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•• A•••• M••••••••• G•••• 4• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 26, 2024 · 6 filings
SEC status approved since May 21, 2024
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
9
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$0 as of Mar 31, 2026
Mar 31, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 31, 20251 then
Employees (5.A)9 as of Mar 31, 2026
Mar 31, 20259 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $0derivedRAUM 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
- 9.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, 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
- 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)
- marketing includes hypothetical performance (5.L.3)
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
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••• N••••••• J• · Chief Compliance Officercontrolsince 05/2020 · owns less than 5%
- L••••• R•••• P•••••• · Co-Ceocontrolsince 06/2018 · owns less than 5%
- R••••• J•••••• S•••• · Presidentcontrolsince 06/2018 · owns less than 5%
- T•••• M••••••• C•••••• · Co-Ceocontrolsince 06/2018 · owns less than 5%
- L••••• R•••• P•••••• · Trusteecontrolsince 06/2012 · owns F of T•• R•• L••••• T••••
- R••••• J•••••• S•••• · Trusteecontrolsince 09/2014 · owns F of T•• R•••• L••••• T••••
- T•••• M••••••• C•••••• · Trusteecontrolsince 06/2009 · owns F of W•••••••• T••••
Entity owners
- R•••• M••••• A•••• M•••••••• G••••• L•• · Memberdirect · owns 75% or more
- R•••• S••••• C•••••• M•••••• L•• · Non-Member M••••••direct · owns less than 5%
- R•••• S••••• C•••••• M••••••• L•• · Non Member M••••••indirect · owns F of R•••• M••••• A•••• M•••••••• G••••• L••
- S••••• R•••• H••••• I• L•• · Sole Memberindirect · owns 75% or more of R•••• S••••• C•••••• M•••••• L••
- T•• R•••• L••••• T•••• · Memberindirect · owns 25% to 50% of S••••• R•••• H••••• I• L••
- T•• R•• L••••• T•••• · Memberindirect · owns 25% to 50% of S••••• R•••• H••••• I• L••
- W•••••••• T•••• · Memberindirect · owns 25% to 50% of S••••• R•••• H••••• I• L••
Related persons
Schedule D 7.A
- R•••• S••••• C•••••• G• 3• L••pooled vehicle sponsorn
- R•••• S••••• C•••••• G• 4• L••pooled vehicle sponsorn
- R•• A•••• M•••••••• G•••• 3• L••investment advisern
- R•• A•••• M•••••••• G••••• L••investment advisern
- R•• I••••••••• A•••• M••••••••• G•••• 2• L••investment advisern
- R•• I••••••••• V••••••• 2• G•• L••pooled vehicle sponsorn
Advisers that list R•• A•••• M••••••••• G•••• 4• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Denver, CO2 employees
- , 1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Sep 27, 2024 to Mar 31, 2025
- State-registered IARs · 5 to 1Sep 27, 2024 to Mar 31, 2025
- Advisory employees · 2 to 5May 17, 2024 to Sep 27, 2024
- Employees · 5 to 9May 17, 2024 to Sep 27, 2024
- State-registered IARs · 0 to 5May 17, 2024 to Sep 27, 2024
- Other offices · 1 to 2May 17, 2024 to Sep 27, 2024
Signals
1 dated events
- R•• A•••• M••••••••• G•••• 4• L•• filed its initial SEC registration (Form ADV)Mar 26, 2024 · 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
- r•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 310-598-7070reportedpublic record, Form ADV, Mar 31, 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
Across the graphs
R•• A•••• M••••••••• G•••• 4• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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