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•• I••• G•••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Dec 13, 2021 · 9 filings
SEC status approved since Jan 12, 2022
RAUM
$462M
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
16
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$462M as of Mar 30, 2026
Mar 31, 2023$415M then
HNW client RAUM$0 as of Mar 30, 2026
Mar 31, 2023$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 31, 20230 then
Employees (5.A)16 as of Mar 30, 2026
Mar 31, 202312 then
Private funds4 as of Mar 30, 2026
Mar 31, 20233 then
RAUM -6.0% over the last fiscal year+3.6% a year over threeIARs 0 to 0
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
- $115MderivedRAUM 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
- -6.0%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
- 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
- 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 testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$462M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- Financial planning clients
- reported
- 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•• I••• G••••• L••• | Private Equity Fund | $378M | 163 | May 12, 2022 |
| R•• I••• G•••• S•••••••• F•••• L••• | Private Equity Fund | $33.0M | 18 | May 12, 2022 |
| R•• I••• G•••• M•••••• F•••• L•• | Private Equity Fund | $147,184 | 7 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• B•••••••• A••••• · Co-Chief Executive Officercontrolsince 09/2020 · owns 50% to 75%
- K••••• J••••• M•••••• · Co-Chief Executive Officercontrolsince 09/2020 · owns 50% to 75%
- Y•••• J••• N•• · Chief Compliance Officer / Vp Of Financecontrolsince 05/2023 · owns less than 5%
Related persons
Schedule D 7.A
- R•• I••• G•••• G•• 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
- custody status changedChange between filings · filing Mar 30, 2026custody of client assets (Item 9.A): yes on the filing of 2025-04-16, no on the filing of 2026-03-30peers: asset managers, $100M to $500M (1,567)
What changed
consecutive filings, newest first
- Advisory employees · 10 to 9Apr 16, 2025 to Mar 30, 2026
- Assets in custody · 120686619.0 to unsetApr 16, 2025 to Mar 30, 2026
- Custody of client assets · true to falseApr 16, 2025 to Mar 30, 2026
- Employees · 13 to 16Apr 16, 2025 to Mar 30, 2026
- Discretionary RAUM · $491M to $462MApr 16, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $491M to $462MApr 16, 2025 to Mar 30, 2026
- RAUM · $491M to $462MApr 16, 2025 to Mar 30, 2026
- Accounts · 3 to 4Mar 27, 2024 to Apr 16, 2025
- Pooled vehicle clients · 3 to 4Mar 27, 2024 to Apr 16, 2025
- Assets in custody · $27.6M to $121MMar 27, 2024 to Apr 16, 2025
- Employees · 11 to 13Mar 27, 2024 to Apr 16, 2025
- Financial planning clients · unset to Mar 27, 2024 to Apr 16, 2025
- Private funds · 3 to 4Mar 27, 2024 to Apr 16, 2025
- Discretionary RAUM · $411M to $491MMar 27, 2024 to Apr 16, 2025
- Pooled vehicle RAUM · $411M to $491MMar 27, 2024 to Apr 16, 2025
- RAUM · $411M to $491MMar 27, 2024 to Apr 16, 2025
- Advisory employees · 11 to 10May 10, 2023 to Mar 27, 2024
- Assets in custody · $14.4M to $27.6MMay 10, 2023 to Mar 27, 2024
- Employees · 12 to 11May 10, 2023 to Mar 27, 2024
- Discretionary RAUM · $415M to $411MMay 10, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $415M to $411MMay 10, 2023 to Mar 27, 2024
- RAUM · $415M to $411MMay 10, 2023 to Mar 27, 2024
- Accounts · 2 to 3Jun 8, 2022 to Mar 31, 2023
- Advisory employees · 5 to 11Jun 8, 2022 to Mar 31, 2023
- Pooled vehicle clients · 2 to 3Jun 8, 2022 to Mar 31, 2023
- Assets in custody · unset to 14407240.0Jun 8, 2022 to Mar 31, 2023
- Custody of client assets · false to trueJun 8, 2022 to Mar 31, 2023
- Employees · 5 to 12Jun 8, 2022 to Mar 31, 2023
- Private funds · 2 to 3Jun 8, 2022 to Mar 31, 2023
- Discretionary RAUM · $371M to $415MJun 8, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $371M to $415MJun 8, 2022 to Mar 31, 2023
- RAUM · $371M to $415MJun 8, 2022 to Mar 31, 2023
- Accounts · 0 to 2Dec 13, 2021 to May 12, 2022
- Advisory employees · 4 to 5Dec 13, 2021 to May 12, 2022
- Pooled vehicle clients · 0 to 2Dec 13, 2021 to May 12, 2022
- Employees · 4 to 5Dec 13, 2021 to May 12, 2022
- Private funds · unset to 2Dec 13, 2021 to May 12, 2022
- Discretionary RAUM · $0 to $371MDec 13, 2021 to May 12, 2022
- Pooled vehicle RAUM · $0 to $371MDec 13, 2021 to May 12, 2022
- RAUM · $0 to $371MDec 13, 2021 to May 12, 2022
Signals
2 dated events
- Nmn Jia Yang (Chief Compliance Officer / Vp Of Finance) appeared on Schedule A of R•• I••• G•••• M••••••••• L••May 10, 2023 · Control person joined · fact
- R•• I••• G•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Dec 13, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R•• I••• G•••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- R•• I••• G•••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/red-iron-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- r•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 650-788-2608reportedpublic 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