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•• L••

Independent wealth managerStamford, ConnecticutCRD 318296SEC 801-123109IAPD
Latest filing Apr 30, 2026
First filing on the tape Dec 22, 2021 · 10 filings
SEC status approved since Jan 25, 2022
RAUM
$372M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
53%
$198M 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
10 filings and snapshots on the tape
RAUM$372M as of Apr 30, 2026
Mar 31, 2023$288M then
HNW client RAUM$198M as of Apr 30, 2026
Mar 28, 2024$121M then
State-registered IARs (5.B.3)0 as of Apr 30, 2026
Mar 31, 20230 then
Employees (5.A)6 as of Apr 30, 2026
Mar 31, 202311 then
Private funds1 as of Apr 30, 2026
Mar 31, 20231 then
RAUM +27% over the last fiscal year+8.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 30, 2026; every figure names its basis
Archetypes, each a printed rule
  • Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
  • Multi-family-office-like · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, average HNW client assets at least $25M, fewer than 200 HNW clients, and business name contains 'family office' or private funds are reported
  • RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
  • UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
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
$33.0MderivedHNW RAUM over HNW clients
Average account
$46.5MderivedRAUM 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
+27%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 individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$120M, 1 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$198M53%
  • Pooled investment vehicles$174M47%
Individual clients
n/areported
HNW clients
6reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$120M for 1 clientsreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.53 fund_share=0.47 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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•••• O••••••••• F••• L••Hedge Fund$118M7Dec 22, 2021
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••••• Z•••••• •••• · Chief Financial Officercontrol
        since 03/2021 · owns less than 5%
      • R•••••• J•••• D•••• · Managing Membercontrol
        since 03/2021 · owns 75% or more
      • R•••••• S••••••• E••••• · Chief Compliance Officer / Chief Operating Officercontrol
        since 03/2021 · 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
      • Discretionary RAUM · $377M to $372M
        Mar 27, 2026 to Apr 30, 2026
      • Pooled vehicle RAUM · $179M to $174M
        Mar 27, 2026 to Apr 30, 2026
      • RAUM · $377M to $372M
        Mar 27, 2026 to Apr 30, 2026
      • Accounts · 7 to 8
        May 9, 2025 to Mar 27, 2026
      • HNW clients · 5 to 6
        May 9, 2025 to Mar 27, 2026
      • Assets in custody · $116M to $120M
        May 9, 2025 to Mar 27, 2026
      • Discretionary RAUM · $293M to $377M
        May 9, 2025 to Mar 27, 2026
      • HNW RAUM · $145M to $198M
        May 9, 2025 to Mar 27, 2026
      • Pooled vehicle RAUM · $148M to $179M
        May 9, 2025 to Mar 27, 2026
      • RAUM · $293M to $377M
        May 9, 2025 to Mar 27, 2026
      • Financial planning clients · unset to
        Mar 28, 2025 to May 9, 2025
      • Advisory employees · 5 to 4
        May 7, 2024 to Mar 28, 2025
      • Assets in custody · $118M to $116M
        May 7, 2024 to Mar 28, 2025
      • Employees · 9 to 6
        May 7, 2024 to Mar 28, 2025
      • Discretionary RAUM · $271M to $293M
        May 7, 2024 to Mar 28, 2025
      • HNW RAUM · $121M to $145M
        May 7, 2024 to Mar 28, 2025
      • Pooled vehicle RAUM · $150M to $148M
        May 7, 2024 to Mar 28, 2025
      • RAUM · $271M to $293M
        May 7, 2024 to Mar 28, 2025
      • Assets in custody · $108M to $118M
        Dec 14, 2023 to Mar 28, 2024
      • Discretionary RAUM · $241M to $271M
        Dec 14, 2023 to Mar 28, 2024
      • HNW RAUM · $111M to $121M
        Dec 14, 2023 to Mar 28, 2024
      • Pooled vehicle RAUM · $130M to $150M
        Dec 14, 2023 to Mar 28, 2024
      • RAUM · $241M to $271M
        Dec 14, 2023 to Mar 28, 2024
      • Accounts · 2 to 7
        Mar 31, 2023 to Dec 14, 2023
      • Advisory activities · 1 to 2
        Mar 31, 2023 to Dec 14, 2023
      • HNW clients · unset to 5.0
        Mar 31, 2023 to Dec 14, 2023
      • Assets in custody · $218M to $108M
        Mar 31, 2023 to Dec 14, 2023
      • Employees · 11 to 9
        Mar 31, 2023 to Dec 14, 2023
      • Discretionary RAUM · $288M to $241M
        Mar 31, 2023 to Dec 14, 2023
      • HNW RAUM · unset to 111181214.0
        Mar 31, 2023 to Dec 14, 2023
      • Pooled vehicle RAUM · $288M to $130M
        Mar 31, 2023 to Dec 14, 2023
      • RAUM · $288M to $241M
        Mar 31, 2023 to Dec 14, 2023
      • Assets in custody · $293M to $218M
        May 18, 2022 to Mar 31, 2023
      • Discretionary RAUM · $373M to $288M
        May 18, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $373M to $288M
        May 18, 2022 to Mar 31, 2023
      • RAUM · $373M to $288M
        May 18, 2022 to Mar 31, 2023
      • Accounts · 1 to 2
        Dec 22, 2021 to May 18, 2022
      • Advisory employees · 6 to 5
        Dec 22, 2021 to May 18, 2022
      • Pooled vehicle clients · 1 to 2
        Dec 22, 2021 to May 18, 2022
      • Assets in custody · $207M to $293M
        Dec 22, 2021 to May 18, 2022
      Signals
      2 dated events
      • R•• L•• reported RAUM $373.4M, up 80% from $207.4M (2021-12-22 to 2022-05-18)
        May 18, 2022 · RAUM change · derived
      • R•• L•• filed its initial SEC registration (Form ADV)
        Dec 22, 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
      Principal office phone
      203-485-8800reportedpublic record, Form ADV, Apr 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
      Independent wealth managerderiveda 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