{ "crd_number": 167126, "slug": "rfc-trading-llc-lakewood-nj-167126", "primary_business_name": "RFC TRADING, LLC", "legal_name": "RFC TRADING, LLC", "dbas": [ "RFC MANAGEMENT LLC" ], "city": "Lakewood", "state": "NJ", "country": "United States", "cbsa_code": "35620", "metro": { "cbsa_code": "35620", "common_name": "New York", "msa_name": "New York-Newark-Jersey City, NY-NJ", "path": "/advisors/ny/new-york" }, "registration_type": "exempt", "registration_status": "ERA - Active", "registration_date": "2013-03-20", "years_registered": 13, "period": "2026-10-01", "filing_date": "2025-03-05", "carried_forward": false, "raum_total": null, "raum_discretionary": null, "raum_non_discretionary": null, "raum_band": "not_reported", "raum_band_label": "Not reported", "total_employees": null, "advisory_employees": null, "client_count_bucket": null, "clients_by_type": null, "compensation_types": [], "advisory_activities": [], "wrap_fee_participant": null, "disclosure_yes_count": 8, "states_registered": [], "websites": [ "https://ditmasparkcapital.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/167126", "disclosure_items": [ { "item": "11.C(2)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?" }, { "item": "11.C(4)", "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.C(5)", "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?" }, { "item": "11.E(2)", "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?" }, { "item": "11.E(4)", "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?" }, { "item": "11.H(1)(a)", "question": "In the past ten years, has a domestic or foreign court issued an injunction against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.H(1)(b)", "question": "Has a domestic or foreign court ever found that the firm or an advisory affiliate was involved in a violation of investment-related statutes or regulations?" }, { "item": "11.H(1)(c)", "question": "Has a domestic or foreign court ever dismissed, under a settlement agreement, an investment-related civil action brought against the firm or an advisory affiliate by a state or foreign financial regulator?" } ], "city_as_filed": "LAKEWOOD", "url": "https://advisorcensus.com/firm/rfc-trading-llc-lakewood-nj-167126", "display_name": "RFC Trading, LLC", "summary": "RFC Trading, LLC is an exempt reporting adviser in Lakewood, NJ, filing reports since 2013. Exempt reporting advisers do not report regulatory assets under management on Form ADV.", "citation": "AdvisorCensus. RFC Trading, LLC (CRD 167126): Form ADV filing data as of October 2026.", "registration_type_label": "Exempt reporting adviser", "compensation_labels": [], "advisory_activity_labels": [], "quick_answers": [ { "q": "Where is RFC Trading, LLC located?", "a": "RFC Trading, LLC's principal office is in Lakewood, NJ, according to its Form ADV." }, { "q": "How does RFC Trading, LLC report to regulators?", "a": "RFC Trading, LLC is an exempt reporting adviser, filing reports since 2013. Exempt reporting advisers file a shorter Form ADV. Status as filed: ERA - Active. CRD 167126." }, { "q": "Does RFC Trading, LLC report any disciplinary disclosures?", "a": "Reports 8 disclosure items on Form ADV Item 11: yes answers to 5 questions about regulatory matters and 3 questions about civil court matters (11.C(2), 11.C(4), 11.C(5), 11.E(2), 11.E(4), 11.H(1)(a), 11.H(1)(b), 11.H(1)(c)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/167126" } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2021-03-17" }, { "period": "2022-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2022-03-22" }, { "period": "2023-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2023-03-29" }, { "period": "2024-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2024-03-22" }, { "period": "2025-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2025-03-05" }, { "period": "2026-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2025-03-05" } ], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/rfc-trading-llc-lakewood-nj-167126.md", "clients": [], "disclosure_line": "Reports 8 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/167126", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }