DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Fiduciary International Inc

Former SEC-registered adviserNew York, New YorkCRD 105777SEC 801-18352IAPD
Latest filing Dec 23, 2016
First filing on the tape Dec 23, 2011 · 13 filings
RAUM
$19.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$19.9M as of Dec 23, 2016
Dec 23, 2011$157M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Dec 23, 2016
Dec 23, 20110 then
Employees (5.A)0 as of Dec 23, 2016
Dec 20, 20121 then
Private funds: no history
RAUM -91% over the last fiscal year-47% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 23, 2016; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$19.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-91%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 9.A
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Ehrick Gail Cohen · Directorcontrol
        since 04/2007 · owns less than 5%
      • Charles James Goodfellow · Chairman And Directorcontrol
        since 12/2009 · owns less than 5%
      • James Michael Hogan · Chief Financial Officercontrol
        since 12/2014 · owns less than 5%
      • James Ronald Sanchez · Chief Investment Officercontrol
        since 06/2014 · owns less than 5%
      • Adam Lawrence Sternkopf · Presidentcontrol
        since 07/2016 · owns less than 5%
      • Mary Breda Beckerle · Chief Compliance Officer
        since 08/2004 · owns less than 5%
      • Sterling Madison Gulley · Trading Officer
        since 11/2006 · owns less than 5%
      • Steven Craig Tyle · Chief Legal Officer
        since 12/2006 · owns less than 5%
      Entity owners
      • Fiduciary Investment Corporation · Shareholder
        direct · owns 75% or more
      • Fiduciary Trust Company International · Shareholder
        indirect · owns 75% or more of Fiduciary Investment Corporation
      • Franklin Resources, Inc. · Shareholder
        indirect · owns 75% or more of Fiduciary Trust Company International · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list Fiduciary International Inc as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory activities · 2 to 1
        Aug 18, 2016 to Dec 23, 2016
      • Discretionary RAUM · $19.4M to $19.9M
        Aug 18, 2016 to Dec 23, 2016
      • RAUM · $19.4M to $19.9M
        Aug 18, 2016 to Dec 23, 2016
      • Accounts · 3 to 1
        Feb 1, 2016 to Aug 18, 2016
      • Discretionary RAUM · $216M to $19.4M
        Feb 1, 2016 to Aug 18, 2016
      • RAUM · $216M to $19.4M
        Feb 1, 2016 to Aug 18, 2016
      • Discretionary RAUM · $195M to $216M
        Apr 8, 2015 to Dec 18, 2015
      • RAUM · $195M to $216M
        Apr 8, 2015 to Dec 18, 2015
      • Accounts · 4 to 3
        Jun 25, 2014 to Dec 19, 2014
      • Discretionary RAUM · $136M to $195M
        Jun 25, 2014 to Dec 19, 2014
      • RAUM · $136M to $195M
        Jun 25, 2014 to Dec 19, 2014
      • Accounts · 9 to 4
        Dec 20, 2012 to Dec 20, 2013
      • BD registered reps · 1 to 0
        Dec 20, 2012 to Dec 20, 2013
      • Employees · 1 to 0
        Dec 20, 2012 to Dec 20, 2013
      • Financial planning clients · 0 to unset
        Dec 20, 2012 to Dec 20, 2013
      • Discretionary RAUM · $130M to $136M
        Dec 20, 2012 to Dec 20, 2013
      • RAUM · $130M to $136M
        Dec 20, 2012 to Dec 20, 2013
      • BD registered reps · unset to 1.0
        Mar 30, 2012 to Dec 20, 2012
      • Employees · unset to 1.0
        Mar 30, 2012 to Dec 20, 2012
      • Discretionary RAUM · $144M to $130M
        Mar 30, 2012 to Dec 20, 2012
      • RAUM · $144M to $130M
        Mar 30, 2012 to Dec 20, 2012
      • Related bank · false to true
        Mar 30, 2012 to Dec 20, 2012
      • Assets in custody · unset to 0.0
        Dec 23, 2011 to Mar 30, 2012
      • Insurance-licensed employees · unset to 0.0
        Dec 23, 2011 to Mar 30, 2012
      • Discretionary RAUM · $157M to $144M
        Dec 23, 2011 to Mar 30, 2012
      • RAUM · $157M to $144M
        Dec 23, 2011 to Mar 30, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026