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••• C•••••• M••••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Nov 16, 2021 · 7 filings
SEC status approved since Dec 16, 2021
RAUM
$266M
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
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$266M as of Mar 31, 2026
Mar 8, 2022$208M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 8, 20220 then
Employees (5.A)3 as of Mar 31, 2026
Mar 8, 20223 then
Private funds2 as of Mar 31, 2026
Mar 8, 20221 then
RAUM -0.7% over the last fiscal year+33% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $44.3MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.7%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
- $266M, 6 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$266M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $266M for 6 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=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•••••• M••••• F••• L• | Hedge Fund | $197M | 100 | Nov 16, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• T•••••• N••••• · Founder And General Partnercontrolsince 11/2021 · owns less than 5%
- D•••••• A••••••••• S••• · Chief Compliance Officer, Chief Operations Officercontrolsince 11/2021 · owns less than 5%
- B•••••• T•••••• N••••• · Founder And General Partnercontrolsince 11/2021 · owns 75% or more of R••• C•••••• P••••••• L••
Entity owners
- R••• C•••••• P••••••• L•• · Companydirect · owns 75% or more
- R••• C• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 4 to 3Mar 13, 2025 to Mar 31, 2026
- Assets in custody · $268M to $266MMar 13, 2025 to Mar 31, 2026
- Employees · 4 to 3Mar 13, 2025 to Mar 31, 2026
- Discretionary RAUM · $268M to $266MMar 13, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $268M to $266MMar 13, 2025 to Mar 31, 2026
- RAUM · $268M to $266MMar 13, 2025 to Mar 31, 2026
- Accounts · 3 to 6Mar 15, 2024 to Mar 13, 2025
- Advisory employees · 5 to 4Mar 15, 2024 to Mar 13, 2025
- Pooled vehicle clients · 3 to 6Mar 15, 2024 to Mar 13, 2025
- Assets in custody · $114M to $268MMar 15, 2024 to Mar 13, 2025
- Employees · 5 to 4Mar 15, 2024 to Mar 13, 2025
- Financial planning clients · unset to Mar 15, 2024 to Mar 13, 2025
- HQ city · unset to Mar 15, 2024 to Mar 13, 2025
- HQ state · unset to Mar 15, 2024 to Mar 13, 2025
- Private funds · 1 to 2Mar 15, 2024 to Mar 13, 2025
- Discretionary RAUM · $197M to $268MMar 15, 2024 to Mar 13, 2025
- Pooled vehicle RAUM · $197M to $268MMar 15, 2024 to Mar 13, 2025
- RAUM · $197M to $268MMar 15, 2024 to Mar 13, 2025
- Discretionary RAUM · $114M to $197MMay 8, 2023 to Mar 15, 2024
- Pooled vehicle RAUM · $114M to $197MMay 8, 2023 to Mar 15, 2024
- RAUM · $114M to $197MMay 8, 2023 to Mar 15, 2024
- Advisory employees · 3 to 5Mar 8, 2022 to Mar 17, 2023
- Assets in custody · $208M to $114MMar 8, 2022 to Mar 17, 2023
- Employees · 3 to 5Mar 8, 2022 to Mar 17, 2023
- Discretionary RAUM · $208M to $114MMar 8, 2022 to Mar 17, 2023
- Pooled vehicle RAUM · $208M to $114MMar 8, 2022 to Mar 17, 2023
- RAUM · $208M to $114MMar 8, 2022 to Mar 17, 2023
- Accounts · unset to 3.0Nov 16, 2021 to Mar 8, 2022
- Advisory employees · 2 to 3Nov 16, 2021 to Mar 8, 2022
- Assets in custody · $0 to $208MNov 16, 2021 to Mar 8, 2022
- Custody of client assets · false to trueNov 16, 2021 to Mar 8, 2022
- Employees · 2 to 3Nov 16, 2021 to Mar 8, 2022
- Discretionary RAUM · unset to 207951648.0Nov 16, 2021 to Mar 8, 2022
- Non-discretionary RAUM · unset to 0.0Nov 16, 2021 to Mar 8, 2022
- Pooled vehicle RAUM · $0 to $208MNov 16, 2021 to Mar 8, 2022
- RAUM · unset to 207951648.0Nov 16, 2021 to Mar 8, 2022
Signals
1 dated events
- R••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Nov 16, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R••• C•••••• M••••••••• L• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/road-capital-management/?viewAsMember=treportedpublic record, Form ADV, Sep 19, 2026
- Website
- roadcapitalmgmt.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 781-264-6268reportedpublic record, Form ADV, Mar 31, 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