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••••••••• L••
Latest filing Feb 26, 2026
First filing on the tape Nov 28, 2023 · 7 filings
SEC status approved since Jan 2, 2024
RAUM
$108M
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
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$108M as of Feb 26, 2026
Feb 20, 2024$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 26, 2026
Feb 20, 20240 then
Employees (5.A)5 as of Feb 26, 2026
Feb 20, 20245 then
Private funds: no history
RAUM +77% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 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
- $108MderivedRAUM 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
- +77%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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
- Investment companies$108M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
- H•••••• R•••••• M•••••• · Chief Investment Officercontrolsince 10/2023 · owns less than 5%
- K•••••• S••••• P• · Chief Financial Officercontrolsince 10/2023 · owns less than 5%
- T••••••••• T•••• G••• · Chief Executive Officercontrolsince 10/2023 · owns less than 5%
- W••••••• C•••••• W••••• · Chief Compliance Officercontrolsince 10/2023 · owns less than 5%
- M••••••• K••••• P• · Membercontrolsince 10/2023 · owns 25% to 50% of M••••••••• L••
- M••••••• P••••••• D• · Membercontrolsince 10/2023 · owns 25% to 50% of M••••••••• L••
- M••••••• T••••••• J• · Membercontrolsince 10/2023 · owns 25% to 50% of M••••••••• L••
Entity owners
- M••••••••• L•• · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Feb 26, 2026RAUM (Item 5.F) moved from $60,746,010 to $107,816,345 (+77.0%) between the annual amendments of 2025-02-10 and 2026-02-26; the peer median change was +4.0% (1148 comparable advisers, 95.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 95% percentile
What changed
consecutive filings, newest first
- Discretionary RAUM · $60.7M to $108MFeb 10, 2025 to Feb 26, 2026
- RAUM · $60.7M to $108MFeb 10, 2025 to Feb 26, 2026
- Financial planning clients · unset to Sep 17, 2024 to Feb 10, 2025
- Discretionary RAUM · $21.1M to $60.7MSep 17, 2024 to Feb 10, 2025
- RAUM · $21.1M to $60.7MSep 17, 2024 to Feb 10, 2025
- Accounts · 0 to 1Feb 20, 2024 to Apr 8, 2024
- Business name · R•••• A•••• M••••••••• L•• to R••••• A•••• M••••••••• L••Feb 20, 2024 to Apr 8, 2024
- Legal name · R•••• A•••• M••••••••• L•• to R••••• A•••• M••••••••• L••Feb 20, 2024 to Apr 8, 2024
- Discretionary RAUM · $0 to $21.1MFeb 20, 2024 to Apr 8, 2024
- RAUM · $0 to $21.1MFeb 20, 2024 to Apr 8, 2024
Signals
1 dated events
- R•••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 28, 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
- Firm profile
- linkedin.com/company/river1-asset-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- river1.usreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 920-583-1476reportedpublic record, Form ADV, Feb 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
- 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