Legal & Regulatory

Disclosures &
Regulatory Information

RADIANX CAPITAL, LLC is committed to full transparency with respect to its regulatory status, business practices, potential conflicts, and material risks. The information on this page satisfies applicable disclosure requirements under the Investment Advisers Act of 1940 and related regulations.

Last reviewed: January 2025
Registration Advisory Relationship Investment Risks Conflicts of Interest Fees Documents Website Disclaimer
Important Notice

The information on this page is provided for informational and disclosure purposes only. It does not constitute investment, legal, tax, or financial advice. Reading these disclosures does not create an advisory relationship between you and RADIANX CAPITAL, LLC. Past performance is not indicative of future results. All investment strategies involve risk, including the possible loss of principal.

01

Firm Registration &
Regulatory Status

RADIANX CAPITAL, LLC is registered as an investment adviser with the U.S. Securities and Exchange Commission (SEC) under the Investment Advisers Act of 1940. The firm's registration became effective following the filing and approval of its Form ADV with the SEC.

SEC registration does not constitute an endorsement by the Commission, nor does it indicate that the adviser has attained a particular level of skill or ability. Registration simply means that the firm has met the requirements for registration and is subject to ongoing SEC oversight and examination.

Legal Entity Name
RADIANX CAPITAL, LLC
Entity Type
Limited Liability Company
SEC Registration Number
801-117100
CRD Number (FINRA)
298178
Employer Identification Number
82-3414149
Date of Establishment
November 13, 2017
Principal Office
529 5th Avenue, Suite 1475
New York, NY 10017
Direct Telephone
(646) 403-3807
Assets Under Management
Approximately $953,624,596
Per most recent Form ADV filing
Number of Employees
5

The firm's current Form ADV (Parts 1, 2A, and 2B) is filed with the SEC and available through the Investment Adviser Public Disclosure (IAPD) system at adviserinfo.sec.gov. Clients and prospective clients are encouraged to review the Form ADV in full prior to entering into any advisory relationship.

02

Nature of the
Advisory Relationship

RADIANX CAPITAL, LLC provides investment advisory services on a discretionary and non-discretionary basis to high-net-worth individuals, families, trusts, estates, and related entities. The firm acts as a fiduciary in all advisory relationships, meaning it is legally and ethically obligated to act solely in the best interests of its clients at all times.

Fiduciary Obligation

As an SEC-registered investment adviser, RADIANX CAPITAL, LLC owes a fiduciary duty to each advisory client. This duty requires the firm to act with utmost good faith, to disclose all material conflicts of interest, and to provide only investment advice that it reasonably believes to be in the best interest of each client, given the client's individual financial circumstances, investment objectives, and risk tolerance.

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Discretionary Management: In discretionary accounts, RADIANX CAPITAL, LLC has authority to make investment decisions on behalf of the client without prior approval for each transaction, subject to the investment policy statement and any written restrictions provided by the client.
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Non-Discretionary Advice: In non-discretionary engagements, the firm provides investment recommendations and financial planning advice, but all final investment decisions rest with the client.
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Suitability Assessment: Prior to providing advice, the firm conducts a thorough assessment of each client's financial situation, investment objectives, time horizon, liquidity needs, tax circumstances, and risk tolerance.
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Ongoing Monitoring: For ongoing advisory relationships, the firm provides continuous monitoring of client portfolios and financial plans, with formal reviews conducted at least annually.
03

Investment Risk
Disclosures

All investment strategies involve risk. The value of investments can decrease as well as increase, and clients may receive back less than the amount originally invested. Past performance is not a reliable indicator of future results. The following risks are material to investment strategies employed by RADIANX CAPITAL, LLC:

