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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
R•• C•••••• M••••••••• L••
Latest filing Sep 17, 2026
First filing on the tape Jan 22, 2024 · 8 filings
SEC status approved since Feb 20, 2024
RAUM
$132M
reported, Item 5.F
Discretionary
58%
of RAUM
Private clients
54%
$71.5M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$65.9M
derived; firm RAUM over IAPD count
Employees
2
2 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$132M as of Jul 16, 2026
Mar 31, 2025$105M then
HNW client RAUM$58.9M as of Jul 16, 2026
Mar 31, 2025$48.1M then
State-registered IARs (5.B.3)2 as of Jul 16, 2026
Mar 31, 20251 then
Employees (5.A)2 as of Jul 16, 2026
Mar 31, 20253 then
Private funds: no history
RAUM +26% over the last fiscal yearIARs 1 to 2
Practice profile
derived from the filing of Sep 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $65.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 23derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 58%derivedof RAUM
- Institutional
- 42%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +200%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.5%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- 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
- High-net-worth individuals$58.9M45%
- Pension and profit-sharing plans$54.9M42%
- Individuals$12.6M9.5%
- Corporations and businesses$5.4M4.1%
- Individual clients
- 25reported
- HNW clients
- 21reported
- Pension plan clients
- 39reported
- Charitable clients
- n/areported
- Accounts
- 91reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.54 fund_share=0.0 institutional_share=0.42 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• L••••• B•••••••• | Pittsford, Ny | Mar 3, 2026 | 15 y | 0 |
| K••• S•••• K••••• | Pittsford, Ny | Mar 3, 2026 | 14 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- A•• A•• R••• to U•••••• A••••••• I••Jun 18, 2026 · RIA to a newly registered adviser
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• W••••••• L••••• · Ownercontrolsince 12/2023 · owns 50% to 75%
- K•••••• K••• · Ownercontrolsince 12/2023 · owns 50% to 75%
- R•••• A••• A• · Chief Compliance Officer, Vice Presidentcontrolsince 12/2023 · owns less than 5%
Related persons
Schedule D 7.A
- K••• S• K•••••real estatey
- W•••••• L• B••••••••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Pittsford, Ny · principal | 2 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Sep 17, 2026institutional share of RAUM of 42% against a peer median of 0% (5676 comparable advisers, 98.0th percentile, 13.9 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 98% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 26-50 to 26-50Jul 16, 2026 to Sep 17, 2026
- Succession · false to unsetJul 16, 2026 to Sep 17, 2026
- Advisory employees · 3 to 2Apr 14, 2026 to Jun 18, 2026
- Employees · 3 to 2Apr 14, 2026 to Jun 18, 2026
- State-registered IARs · 3 to 2Apr 14, 2026 to Jun 18, 2026
- Advisory employees · 1 to 3Mar 31, 2025 to Mar 27, 2026
- Corporate clients · 7 to 6Mar 31, 2025 to Mar 27, 2026
- HNW clients · 19 to 21Mar 31, 2025 to Mar 27, 2026
- Pension plan clients · 40 to 39Mar 31, 2025 to Mar 27, 2026
- Assets in custody · $6.0M to $4.2MMar 31, 2025 to Mar 27, 2026
- HQ city · ROCHESTER to PITTSFORDMar 31, 2025 to Mar 27, 2026
- State-registered IARs · 1 to 3Mar 31, 2025 to Mar 27, 2026
- Discretionary RAUM · $64.1M to $76.9MMar 31, 2025 to Mar 27, 2026
- HNW RAUM · $48.1M to $58.9MMar 31, 2025 to Mar 27, 2026
- Individual RAUM · $8.3M to $12.6MMar 31, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $40.7M to $54.9MMar 31, 2025 to Mar 27, 2026
- Pension RAUM · $40.7M to $54.9MMar 31, 2025 to Mar 27, 2026
- RAUM · $105M to $132MMar 31, 2025 to Mar 27, 2026
- Related insurance company · true to falseMar 31, 2025 to Mar 27, 2026
- Accounts · 45 to 91Jun 17, 2024 to Mar 31, 2025
- Corporate clients · unset to 7.0Jun 17, 2024 to Mar 31, 2025
- HNW clients · 8 to 19Jun 17, 2024 to Mar 31, 2025
- Individual clients · 10 to 25Jun 17, 2024 to Mar 31, 2025
- Pension plan clients · 25 to 40Jun 17, 2024 to Mar 31, 2025
- Assets in custody · $626,665 to $6.0MJun 17, 2024 to Mar 31, 2025
- Employees · 1 to 3Jun 17, 2024 to Mar 31, 2025
- Financial planning clients · 11-25 to 26-50Jun 17, 2024 to Mar 31, 2025
- Discretionary RAUM · $32.8M to $64.1MJun 17, 2024 to Mar 31, 2025
- HNW RAUM · $25.8M to $48.1MJun 17, 2024 to Mar 31, 2025
- Individual RAUM · $5.7M to $8.3MJun 17, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $22.5M to $40.7MJun 17, 2024 to Mar 31, 2025
- Pension RAUM · $22.5M to $40.7MJun 17, 2024 to Mar 31, 2025
- RAUM · $55.4M to $105MJun 17, 2024 to Mar 31, 2025
- Accounts · 0 to 45Jan 22, 2024 to Jun 17, 2024
- HNW clients · unset to 8.0Jan 22, 2024 to Jun 17, 2024
- Individual clients · unset to 10.0Jan 22, 2024 to Jun 17, 2024
- Pension plan clients · unset to 25.0Jan 22, 2024 to Jun 17, 2024
- Assets in custody · unset to 626665.0Jan 22, 2024 to Jun 17, 2024
- Financial planning clients · 0 to 11-25Jan 22, 2024 to Jun 17, 2024
- Discretionary RAUM · $0 to $32.8MJan 22, 2024 to Jun 17, 2024
Signals
2 dated events
- A•• A•• R••• left R•• C•••••• M••••••••• L•• for U•••••• A••••••• I•• (registered 2026-06-05)Jun 18, 2026 · Advisor changed firm · fact
- R•• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 22, 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
- Business phone
- 585-673-2690reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/rdgcmreportedpublic record, Form ADV, Sep 18, 2026
- Website
- rdgcapitalmanagement.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 585-673-2690reportedpublic record, Form ADV, Sep 17, 2026
- Contact form
- rdgcapitalmanagement.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- rdgcapitalmanagement.com/teamreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $65.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026