# RFC Trading, LLC

> 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.

- CRD: 167126
- Filed as: RFC TRADING, LLC
- Also doing business as: RFC MANAGEMENT LLC
- Reporting status: Exempt reporting adviser (status as filed: ERA - Active)
- Location: Lakewood, NJ
- Filing period: October 2026
- Form ADV filing dated: March 5, 2025
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/167126
- AdvisorCensus page: https://advisorcensus.com/firm/rfc-trading-llc-lakewood-nj-167126

## Quick answers

**Where is RFC Trading, LLC located?**
RFC Trading, LLC's principal office is in Lakewood, NJ, according to its Form ADV.

**How does RFC Trading, LLC report to regulators?**
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.

**Does RFC Trading, LLC report any disciplinary disclosures?**
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

## From the Form ADV filing

### Firm details
- Reporting since: 2013 (13 years)
- Employees: Not reported total, Not reported performing advisory functions
- Wrap fee program participation: Not reported
- Disclosures (Item 11): Reports 8 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(2): 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?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): 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?
- 11.E(2): 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?
- 11.E(4): 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?
- 11.H(1)(a): 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?
- 11.H(1)(b): 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?
- 11.H(1)(c): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/167126

### Websites listed on Form ADV (Item 1.I)
- ditmasparkcapital.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | Not reported | Not reported | March 17, 2021 |
| October 2022 | Not reported | Not reported | March 22, 2022 |
| October 2023 | Not reported | Not reported | March 29, 2023 |
| October 2024 | Not reported | Not reported | March 22, 2024 |
| October 2025 | Not reported | Not reported | March 5, 2025 |
| October 2026 | Not reported | Not reported | March 5, 2025 |


## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. RFC Trading, LLC (CRD 167126): Form ADV filing data as of October 2026.