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F•••••••• P•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

F•••••••• P•••••••• L••

CRD 301768

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Search this name across graphsid dfx:ria:c65bcf49-bc64-2508-0cf5-55ca4308c894

Data as of Jul 7, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 16
On other graphs: 0
Observed: Apr 4, 2019 to Jul 7, 2026
23 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=5.0
Regulatory AUM: $767MItem 5.F on the latest filing (2026-07-07); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $767M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• E•••• D••••	BOARD DIRECTOR	Na	yes	03/2019	Apr 4, 2019	Sep 3, 2024
C••••••• S••••• P••••	PRESIDENT; MANAGER BOARD MEMBER	B	yes	03/2019	Apr 4, 2019

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••• A•••• M••••••••• L••	n/a	Independent wealth	$79B	N	yes	n/a
C•••••• P••••••• L••	n/a	Asset manager	$2.8B	N	yes

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	3	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 7 of 8

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$767M	$739M	3.8%	$523M	13.6%	7	7	2	1

Relationships

Affiliated with (5)

← C•••••• A•••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← PEAKLINE PARTNERS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ T••• C•••••• M•••••••••Registered adviserother investment adviser, common control
factForm ADV
→ C•••••• A•••• M••••••••• L••Registered adviserother investment adviser, common control

Dated events

Occurred
Sep 3, 2024
Control person left
P•••• John Amboian (Board Director) no longer on Schedule A of F•••••••• P•••••••• L•• (listed 2024-08-21, absent 2024-09-03)
Form ADVobserved 6 days ago
Occurred
Sep 3, 2024
Control person left
A Mayo Shattuck (Board Director) no longer on Schedule A of F•••••••• P•••••••• L•• (listed 2024-08-21, absent 2024-09-03)
Form ADVobserved 6 days ago
Occurred
Sep 3, 2024
Control person left
Eric Paul Tramontano (Board Director) no longer on Schedule A of F•••••••• P•••••••• L•• (listed 2024-08-21, absent 2024-09-03)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c65bcf49-bc64-2508-0cf5-55ca4308c894
First observed: Apr 4, 2019
Last observed: Jul 7, 2026 2 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.