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• G••••• M•••••• S•••••••• L••••••
Latest filing Mar 26, 2026
First filing on the tape Jun 6, 2023 · 8 filings
SEC status approved since Jul 6, 2023
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
117
92 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$0 as of Mar 26, 2026
Mar 27, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 29, 20240 then
Employees (5.A)117 as of Mar 26, 2026
Mar 29, 202497 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- otherreportedItem 5.E
- Advisory activities
- publications, otherreportedItem 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)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• B•• · Chief Financial Officercontrolsince 06/2014 · owns less than 5%
- H•••••• A•••• · Chief Compliance Officercontrolsince 06/2018 · owns less than 5%
- M••••••••• C••••••••• J•••• · Executive Directorcontrolsince 11/2023 · owns less than 5%
- S••••• J••• · Chairmancontrolsince 01/2021 · owns less than 5%
- Y••••• A••• · Chief Executive Officercontrolsince 10/2022 · owns less than 5%
Entity owners
- R••••••••• • C• C••••••••• H••••••• A• · Shareholderdirect · owns 75% or more
- C•••••••• H•••••• S••• · Shareholderindirect · owns 50% to 75% of R••••••••• • C• C••••••••• H••••••• A•
- P•••• O•••••• H•••••• B••••••• S•• · Shareholderindirect · owns 25% to 50% of R••••••••• • C• C••••••••• H••••••• A•
- R••••••••• • C• S•• · Shareholderindirect · owns 75% or more of P•••• O•••••• H•••••• B••••••• S••
Related persons
Schedule D 7.A
- F••• A••••• M••••••• •••• L••investment adviserpooled vehicle sponsornRAUM $994M
- F••• A••••• M••••••• N•••• A•••••• L••investment advisernRAUM $3.4B
- R•••••• ••••••• S•broker-dealery
- R•••••• •••• L••broker-dealery
- R••••••••• • C• I••••••••• M••••••• ••• P• P•••••••••investment adviserpooled vehicle sponsorn
- R••••••••• • C• U• I•••broker-dealern
Advisers that list R••••••••• • C• G••••• M•••••• S•••••••• L•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 95 to 92Dec 19, 2025 to Mar 26, 2026
- Business name · R••••••••• • C• R•••••• to R••••••••• • C• G••••• M•••••• S•••••••• L••••••Dec 19, 2025 to Mar 26, 2026
- Employees · 113 to 117Dec 19, 2025 to Mar 26, 2026
- Legal name · R•••••• ••••••• L•••••• to R••••••••• • C• G••••• M•••••• S•••••••• L••••••Jun 17, 2025 to Dec 19, 2025
- Business name · R•••••• A••••••• to R••••••••• • C• R••••••Mar 27, 2025 to Jun 17, 2025
- Financial planning clients · unset to Mar 27, 2025 to Jun 17, 2025
- Accounts · unset to 0.0Oct 14, 2024 to Mar 27, 2025
- Advisory employees · 91 to 95Oct 14, 2024 to Mar 27, 2025
- Employees · 97 to 113Oct 14, 2024 to Mar 27, 2025
- HQ state · unset to Oct 14, 2024 to Mar 27, 2025
- Discretionary RAUM · unset to 0.0Oct 14, 2024 to Mar 27, 2025
- Non-discretionary RAUM · unset to 0.0Oct 14, 2024 to Mar 27, 2025
- RAUM · unset to 0.0Oct 14, 2024 to Mar 27, 2025
- Business name · R•••••• ••••••• L•••••• to R•••••• A•••••••Aug 11, 2023 to Mar 29, 2024
Signals
3 dated events
- J••••• E•••• (Chairman) no longer on Schedule A of R••••••••• • C• G••••• M•••••• S•••••••• L•••••• (listed 2023-08-11, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- James Christopher Middleton (Executive Director) appeared on Schedule A of R••••••••• • C• G••••• M•••••• S•••••••• L••••••Mar 29, 2024 · Control person joined · fact
- R•••••• ••••••• L•••••• filed its initial SEC registration (Form ADV)Jun 6, 2023 · 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
- Website
- redburn.rothschildandco.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 44 20 7000 2020reportedpublic record, Form ADV, Mar 26, 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
- No RAUM reportedderiveda 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