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•••• M•••• P••••••• L••
Latest filing Apr 17, 2026
First filing on the tape Jul 16, 2024 · 9 filings
SEC status approved since Aug 15, 2024
RAUM
$265M
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
9 filings and snapshots on the tape
RAUM$265M as of Apr 17, 2026
Mar 31, 2025$248M then
HNW client RAUM$0 as of Apr 17, 2026
Mar 31, 2025$0 then
State-registered IARs (5.B.3)0 as of Apr 17, 2026
Mar 31, 20250 then
Employees (5.A)23 as of Apr 17, 2026
Mar 31, 202522 then
Private funds7 as of Apr 17, 2026
Mar 31, 20257 then
RAUM +6.8% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 17, 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
- $37.9MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.8%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
- 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$265M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 7reported
- 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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••••• H••••••• L• | Private Equity Fund | $49.9M | 1 | Dec 13, 2024 |
| B•••• H••••••• L• | Private Equity Fund | $49.7M | 1 | Dec 13, 2024 |
| S•••••• H••••••• L• | Private Equity Fund | $49.7M | 1 | Dec 13, 2024 |
| W•••••••• H••••••• L• | Private Equity Fund | $49.7M | 1 | Dec 13, 2024 |
| O•••••••• H••••••• L• | Private Equity Fund | $49.6M | 1 | Dec 13, 2024 |
| R•••• M•••• O••••••••• F••• I• L• | Private Equity Fund | $0 | 0 | Dec 13, 2024 |
| R•••• M•••• O••••••••• O••••••• F••• I• L• | Private Equity Fund | $0 | 0 | Dec 13, 2024 |
Owners and control persons
Schedule A and B, latest filing
- C••••• D••••••• S••••• · Principal And Cio Of Credit, 35% Owner Of R•••• M•••• P••••••• H••••••• L••controlsince 10/2024 · owns 25% to 50%
- F•••••• C••••••••• C•••••• · Principal, Cfo And Coo, 15% Owner Of R•••• M•••• P••••••• H••••••• L••controlsince 10/2024 · owns 10% to 25%
- G••••• J•••••• A••• · Principal, President And Ceo, 30% Owner Of R•••• M•••• P••••••• H••••••• L••controlsince 10/2024 · owns 25% to 50%
- T•••••• J•••••• M•••••• · Principal And Portfolio Manager, 20% Owner Of R•••• M•••• P••••••• H••••••• L••controlsince 10/2024 · owns 10% to 25%
- C••••• D••••••• S••••• · Voting Interest Holdercontrolsince 05/2024 · owns 25% to 50% of R•••• M•••• P••••••• H••••••• L••
- G••••• J•••••• A••• · Voting Interest Holdercontrolsince 05/2024 · owns 25% to 50% of R•••• M•••• P••••••• H••••••• L••
- B••••••••• C••••••••• J••• · Ccosince 09/2024 · owns less than 5%
Entity owners
- B•••• S••••• S•••••• L••• L•• · 10% Owner Of R•••• M•••• P••••••• T•••• L••direct · owns 10% to 25%
- O•••••••• S••••• S•••••• L••• L•• · 10% Owner Of R•••• M•••• P••••••• T•••• L••direct · owns 10% to 25%
- P••••••••• S••••• S•••••• L••• L•• · 10% Owner Of R•••• M•••• P••••••• T•••• L••direct · owns 10% to 25%
- R•••• M•••• P••••••• H••••••• L•• · 50% Owner Of R•••• M•••• Holdings T•••• LLCdirect · owns 50% to 75%
- R•••• M•••• P••••••• T•• C• L•• · 100% Owner Of R•••• M•••• P••••••• L••direct · owns 75% or more
- S•••••• S••••• S•••••• L••• L•• · 10% Owner Of R•••• M•••• P••••••• T•••• L••direct · owns 10% to 25%
- W•••••••• S••••• S•••••• L••• L•• · 10% Owner Of R•••• M•••• P••••••• T•••• L••direct · owns 10% to 25%
- C•••••• T•••• C•••••• •••••••• L•••••• · Trusteeindirect · owns F of T•• C••••••• T••••
- R•••• M•••• P••••••• H••••••• L•• · 50% Ownerindirect · owns 50% to 75% of R•••• M•••• P••••••• T•••• L••
- R•••• M•••• P••••••• T•••• L•• · 100% Ownerindirect · owns 75% or more of R•••• M•••• P••••••• H••••••• L••
- T•• C••••••• T•••• · 100% Ownerindirect · owns 75% or more of B•••• S••••• S•••••• L••• L••
- T•• C••••••• T•••• · 100% Ownerindirect · owns 75% or more of O•••••••• S••••• S•••••• L••• L••
- T•• C••••••• T•••• · 100% Ownerindirect · owns 75% or more of P••••••••• S••••• S•••••• L••• L••
- T•• C••••••• T•••• · 100% Ownerindirect · owns 75% or more of S•••••• S••••• S•••••• L••• L••
- T•• C••••••• T•••• · 100% Ownerindirect · owns 75% or more of W•••••••• S••••• S•••••• L••• L••
Related persons
Schedule D 7.A
- R•••• C•••••• M••••••••• L••investment advisernRAUM $139M
- R•••• C••••• C•••••• M••••••••• L••investment advisernRAUM $1.5B
- R•••• M•••• P••••••• G• I• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- New York, NY10 employees
- Santa Monica, CA7 employees
What changed
consecutive filings, newest first
- Advisory employees · 10 to 11Oct 29, 2025 to Mar 30, 2026
- Employees · 22 to 23Oct 29, 2025 to Mar 30, 2026
- Discretionary RAUM · $248M to $265MOct 29, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $248M to $265MOct 29, 2025 to Mar 30, 2026
- RAUM · $248M to $265MOct 29, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jul 18, 2025
- Advisory employees · 13 to 10Dec 17, 2024 to Mar 31, 2025
- Employees · 25 to 22Dec 17, 2024 to Mar 31, 2025
- Discretionary RAUM · $248M to $248MDec 17, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $248M to $248MDec 17, 2024 to Mar 31, 2025
- RAUM · $248M to $248MDec 17, 2024 to Mar 31, 2025
- Accounts · 0 to 7Sep 28, 2024 to Dec 13, 2024
- Pooled vehicle clients · 0 to 7Sep 28, 2024 to Dec 13, 2024
- HQ city · NEW YORK to PALM BEACH GARDENSSep 28, 2024 to Dec 13, 2024
- HQ state · NY to FLSep 28, 2024 to Dec 13, 2024
- Private funds · unset to 7Sep 28, 2024 to Dec 13, 2024
- Discretionary RAUM · $0 to $248MSep 28, 2024 to Dec 13, 2024
- Pooled vehicle RAUM · $0 to $248MSep 28, 2024 to Dec 13, 2024
- RAUM · $0 to $248MSep 28, 2024 to Dec 13, 2024
Signals
1 dated events
- R•••• M•••• P••••••• L•• filed its initial SEC registration (Form ADV)Jul 16, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R•••• M•••• P••••••• L•• · Independent Sponsorsshared crd · capital_provider
- R•••• M•••• P••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- ravencm.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-966-7926reportedpublic record, Form ADV, Apr 17, 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