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.

Former SEC-registered adviser

Rutherford Capital, Inc.

Former SEC-registered adviserGranite Bay, CaliforniaCRD 319416SEC 801-123747IAPD
Latest filing Sep 22, 2022
First filing on the tape Mar 18, 2022 · 10 filings
RAUM
$10.5M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$10.5M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$10.5M as of Sep 22, 2022
Mar 18, 2022$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Sep 22, 2022
Mar 18, 20221 then
Employees (5.A)1 as of Sep 22, 2022
Mar 18, 20221 then
Private funds: no history
Practice profile
derived from the filing of Sep 22, 2022; every figure names its basis
RAUM per advisor
$10.5MderivedRAUM 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
$10.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
pension consultingreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$10.5M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
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
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Rutherford Michael Thompson · Managing Member & Chief Compliance Officercontrol
        since 04/2022 · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Related broker-dealer · true to false
        Aug 17, 2022 to Sep 8, 2022
      • BD registered reps · 0 to 1
        Jul 11, 2022 to Aug 17, 2022
      • Related broker-dealer · false to true
        Jul 11, 2022 to Aug 17, 2022
      • Accounts · 0 to 1
        Jun 14, 2022 to Jul 11, 2022
      • Non-discretionary RAUM · $0 to $10.5M
        Jun 14, 2022 to Jul 11, 2022
      • Pension RAUM · unset to 10500000.0
        Jun 14, 2022 to Jul 11, 2022
      • RAUM · $0 to $10.5M
        Jun 14, 2022 to Jul 11, 2022
      • Business name · RUTHERFORD CAPITAL, LLC to RUTHERFORD CAPITAL, INC.
        Apr 20, 2022 to Jun 1, 2022
      • Legal name · RUTHERFORD CAPITAL, LLC to RUTHERFORD CAPITAL, INC.
        Apr 20, 2022 to Jun 1, 2022
      • Organization form · Limited Liability Company to Corporation
        Apr 20, 2022 to Jun 1, 2022
      Signals
      1 dated events
      • Rutherford Capital, Llc filed its initial SEC registration (Form ADV)
        Mar 18, 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
      $10.5Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026