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•••••• P•••••••• L••
Latest filing Apr 17, 2026
First filing on the tape Sep 13, 2023 · 5 filings
SEC status approved since Oct 5, 2023
RAUM
$16.2M
reported, Item 5.F
Discretionary
100%
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
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$16.2M as of Apr 17, 2026
Mar 26, 2024$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 17, 2026
Mar 26, 20240 then
Employees (5.A)6 as of Apr 17, 2026
Mar 26, 20244 then
Private funds1 as of Apr 17, 2026
Mar 26, 20242 then
RAUM +0.0% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 17, 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
- $16.2MderivedRAUM 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
- +0.0%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 pooled vehiclesreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- the adviser acts as qualified custodian (9.D.1)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$16.2M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••••••• V••••••• F•••• L• | Venture Capital Fund | $0 | 0 | Sep 13, 2023 |
| R•••••••• V••••••• F••• •••• L• | Venture Capital Fund | $0 | 0 | Sep 13, 2023 |
Owners and control persons
Schedule A and B, latest filing
- D•••••• S•••••• J••• · Sole Membercontrolsince 08/2023 · owns 75% or more
- M•••••• L••••• D•••• · Chief Compliance Officersince 08/2023 · owns less than 5%
Related persons
Schedule D 7.A
- I•• S••••••••• L••broker-dealern
- I•• W••••• M••••••••• L••investment advisernRAUM $9.8B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Mar 30, 2025 to Mar 23, 2026
- Employees · 4 to 6Mar 30, 2025 to Mar 23, 2026
- Private funds · 2 to 1Mar 30, 2025 to Mar 23, 2026
- Accounts · 0 to 1Mar 26, 2024 to Mar 30, 2025
- Pooled vehicle clients · unset to 1.0Mar 26, 2024 to Mar 30, 2025
- Financial planning clients · 0 to 0Mar 26, 2024 to Mar 30, 2025
- Discretionary RAUM · $0 to $16.2MMar 26, 2024 to Mar 30, 2025
- Pooled vehicle RAUM · unset to 16170000.0Mar 26, 2024 to Mar 30, 2025
- RAUM · $0 to $16.2MMar 26, 2024 to Mar 30, 2025
- Financial planning clients · unset to 0Sep 13, 2023 to Mar 26, 2024
Signals
1 dated events
- R•••••••• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Sep 13, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R•••••••• C•••••• P•••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- r•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-754-1310reportedpublic record, Form ADV, Apr 17, 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
- Asset manager (funds and pooled vehicles)deriveda 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