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Market Risk: The value of securities held in a portfolio may decline due to general market conditions, economic factors, geopolitical events, or changes in investor sentiment unrelated to the specific securities held.
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Interest Rate Risk: Changes in interest rates can adversely affect the value of fixed income securities and interest-rate-sensitive investments. Rising interest rates generally cause the value of existing bonds to decline.
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Credit Risk: The issuer of a debt security may be unable to make interest or principal payments, resulting in a loss of value. Credit risk is generally higher for securities rated below investment grade.
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Liquidity Risk: Certain investments — including alternative investments, private equity, and thinly traded securities — may be difficult to sell at a fair price, or may be subject to lock-up periods that restrict redemption.
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Concentration Risk: Portfolios that are concentrated in a limited number of securities, sectors, or geographies may experience greater volatility than broadly diversified portfolios.
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Tax Risk: Changes in tax legislation, regulations, or their interpretation may affect the after-tax returns of investments and the tax efficiency of financial planning strategies.
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Inflation Risk: The real value of investments may be eroded over time by inflation, particularly for fixed income securities and cash holdings with returns that do not keep pace with inflation.
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Alternative Investment Risk: Private equity, hedge funds, real assets, and other alternative investments involve unique risks including illiquidity, leverage, limited regulatory oversight, complex fee structures, and reduced transparency compared to publicly traded securities.
Performance Disclosure

Any reference to performance — historical, projected, or illustrative — is not a guarantee of future results. Investment returns and principal value will fluctuate, and an investor's account value at any given time may be worth more or less than the original amount invested. RADIANX CAPITAL, LLC does not guarantee any specific level of performance or that any investment objective will be achieved.

04

Conflicts of
Interest

As a fiduciary, RADIANX CAPITAL, LLC is required to identify, disclose, and — where possible — eliminate material conflicts of interest. The firm takes this obligation seriously and structures its business to minimize conflicts. The following disclosures address conflicts that may be relevant to clients:

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Fee-Only Compensation: RADIANX CAPITAL, LLC is compensated solely by client fees based on assets under management or fixed financial planning fees. The firm does not receive commissions, 12b-1 fees, referral fees, or any other compensation from third parties for recommending specific investment products or services. This fee structure eliminates the most common source of conflicts in the investment advisory industry.
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Related Party Transactions: The firm does not direct client assets into securities in which the firm or its principals have a financial interest without prior written disclosure to and consent from the affected client.
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Allocation of Investment Opportunities: When similar investment opportunities are available to multiple clients, the firm follows a fair and equitable allocation policy. The firm's Form ADV Part 2A describes the allocation procedures in detail.
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Outside Business Activities: Principals of the firm may engage in outside business activities. Material outside activities are disclosed in the firm's Form ADV and individual Form ADV Part 2B brochure supplements.
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Soft Dollar Arrangements: The firm does not maintain soft dollar arrangements. Brokerage commissions are used solely to compensate executing brokers for trade execution services, consistent with the firm's duty to seek best execution for client transactions.
05

Fee Structure &
Compensation

RADIANX CAPITAL, LLC charges fees based on the value of assets under management (AUM) for ongoing investment advisory relationships, and fixed or hourly fees for standalone financial planning engagements. The firm's complete fee schedule is set forth in its Form ADV Part 2A, which is provided to all prospective clients prior to engagement.

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AUM-Based Fees: Ongoing investment management fees are calculated as a percentage of assets under management, billed quarterly in advance or arrears as specified in the client agreement. The specific fee schedule applicable to each client is set forth in the executed investment advisory agreement.
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Financial Planning Fees: Fixed fees for comprehensive financial planning engagements are agreed upon in writing prior to the commencement of services, based on the scope and complexity of the engagement.
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Third-Party Costs: In addition to the firm's advisory fees, clients bear the costs of investment products held in their accounts, including mutual fund expense ratios, ETF fees, and brokerage commissions. These costs are separate from and in addition to RADIANX CAPITAL's advisory fees.
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Custodial Fees: Client assets are held in custody at third-party financial institutions. Custodians may charge account maintenance fees, transaction fees, and other charges. These fees are disclosed separately by the custodian and are not retained by RADIANX CAPITAL, LLC.
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No Performance Fees: RADIANX CAPITAL, LLC does not charge performance-based fees except where specifically agreed to in writing with qualified clients meeting the definition under Rule 205-3 of the Investment Advisers Act of 1940.
Higher Fees Disclosure

