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••••• E••••• A•••• M••••••••• L•
Latest filing Mar 27, 2026
First filing on the tape May 17, 2024 · 5 filings
SEC status approved since Jun 17, 2024
RAUM
$218M
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
8
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$218M as of Mar 27, 2026
Jan 30, 2025$165M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Jan 30, 20250 then
Employees (5.A)8 as of Mar 27, 2026
Jan 30, 20254 then
Private funds1 as of Mar 27, 2026
Jan 30, 20251 then
RAUM +33% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $72.8MderivedRAUM 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
- +33%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
- Custody
- $116M, 2 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$218M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $116M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••••• E••••• E••••• A•• M••••••• L••••• O••••••••• M••••• F••• L• | Hedge Fund | $84.1M | 5 | Oct 12, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• R•••• S•••••• · Principal / Limited Partnercontrolsince 06/2024 · owns 75% or more
- S•••••• D••••• · Partner, Chief Operating Officer And Chief Compliance Officercontrolsince 06/2024 · owns less than 5%
- B•••••• R•••• S•••••• · Managing Membercontrolsince 06/2024 · owns F of R••••• E••••• A•••• M••••••••• G• L••
Entity owners
- R••••• E••••• A•••• M••••••••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- R••••• E••••• E••••• A•• M••••••• L••••• O••••••••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $86.5M to $116MMar 28, 2025 to Mar 27, 2026
- Employees · 6 to 8Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $164M to $218MMar 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $164M to $218MMar 28, 2025 to Mar 27, 2026
- RAUM · $164M to $218MMar 28, 2025 to Mar 27, 2026
- Advisory employees · 3 to 4Jan 30, 2025 to Mar 28, 2025
- Assets in custody · $84.1M to $86.5MJan 30, 2025 to Mar 28, 2025
- Employees · 4 to 6Jan 30, 2025 to Mar 28, 2025
- Financial planning clients · unset to Jan 30, 2025 to Mar 28, 2025
- Discretionary RAUM · $165M to $164MJan 30, 2025 to Mar 28, 2025
- Pooled vehicle RAUM · $165M to $164MJan 30, 2025 to Mar 28, 2025
- RAUM · $165M to $164MJan 30, 2025 to Mar 28, 2025
- Accounts · unset to 3.0May 17, 2024 to Oct 12, 2024
- Pooled vehicle clients · unset to 3.0May 17, 2024 to Oct 12, 2024
- Assets in custody · $0 to $84.1MMay 17, 2024 to Oct 12, 2024
- Custody of client assets · false to trueMay 17, 2024 to Oct 12, 2024
- Private funds · unset to 1May 17, 2024 to Oct 12, 2024
- Discretionary RAUM · unset to 165420706.0May 17, 2024 to Oct 12, 2024
- Non-discretionary RAUM · unset to 0.0May 17, 2024 to Oct 12, 2024
- Pooled vehicle RAUM · unset to 165420706.0May 17, 2024 to Oct 12, 2024
- RAUM · unset to 165420706.0May 17, 2024 to Oct 12, 2024
- Related bank · false to trueMay 17, 2024 to Oct 12, 2024
Signals
1 dated events
- R••••• E••••• A•••• M••••••••• L• filed its initial SEC registration (Form ADV)May 17, 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
- Firm profile
- linkedin.com/company/ripple-effect-asset-managementreportedpublic record, Form ADV, Sep 19, 2026
- Website
- r•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 917-319-8088reportedpublic record, Form ADV, Mar 27, 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