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•• P••••••• ••• L••
Latest filing Apr 16, 2026
First filing on the tape Sep 18, 2024 · 8 filings
SEC status approved since Oct 28, 2024
RAUM
$105M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$52.7M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$105M as of Apr 16, 2026
Feb 19, 2025$100M then
HNW client RAUM$0 as of Apr 16, 2026
Feb 19, 2025$0 then
State-registered IARs (5.B.3)2 as of Apr 16, 2026
Feb 19, 20250 then
Employees (5.A)3 as of Apr 16, 2026
Feb 19, 20251 then
Private funds: no history
RAUM +4.9% over the last fiscal yearIARs 0 to 2
Practice profile
derived from the filing of Apr 16, 2026; every figure names its basis
- RAUM per advisor
- $52.7MderivedRAUM 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
- $15.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$105M100%
- 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
- n/areported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• J••• L••••Chartered Financial Analyst | Sydney Nsw | Nov 18, 2024 | 12 y | 0 |
| R••••• E••••• H•••• | Austin, Tx | Apr 20, 2026 | 10 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- R••••• E••••• H•••• from S••••••• C•••••• P••••••• I•••Apr 20, 2026 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••• F••••• · Director And Executivecontrolsince 08/2024 · owns less than 5%
- L••••• M•••••• · Chief Executive Officercontrolsince 08/2024 · owns less than 5%
- M•••••• B•••••• · Director And Executivecontrolsince 08/2024 · owns less than 5%
- Z•••• L•••• · Managing Partner Investment Services, Cfo, Director, Chief Compliance Officercontrolsince 08/2024 · owns less than 5%
Entity owners
- R•• P••••••• P•• L•••••• · 100% Shareholder Of R•• P••••••• ••• L••direct · owns 75% or more
- P•••••• C•••••• G•••• · Sole Shareholderindirect · owns 75% or more of T••••••• R•• P•• L••••••
- T••••••• R•• P•• L•••••• · Shareholderindirect · owns 25% to 50% of R•• P••••••• P•• L••••••
Related persons
Schedule D 7.A
- R•• C•••••• P•• L••••••investment advisern
- R•• P••••••• ••• L••••••investment advisern
Offices
Schedule D 1.F, the 25 largest
- New York, NY
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Apr 16, 2026discretionary share of RAUM of 0% against a peer median of 100% (1567 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: asset managers, $100M to $500M (1,567) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 6 to 7Feb 19, 2025 to Sep 26, 2025
- Advisory employees · 0 to 2Feb 19, 2025 to Sep 26, 2025
- Advisory activities · 1 to 2Feb 19, 2025 to Sep 26, 2025
- Pooled vehicle clients · 6 to 7Feb 19, 2025 to Sep 26, 2025
- Employees · 1 to 3Feb 19, 2025 to Sep 26, 2025
- State-registered IARs · 0 to 2Feb 19, 2025 to Sep 26, 2025
- Non-discretionary RAUM · $100M to $105MFeb 19, 2025 to Sep 26, 2025
- Pooled vehicle RAUM · $100M to $105MFeb 19, 2025 to Sep 26, 2025
- RAUM · $100M to $105MFeb 19, 2025 to Sep 26, 2025
- Related bank · false to trueFeb 19, 2025 to Sep 26, 2025
- Accounts · unset to 6.0Nov 11, 2024 to Feb 19, 2025
- Pooled vehicle clients · 0 to 6Nov 11, 2024 to Feb 19, 2025
- Financial planning clients · unset to Nov 11, 2024 to Feb 19, 2025
- HQ state · unset to Nov 11, 2024 to Feb 19, 2025
- Discretionary RAUM · unset to 0.0Nov 11, 2024 to Feb 19, 2025
- Non-discretionary RAUM · unset to 100449632.0Nov 11, 2024 to Feb 19, 2025
- Pooled vehicle RAUM · $0 to $100MNov 11, 2024 to Feb 19, 2025
- RAUM · unset to 100449632.0Nov 11, 2024 to Feb 19, 2025
- HQ city · NEW YORK to SYDNEY NSWSep 18, 2024 to Oct 11, 2024
- HQ state · NY to unsetSep 18, 2024 to Oct 11, 2024
Signals
1 dated events
- R•• P••••••• ••• L•• filed its initial SEC registration (Form ADV)Sep 18, 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
- Website
- rocp.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 61290991900reportedpublic record, Form ADV, Apr 16, 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
- $52.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026