A client could potentially achieve equivalent or lower-cost investment outcomes through direct investment in mutual funds, ETFs, or other investment vehicles without engaging an investment adviser. The value proposition of advisory services lies in the coordination, customisation, tax optimisation, and ongoing oversight that an adviser provides — not merely in access to investment products.

07

Website
Disclaimer

The content published on the radianx.io website and its associated pages is provided for general informational purposes only. It does not constitute investment advice, financial planning advice, legal advice, tax advice, or any other form of professional advice. The information presented on this website should not be relied upon as a substitute for consultation with a qualified financial, legal, or tax professional.

Publication of content on this website does not constitute a solicitation to effect, or an attempt to effect, transactions in securities or the rendering of personalised investment advice for compensation. Any subsequent direct communication between RADIANX CAPITAL, LLC and a prospective client will be conducted by a representative who is registered or qualifies for an exemption from registration in the state where the prospective client resides.

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No Warranty: While reasonable care is taken to ensure the accuracy of information presented on this website, RADIANX CAPITAL, LLC makes no representation or warranty, express or implied, regarding the accuracy, completeness, or timeliness of such information.
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Third-Party Links: This website may contain links to third-party websites or resources. RADIANX CAPITAL, LLC does not endorse, control, or assume responsibility for the content, products, or services offered by any third-party website.
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No Client Relationship: Access to or use of this website does not create an advisory relationship between the user and RADIANX CAPITAL, LLC. An advisory relationship is established only through the execution of a written investment advisory agreement.
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Geographic Restrictions: RADIANX CAPITAL, LLC may only transact business in states in which it is registered or qualifies for an exemption or exclusion from registration. Information on this website is not directed to residents of any jurisdiction where the provision of investment advisory services would be contrary to applicable law.
08

Privacy
Notice

RADIANX CAPITAL, LLC respects the privacy of its clients and is committed to protecting personal information in accordance with applicable federal and state privacy laws, including Regulation S-P under the Securities Exchange Act of 1934. The firm collects, uses, and safeguards client personal information as described below.

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Information Collected: The firm collects personal and financial information provided by clients directly, including name, address, contact information, financial account details, tax identification numbers, investment objectives, and other information relevant to the provision of advisory services.
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Use of Information: Client information is used solely for the purpose of providing advisory services, maintaining client accounts, complying with legal and regulatory requirements, and communicating with clients regarding their accounts and the firm's services.
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Disclosure to Third Parties: The firm does not sell, rent, or share client personal information with unaffiliated third parties for marketing purposes. Information may be shared with service providers, custodians, and other parties as necessary to provide advisory services, or as required by law.
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Security: The firm maintains physical, electronic, and procedural safeguards designed to protect client information. Access to client information is restricted to personnel with a legitimate business need for such access.
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Full Privacy Policy: The firm's complete Privacy Policy is available upon request and is provided to clients annually as required by Regulation S-P. To request a copy, contact the firm at the details provided below.

Questions about
our disclosures
or services?

We welcome questions from prospective clients about our regulatory standing, fee structure, or business practices. Transparency is foundational to how we operate — not a compliance exercise.

Call (646) 403-3807 Send an Enquiry

RADIANX CAPITAL, LLC is an SEC-registered investment adviser (CRD# 298178 · SEC# 801-117100). Registration does not constitute an endorsement by the Commission. Investment advice involves risk including the possible loss of principal. Past performance is not indicative of future results. All content is for informational purposes only and does not constitute investment, legal, or tax advice. © 2025 RADIANX CAPITAL, LLC. All rights reserved.

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