DFX Intelligence

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

FSI GROUP, LLC

CRD 109478

CINCINNATI, OH

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Search this name across graphsid dfx:ria:ca4fcc11-8845-fdcc-61a2-919873b28b22

Data as of Feb 21, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 3
On other graphs: 1
Observed: Mar 28, 2012 to Feb 21, 2020
15 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

FSI Group, LLC

Private equity manager · shared crd

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $89.5MItem 5.F on the latest filing (2020-02-21); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $89.5M
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: 5
Advisory employees: 3
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 3
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $80.2Mgross asset value as reported per fund; never fund size
Custody, client assets: $80.2M
SEC number: 801-118286
CRD: 109478
Filings on the tape: 15
First filed: Mar 28, 2012
Latest filed: Feb 21, 2020
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
FINANCIAL STOCKS LIMITED PARTNERSHIP	Hedge Fund	$80.2M	Feb 21, 2020	53	Mar 28, 2012	reported	021-81268
FINANCIAL STOCKS CAPITAL PARTNERS III L.P.	Private Equity Fund	$27.0M	Mar 30, 2015	210	Mar 28, 2012	dropped	021-59712
FINANCIAL STOCKS CAPITAL PARTNERS V L.P.	Private Equity Fund	$7.7M	Mar 28, 2018	215	Mar 28, 2012	dropped	021-10484
FINANCIAL STOCKS CAPITAL PARTNERS IV L.P.	Private Equity Fund	$3.0M	Apr 19, 2017	236	Mar 28, 2012	dropped	021-76280
FINANCIAL STOCKS CAPITAL PARTNERS II L.P.	Private Equity Fund	$50,982	Mar 26, 2014	0	Mar 28, 2012	dropped	021-51573

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
5217 EL, INC.	Member	C	yes	05/2017	Dec 7, 2017	Feb 21, 2020
STEIN, JOHN, MAGRISH	Shareholder	E	yes	05/2017	Mar 28, 2012	Feb 21, 2020
STEIN, JOHN, MAGRISH	MANAGER, PRESIDENT, CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER	Na	yes	05/1995	Mar 28, 2012	Feb 21, 2020
STEIN, JOHN, MAGRISH	Shareholder	C	yes	04/2008	Mar 28, 2012	Feb 21, 2020
STEIN, STEVEN, NEAL	Shareholder	E	yes	05/2017	Mar 28, 2012	Feb 21, 2020
STEIN, STEVEN, NEAL	Shareholder	D	yes	04/2008	Mar 28, 2012	Feb 21, 2020
STEIN, STEVEN, NEAL	MANAGER, CHIEF EXECUTIVE OFFICER	Na	yes	05/1995	Mar 28, 2012	Feb 21, 2020
WINTHROP & VALENTINE, INC.	Member	C	yes	05/2017	Dec 7, 2017	Feb 21, 2020
FSI GROUP HOLDINGS, INC.	Member	B	no	04/2008	Mar 28, 2012	Feb 21, 2020

Offices

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

City	State	Country	Employees	Also broker-dealer
Greenwich	Ct	United States	1	no
n/a	n/a	n/a	1	no

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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 27, 2019	$118M	$118M	7	4	2	1	$96.7M
2017	Mar 28, 2018	$126M	$126M	7	4	2	2	$123M
2016	Mar 29, 2017	$3.3B	$3.3B	11	7	n/a	3	$250M
2015	Mar 29, 2016	$3.4B	$3.4B	13	7	n/a	3	$316M
2014	Mar 30, 2015	$3.5B	$3.5B	19	9	n/a	4	$339M
2013	Mar 26, 2014	$3.7B	$3.7B	20	9	n/a	5	$412M
2012	Mar 28, 2013	$3.7B	$3.7B	20	9	n/a	5	$390M
2011	Mar 28, 2012	$3.8B	$3.8B	n/a	n/a	n/a	7	$398M

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
2018	$89.5M	$126M	-29.0%	$3.4B	-70.2%	5	7	2	2

Relationships

Advises (5)

→ FINANCIAL STOCKS LIMITED PARTNERSHIPPrivate fundHedge Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ FINANCIAL STOCKS CAPITAL PARTNERS V L.P.Private fundPrivate Equity Fund, IA, no longer reported
Mar 28, 2012 to Mar 28, 2018factForm ADV
→ FINANCIAL STOCKS CAPITAL PARTNERS IV L.P.Private fundPrivate Equity Fund, IA, no longer reported
Mar 28, 2012 to Apr 19, 2017factForm ADV
→ FINANCIAL STOCKS CAPITAL PARTNERS III L.P.Private fundPrivate Equity Fund, IA, no longer reported
Mar 28, 2012 to Mar 30, 2015factForm ADV
→ FINANCIAL STOCKS CAPITAL PARTNERS II L.P.Private fundPrivate Equity Fund, IA, no longer reported
Mar 28, 2012 to Mar 26, 2014factForm ADV

