulcahy (Chief Compliance Officer & General Counsel) appeared on Schedule A of R••••••••• A•••• M•••••••••Jan 8, 2024 · Control person joined · fact
- R••••••••• A•••• M••••••••• reported RAUM $1.1B, up 376% from $239.8M (2022-11-02 to 2023-03-27)Mar 27, 2023 · RAUM change · derived
- Joseph William Disomma (Manager) appeared on Schedule A of R••••••••• A•••• M•••••••••Feb 18, 2022 · Control person joined · fact
- Andrew Paul Gurinas (Manager) appeared on Schedule A of R••••••••• A•••• M•••••••••Feb 18, 2022 · Control person joined · fact
- R••••••••• A•••• M••••••••• filed its initial SEC registration (Form ADV)Nov 23, 2021 · 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.
How to reach
public business contact points only, each with its source
- Website
- readyx.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-471-8600reportedpublic record, Form ADV, Mar 30, 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