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 Jul 16, 2026
First filing on the tape Feb 23, 2024 · 11 filings
SEC status approved since Mar 22, 2024
RAUM
$218M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
76%
$166M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$218M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$218M as of Jul 16, 2026
Feb 18, 2025$138M then
HNW client RAUM$163M as of Jul 16, 2026
Feb 18, 2025$138M then
State-registered IARs (5.B.3)1 as of Jul 16, 2026
Feb 18, 20250 then
Employees (5.A)4 as of Jul 16, 2026
Feb 18, 20253 then
Private funds2 as of Jul 16, 2026
Feb 18, 20251 then
RAUM +15% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jul 16, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $218MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $3.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +17%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $52.5M, 12 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$163M75%
- Pooled investment vehicles$39.5M18%
- Charitable organizations$8.9M4.1%
- Individuals$3.4M1.6%
- Corporations and businesses$3.2M1.5%
- Individual clients
- 12reported
- HNW clients
- 44reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 63reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $52.5M for 12 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.76 fund_share=0.18 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••• C•••••••• K••••Chartered Financial Analyst | Alexandria, Va | Dec 6, 2024 | 45 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- P•••• C•••••••• K•••• from A••••• C•••••••••Dec 6, 2024 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• P••••• C•••••••• · Managing Member, Ccocontrolsince 12/2023 · owns 75% or more
Related persons
Schedule D 7.A
- A••••• C•••••••••investment adviseryRAUM $849M
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- client mix shiftChange between filings · filing Mar 31, 2026private-client share of RAUM moved from 94.0% to 76.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 92.0% to 75.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 83 to 63Jan 30, 2026 to Mar 31, 2026
- Advisory employees · 3 to 2Jan 30, 2026 to Mar 31, 2026
- Business name · R••••••••• C•••••• M••••••••• to R••••••••• A•••• M••••••••• L••Jan 30, 2026 to Mar 31, 2026
- HNW clients · 41 to 44Jan 30, 2026 to Mar 31, 2026
- Individual clients · 7 to 12Jan 30, 2026 to Mar 31, 2026
- Pooled vehicle clients · 0 to 2Jan 30, 2026 to Mar 31, 2026
- Assets in custody · $56.5M to $52.5MJan 30, 2026 to Mar 31, 2026
- Employees · 3 to 4Jan 30, 2026 to Mar 31, 2026
- Legal name · R••••••••• C•••••• M•••••••••, LLC to R••••••••• A•••• M••••••••• L••Jan 30, 2026 to Mar 31, 2026
- Discretionary RAUM · $189M to $218MJan 30, 2026 to Mar 31, 2026
- HNW RAUM · $175M to $163MJan 30, 2026 to Mar 31, 2026
- Individual RAUM · $2.5M to $3.4MJan 30, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · unset to 39494000.0Jan 30, 2026 to Mar 31, 2026
- RAUM · $189M to $218MJan 30, 2026 to Mar 31, 2026
- Accounts · 26 to 83Feb 18, 2025 to Mar 31, 2025
- HNW clients · 26 to 41Feb 18, 2025 to Mar 31, 2025
- Individual clients · 0 to 7Feb 18, 2025 to Mar 31, 2025
- Assets in custody · $68.0M to $56.5MFeb 18, 2025 to Mar 31, 2025
- Financial planning clients · unset to Feb 18, 2025 to Mar 31, 2025
- State-registered IARs · 0 to 1Feb 18, 2025 to Mar 31, 2025
- Private funds · 1 to 2Feb 18, 2025 to Mar 31, 2025
- Discretionary RAUM · $138M to $189MFeb 18, 2025 to Mar 31, 2025
- HNW RAUM · $138M to $175MFeb 18, 2025 to Mar 31, 2025
- Individual RAUM · unset to 2542000.0Feb 18, 2025 to Mar 31, 2025
- RAUM · $138M to $189MFeb 18, 2025 to Mar 31, 2025
- Related adviser · true to falseFeb 18, 2025 to Mar 31, 2025
- Private funds · unset to 1Nov 26, 2024 to Feb 18, 2025
- Assets in custody · unset to 67973000.0Jul 11, 2024 to Nov 26, 2024
- Custody of client assets · false to trueJul 11, 2024 to Nov 26, 2024
- Accounts · unset to 26.0May 29, 2024 to Jul 11, 2024
- Advisory employees · 1 to 3May 29, 2024 to Jul 11, 2024
- HNW clients · 0 to 26May 29, 2024 to Jul 11, 2024
- Employees · 1 to 3May 29, 2024 to Jul 11, 2024
- Discretionary RAUM · unset to 137891000.0May 29, 2024 to Jul 11, 2024
- HNW RAUM · unset to 137891000.0May 29, 2024 to Jul 11, 2024
- Non-discretionary RAUM · unset to 0.0May 29, 2024 to Jul 11, 2024
- RAUM · unset to 137891000.0May 29, 2024 to Jul 11, 2024
- Related adviser · false to trueFeb 23, 2024 to Mar 15, 2024
Signals
1 dated events
- R••••••••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)Feb 23, 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
- 571-982-5398reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- r•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 571.982.5398reportedpublic record, Form ADV, Jul 16, 2026
- Team page
- rockbridgeasset.com/our-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
- $218Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026