Controls (4)

← STEIN, STEVEN, NEALOwnerSHAREHOLDER, ownership code E, individual
Mar 28, 2012 to presentfactForm ADV
← STEIN, JOHN, MAGRISHOwnerSHAREHOLDER, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV
← 5217 EL, INC.OwnerMEMBER, ownership code C, domestic entity
Dec 7, 2017 to presentfactForm ADV
← WINTHROP & VALENTINE, INC.OwnerMEMBER, ownership code C, domestic entity
Dec 7, 2017 to presentfactForm ADV

Owns (1)

← FSI GROUP HOLDINGS, INC.OwnerMEMBER, ownership code B, domestic entity
Mar 28, 2012 to presentfactForm ADV

Affiliated with (1)

← ELBROOK HOLDINGSRegistered adviserother investment adviser, pooled vehicle sponsor, control
factForm ADV

Dated events

Occurred
Feb 21, 2020
First Form ADV filing
Fsi Group, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago
Occurred
Feb 21, 2020
Control person left
Frederick Charles Croog (General Counsel & Chief Compliance Officer) no longer on Schedule A of Fsi Group, Llc (listed 2019-03-27, absent 2020-02-21)
Form ADVobserved 6 days ago
Occurred
Mar 27, 2019
Control person left
David Alexander Warm (Shareholder) no longer on Schedule A of Fsi Group, Llc (listed 2018-03-28, absent 2019-03-27)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ca4fcc11-8845-fdcc-61a2-919873b28b22
First observed: Mar 28, 2012
Last observed: Feb 21, 2020 80 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.

FSI GROUP, LLC

CRD 109478

CINCINNATI, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ca4fcc11-8845-fdcc-61a2-919873b28b22

Data as of Feb 21, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:32 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

FINANCIAL STOCKS LIMITED PARTNERSHIP

Hedge Fund

$80.2M

Feb 21, 2020

Mar 28, 2012

reported

021-81268

FINANCIAL STOCKS CAPITAL PARTNERS III L.P.

Private Equity Fund

$27.0M

Mar 30, 2015

210

Mar 28, 2012

dropped

021-59712

FINANCIAL STOCKS CAPITAL PARTNERS V L.P.

Private Equity Fund

$7.7M

Mar 28, 2018

215

Mar 28, 2012

dropped

021-10484

FINANCIAL STOCKS CAPITAL PARTNERS IV L.P.

Private Equity Fund

$3.0M

Apr 19, 2017

236

Mar 28, 2012

dropped

021-76280

FINANCIAL STOCKS CAPITAL PARTNERS II L.P.

Private Equity Fund

$50,982

Mar 26, 2014

Mar 28, 2012

dropped

021-51573

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

5217 EL, INC.

Member

yes

05/2017

Dec 7, 2017

Feb 21, 2020

STEIN, JOHN, MAGRISH

Shareholder

yes

05/2017

Mar 28, 2012

Feb 21, 2020

STEIN, JOHN, MAGRISH

MANAGER, PRESIDENT, CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER

yes

05/1995

Mar 28, 2012

Feb 21, 2020

STEIN, JOHN, MAGRISH

Shareholder

yes

04/2008

Mar 28, 2012

Feb 21, 2020

STEIN, STEVEN, NEAL

Shareholder

yes

05/2017

Mar 28, 2012

Feb 21, 2020

STEIN, STEVEN, NEAL

Shareholder

yes

04/2008

Mar 28, 2012

Feb 21, 2020

STEIN, STEVEN, NEAL

MANAGER, CHIEF EXECUTIVE OFFICER

yes

05/1995

Mar 28, 2012

Feb 21, 2020

WINTHROP & VALENTINE, INC.

Member

yes

05/2017

Dec 7, 2017

Feb 21, 2020

FSI GROUP HOLDINGS, INC.

Member

04/2008

Mar 28, 2012

Feb 21, 2020

City

State

Country

Employees

Also broker-dealer

Greenwich

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 27, 2019

$118M

$96.7M

2017

Mar 28, 2018

$126M

$123M

2016

Mar 29, 2017

$3.3B

n/a

$250M

2015

Mar 29, 2016

$3.4B

n/a

$316M

2014

Mar 30, 2015

$3.5B

n/a

$339M

2013

Mar 26, 2014

$3.7B

n/a

$412M

2012

Mar 28, 2013

$3.7B

n/a

$390M

2011

Mar 28, 2012

$3.8B

n/a

$398M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$89.5M

$126M

-29.0%

$3.4B

-70.2%