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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Former SEC-registered adviser
R•••••• I•••••
Legal name R•••••• I••••• P••••••••• L••••••
Latest filing Sep 27, 2024
First filing on the tape Mar 8, 2024 · 2 filings
RAUM
$4.7B
reported, Item 5.F
Discretionary
63%
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
37
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
$712M gross assets
History
2 filings and snapshots on the tape
RAUM$4.7B as of Sep 27, 2024
Mar 8, 2024$9.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 27, 2024
Mar 8, 20240 then
Employees (5.A)37 as of Sep 27, 2024
Mar 8, 202443 then
Private funds8 as of Sep 27, 2024
Mar 8, 20244 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 27, 2024; 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
- $108MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 63%derivedof RAUM
- Institutional
- 5.2%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
- 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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $4.7B, 43 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
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$3.7B79%
- Pooled investment vehicles$719M15%
- Pension and profit-sharing plans$243M5.2%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 19reported
- Charitable clients
- n/areported
- Accounts
- 43reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.7B for 43 clientsreported
- Compensation
- % of AUM, performancereported
- 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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O••••• O••••••••• C•••• F••• | Other Private Fund | $645M | 43 | Sep 16, 2022 |
| R•••••• I••••• D••• F••• | Private Equity Fund | $44.1M | 5 | Sep 16, 2022 |
| R•••••• E••••••• M•••••• E••••• F••• | Other Private Fund | $14.5M | 6 | Mar 8, 2024 |
| R•••••• C•••• E••••• F••• | Other Private Fund | $8.1M | 10 | Mar 8, 2024 |
| O••••• O••••••••• C•••• V•••••• C•••••• F••• | Venture Capital Fund | $1.1M | 6 | Sep 16, 2022 |
| A••••• W•••• I••••• F••• | Other Private Fund | $0 | 0 | Sep 16, 2022 |
| A•••••• W•••• P••••• M•••••• I•••••• F••• | Other Private Fund | $0 | 0 | Sep 16, 2022 |
| A•••••• W•••• P•••••• M•••••• I••••• F••• | Private Equity Fund | $0 | 0 | Sep 16, 2022 |
Owners and control persons
Schedule A and B, latest filing
- D• B•••• J••••••••• •••• · Chief Compliance Officercontrolsince 01/2016 · owns less than 5%
- G••••••••• J•••••• A•••• · Chief I•••••Ment Officercontrolsince 05/2010 · owns less than 5%
- S••••••••• G••••• K•••• · Directorcontrolsince 07/2021 · owns less than 5%
- S••••• R••••••• M••••••• · Finance Managercontrolsince 05/2010 · owns less than 5%
- V•• B•••••• A•••••• J••• · Chief Executive Officer And Chief Opertations Officercontrolsince 11/2019 · owns less than 5%
- G••••••••• J•••••• A•••• · Ordinary Shareholdercontrolsince 04/2003 · owns 50% to 75% of R•••••• H••••••• P••••••••• L••••••
- S••••• P•••••••• A••••••• · Directorsince 09/2016 · owns less than 5%
Entity owners
- R•••••• H••••••• S•••• A••••• P••••••••• L•••••• · Holding Companydirect · owns 75% or more
- R•••••• H••••••• P••••••••• L•••••• · Holding Companyindirect · owns 75% or more of R•••••• H••••••• S•••• A••••• P••••••••• L••••••
Related persons
Schedule D 7.A
- R•••••• S•••••••• ••••••••• L••investment adviserLP sponsorn
- R•••••• S•••••••• ••• L••investment adviserLP sponsorn
- R•••••• S•••••••• P••••••••• L••••••investment adviserLP sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 44 to 43Mar 8, 2024 to Sep 27, 2024
- Advisory employees · 10 to 13Mar 8, 2024 to Sep 27, 2024
- Pension plan clients · 21 to 19Mar 8, 2024 to Sep 27, 2024
- Pooled vehicle clients · 6 to 7Mar 8, 2024 to Sep 27, 2024
- Assets in custody · $6.8B to $4.7BMar 8, 2024 to Sep 27, 2024
- Employees · 43 to 37Mar 8, 2024 to Sep 27, 2024
- Private funds · 4 to 8Mar 8, 2024 to Sep 27, 2024
- Discretionary RAUM · $2.9B to $3.0BMar 8, 2024 to Sep 27, 2024
- Non-discretionary RAUM · $6.8B to $1.7BMar 8, 2024 to Sep 27, 2024
- Pension RAUM · $7.9B to $243MMar 8, 2024 to Sep 27, 2024
- Pooled vehicle RAUM · $698M to $719MMar 8, 2024 to Sep 27, 2024
- RAUM · $9.6B to $4.7BMar 8, 2024 to Sep 27, 2024
Signals
2 dated events
- R•••••• I••••• reported RAUM $4.7B, down 52% from $9.6B (2024-03-08 to 2024-09-27)Sep 27, 2024 · RAUM change · derived
- R•••••• I••••• filed its initial SEC registration (Form ADV)Mar 8, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R•••••• I••••• · Private Equityshared crd · organization
- R•••••• I••••• · Venture Capitalshared crd · organization
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026