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••••• C•••••• M••••••••• L••
Latest filing May 7, 2026
First filing on the tape May 31, 2024 · 8 filings
SEC status approved since Jul 1, 2024
RAUM
$1.5B
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
23
11 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
7
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$1.5B as of May 7, 2026
Mar 31, 2025$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 7, 2026
Mar 31, 20250 then
Employees (5.A)23 as of May 7, 2026
Mar 31, 202522 then
Private funds7 as of May 7, 2026
Mar 31, 20256 then
RAUM +10% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 7, 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
- $146MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.5B100%
- Charitable organizations$7.1M0.5%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 10reported
- Financial planning clients
- reported
- 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=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
- C••••• D••••••• S••••• · Principal And Cio Of Creditcontrolsince 03/2021 · owns 25% to 50%
- F•••••• C••••••••• C•••••• · Principal, Cfo And Coocontrolsince 05/2014 · owns 10% to 25%
- G••••• J•••••• A••• · Principal, President And Ceocontrolsince 09/2008 · owns 25% to 50%
- T•••••• J•••••• M•••••• · Principal And Portfolio Managercontrolsince 09/2008 · owns 10% to 25%
- B••••••••• C••••••••• J••• · Ccosince 09/2024 · owns less than 5%
Related persons
Schedule D 7.A
- R•••• C•••••• M••••••••• G• I• L••pooled vehicle sponsorn
- R•••• C•••••• M••••••••• L••investment advisernRAUM $139M
- R•• C• I• G• L••pooled vehicle sponsorn
Advisers that list R•••• C••••• C•••••• M••••••••• L•• as a related person
- 332058 n
Offices
Schedule D 1.F, the 25 largest
- Santa Monica, CA7 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $1.5B to $1.5BMar 30, 2026 to May 7, 2026
- Pooled vehicle RAUM · $1.5B to $1.5BMar 30, 2026 to May 7, 2026
- RAUM · $1.5B to $1.5BMar 30, 2026 to May 7, 2026
- Accounts · 8 to 10Oct 29, 2025 to Mar 30, 2026
- Advisory employees · 10 to 11Oct 29, 2025 to Mar 30, 2026
- Charity clients · 1 to 3Oct 29, 2025 to Mar 30, 2026
- Pension plan clients · 1.0 to unsetOct 29, 2025 to Mar 30, 2026
- Pooled vehicle clients · 6 to 7Oct 29, 2025 to Mar 30, 2026
- Employees · 21 to 23Oct 29, 2025 to Mar 30, 2026
- Private funds · 6 to 7Oct 29, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.3B to $1.5BOct 29, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $15.2M to $0Oct 29, 2025 to Mar 30, 2026
- Pension RAUM · 15175916.0 to unsetOct 29, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.3B to $1.5BOct 29, 2025 to Mar 30, 2026
- RAUM · $1.3B to $1.5BOct 29, 2025 to Mar 30, 2026
- Financial planning clients · unset to Jun 12, 2025 to Jul 18, 2025
- Accounts · 7 to 8Mar 31, 2025 to Jun 12, 2025
- Charity clients · unset to 1.0Mar 31, 2025 to Jun 12, 2025
- Employees · 22 to 21Mar 31, 2025 to Jun 12, 2025
- Discretionary RAUM · $1.3B to $1.3BMar 31, 2025 to Jun 12, 2025
- Pooled vehicle RAUM · $1.3B to $1.3BMar 31, 2025 to Jun 12, 2025
- RAUM · $1.3B to $1.3BMar 31, 2025 to Jun 12, 2025
- Accounts · 6 to 7Sep 28, 2024 to Mar 31, 2025
- Advisory employees · 13 to 10Sep 28, 2024 to Mar 31, 2025
- Pooled vehicle clients · 5 to 6Sep 28, 2024 to Mar 31, 2025
- Employees · 25 to 22Sep 28, 2024 to Mar 31, 2025
- Other offices · 1 to 2Sep 28, 2024 to Mar 31, 2025
- Private funds · 5 to 6Sep 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.2B to $1.3BSep 28, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $15.2M to $15.2MSep 28, 2024 to Mar 31, 2025
- Pension RAUM · $15.2M to $15.2MSep 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.2B to $1.3BSep 28, 2024 to Mar 31, 2025
- RAUM · $1.2B to $1.3BSep 28, 2024 to Mar 31, 2025
Signals
2 dated events
- Joseph Daniel Whitcomb (Chief Compliance Officer) no longer on Schedule A of R•••• C••••• C•••••• M••••••••• L•• (listed 2024-05-31, absent 2024-09-28)Sep 28, 2024 · Control person left · inference
- R•••• C••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 31, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R•••• C••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- R•••• C••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/raven-capital-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- r••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-966-7926reportedpublic record, Form ADV, May 7, 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