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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Former SEC-registered adviser

R•••• C••••••

Former SEC-registered adviserCRD 331724SEC 801-130546IAPD
Legal name R•••• C•••••• M••••••••• L••
Latest filing Oct 22, 2024
First filing on the tape May 24, 2024 · 3 filings
SEC status approved since Jun 24, 2024
RAUM
$45.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
33%
$15.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$45.0M as of Oct 22, 2024
May 24, 2024$0 then
HNW client RAUM: $15.0M
State-registered IARs (5.B.3)1 as of Oct 22, 2024
May 24, 20241 then
Employees (5.A)1 as of Oct 22, 2024
May 24, 20241 then
Private funds: no history
Practice profile
derived from the filing of Oct 22, 2024; every figure names its basis
RAUM per advisor
$45.0MderivedRAUM 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
$22.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
performance-basedreportedItem 5.E
Advisory activities
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$30.0M67%
  • High-net-worth individuals$15.0M33%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • R•••• M••••••• S• · Managing Partner And Ccocontrol
      since 02/2018 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    New York, Ny000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 0 to 2
      Jun 26, 2024 to Oct 22, 2024
    • Discretionary RAUM · $0 to $45.0M
      Jun 26, 2024 to Oct 22, 2024
    • HNW RAUM · unset to 15000000.0
      Jun 26, 2024 to Oct 22, 2024
    • RAUM · $0 to $45.0M
      Jun 26, 2024 to Oct 22, 2024
    • Business name · R•••• C•••••• M••••••••• to R•••• C••••••
      May 24, 2024 to Jun 26, 2024
    Signals
    3 dated events
    • R•••• C•••••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $45.0M)
      May 2, 2025 · Left the SEC roster · derived
    • M•••••• R••• left R•••• C•••••• for I•••••• I••••••••• M••••••••• L•• (registered 2025-07-03)
      Apr 21, 2025 · Advisor changed firm · fact
    • R•••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)
      May 24, 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.
    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
    Former SEC-registered adviserderiveda 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