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•• G• M•••••• L••
Latest filing Aug 27, 2026
First filing on the tape May 14, 2024 · 6 filings
SEC status approved since Jun 13, 2024
RAUM
$1.3B
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
71
19 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$1.3B as of Aug 27, 2026
Mar 29, 2025$977M then
HNW client RAUM$0 as of Aug 27, 2026
Mar 29, 2025$0 then
State-registered IARs (5.B.3)0 as of Aug 27, 2026
Mar 29, 20250 then
Employees (5.A)71 as of Aug 27, 2026
Mar 29, 202530 then
Private funds: no history
RAUM +34% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 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
- $653MderivedRAUM 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
- +34%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.3B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••••••••• M••••••• B• · Chief Executive Officercontrolsince 11/2022 · owns less than 5%
- S••••••• J••• N•••••• N•• · Chief Financial Officercontrolsince 11/2022 · owns less than 5%
- Z•••••• D••••• C•••• · Chief Legal Officer /Chief Compliance Officer / Secretarycontrolsince 04/2024 · owns less than 5%
Entity owners
- R• C••••• H••••• L•• · Sole Ownerdirect · owns 75% or more
- R•••• C•••••• C•••• · Managing Memberdirect · owns 75% or more · public reporting company
- R•••• C•••••• M••••••••• L•• · Sole Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- S••••••• A••••••• L••investment advisernRAUM $989M
- S••••••• C•••••• L•investment advisernRAUM $53B
Advisers that list R•• G• M•••••• L•• as a related person
- 334244 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count surgeChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 30.0 to 71.0 (+137.0%) between the annual amendments of 2025-03-29 and 2026-03-31; the peer median change was 0.0% (1109 comparable advisers, 100.0th percentile of changes)peers: ASSET_M••••••, $1B to $5B (1,109) · 100% percentile
What changed
consecutive filings, newest first
- Advisory employees · 10 to 19Dec 23, 2025 to Mar 31, 2026
- Employees · 30 to 71Dec 23, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.3B to $1.3BDec 23, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.3B to $1.3BDec 23, 2025 to Mar 31, 2026
- RAUM · $1.3B to $1.3BDec 23, 2025 to Mar 31, 2026
- Accounts · 1 to 2Mar 29, 2025 to Dec 23, 2025
- Pooled vehicle clients · 1 to 2Mar 29, 2025 to Dec 23, 2025
- Discretionary RAUM · $977M to $1.3BMar 29, 2025 to Dec 23, 2025
- Pooled vehicle RAUM · $977M to $1.3BMar 29, 2025 to Dec 23, 2025
- RAUM · $977M to $1.3BMar 29, 2025 to Dec 23, 2025
- Related bank · false to trueMar 29, 2025 to Dec 23, 2025
- Advisory employees · 20 to 10Jun 18, 2024 to Mar 29, 2025
- Employees · 50 to 30Jun 18, 2024 to Mar 29, 2025
- Financial planning clients · unset to Jun 18, 2024 to Mar 29, 2025
- Discretionary RAUM · $1.2B to $977MJun 18, 2024 to Mar 29, 2025
- Pooled vehicle RAUM · $1.2B to $977MJun 18, 2024 to Mar 29, 2025
- RAUM · $1.2B to $977MJun 18, 2024 to Mar 29, 2025
- Accounts · 0 to 1May 14, 2024 to Jun 18, 2024
- Pooled vehicle clients · 0 to 1May 14, 2024 to Jun 18, 2024
- Custody of client assets · false to trueMay 14, 2024 to Jun 18, 2024
- Discretionary RAUM · $0 to $1.2BMay 14, 2024 to Jun 18, 2024
- Pooled vehicle RAUM · $0 to $1.2BMay 14, 2024 to Jun 18, 2024
- RAUM · $0 to $1.2BMay 14, 2024 to Jun 18, 2024
Signals
2 dated events
- R•• G• M•••••• L•• reported RAUM $1.3B, up 30% from $977.3M (2025-03-29 to 2025-12-23)Dec 23, 2025 · RAUM change · derived
- R•• G• M•••••• L•• filed its initial SEC registration (Form ADV)May 14, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R•• G• M•••••• L•• · Family Officesshared crd · manager
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/rithm-capital-corpreportedpublic record, Form ADV, Sep 18, 2026
- Website
- rithmcap.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-850-7770reportedpublic record, Form ADV, Aug 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 M••••••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