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.
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SEC-registered adviser
F••••• • T••••• A•••• M••••••••• I••
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2012 · 27 filings
SEC status approved since May 13, 1993
RAUM
$30B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
7.9%
$2.4B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
30
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$30B as of Mar 30, 2026
Mar 30, 2012$1.2B then
HNW client RAUM$392M as of Mar 30, 2026
Mar 28, 2018$180M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 30, 20120 then
Employees (5.A)30 as of Mar 30, 2026
Mar 28, 201319 then
Private funds1 as of Mar 29, 2017
Mar 30, 20121 then
RAUM +12% over the last fiscal year+23% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $30BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 5,756derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $4.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 30.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +29%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$25B84%
- Individuals$2.0B6.7%
- Charitable organizations$705M2.4%
- Pension and profit-sharing plans$531M1.8%
- State and municipal entities$520M1.7%
- Corporations and businesses$454M1.5%
- High-net-worth individuals$392M1.3%
- Pooled investment vehicles$153M0.5%
- Insurance companies$3.6M0.0%
- Banks and thrifts$460,8590.0%
- Individual clients
- 5,559reported
- HNW clients
- 197reported
- Pension plan clients
- 21reported
- Charitable clients
- 75reported
- Accounts
- 6,127reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $2.5B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.08 fund_share=0.83 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••••••• E••••• M••••• N•••••• M••••• F•••• L•••no longer reported | Hedge Fund | $21.6M | 12 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- F•••••• A•••• M••••••• · Co-Trustee Of F••••• R•••••••• Trustsince 05/1998 · owns 5% to 10%
- F•••••• R••••••• J•• · Board Member/Trustee Of F••••• R•••••••• Trustsince 04/1993 · owns 5% to 10%
- F•••••• T•••••• G••••• · Board Member/Partner/Director Of Sales, M•••••Ing & Client Servicesince 05/2000 · owns 10% to 25%
- G••••••••• R••••• B•••••• · Board Member/Managing Partner/Portfolio Managersince 06/2014 · owns 10% to 25%
- L••• R••••••• D•• · Board Member/Partner/Portfolio Managersince 11/2009 · owns 5% to 10%
- P•••••• D••••• M•••••• · Board Member/Partner/Portfolio Managersince 11/2009 · owns 10% to 25%
- S••••••• F••••••••• W•••••• · Board Member/Partner/Portfolio Managersince 01/1998 · owns 10% to 25%
- S•••••••• G•••••• E••••• · Board Member/Partner/Head Of Sales, M•••••Ing & Client Servicesince 01/2013 · owns 5% to 10%
- T•••••• R••••••• H• · Board Member/Principalsince 01/1998 · owns 5% to 10%
- T•••• Y••••• · Board Member/Partner/Head Of Risk Management & Investment Process Analystsince 07/2016 · owns 5% to 10%
- V•••••••• F••••••• · Board Member/Partner/Head Of Trading Operationssince 11/2009 · owns 5% to 10%
- Z•••••• H••••• W•• · Board Member/Partner/Chief Financial, Chief Legal, And Chief Compliance Officersince 05/2006 · owns 5% to 10%
- F•••••• A•••• M••••••• · Co-Trustee And Settlorsince 05/1998 · owns F of F••••• R•••••••• T•••• ••••••••• R•••••• J•• F••••• • A••• M••••••• F••••••
- F•••••• R••••••• J•• · Co-Trustee And Settlorsince 05/1998 · owns F of F••••• R•••••••• T•••• ••••••••• R•••••• J•• F••••• • A••• M••••••• F••••••
Entity owners
- F••••• R•••••••• T•••• ••••••••• R•••••• J•• F••••• • A••• M••••••• F•••••• · Shareholderdirect · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL2 employees
What changed
consecutive filings, newest first
- Accounts · 4,709 to 6,127Mar 27, 2025 to Mar 30, 2026
- Charity clients · 50 to 75Mar 27, 2025 to Mar 30, 2026
- Corporate clients · 166 to 235Mar 27, 2025 to Mar 30, 2026
- HNW clients · 492 to 197Mar 27, 2025 to Mar 30, 2026
- Individual clients · 3,970 to 5,559Mar 27, 2025 to Mar 30, 2026
- Pension plan clients · 11 to 21Mar 27, 2025 to Mar 30, 2026
- Pooled vehicle clients · 2 to 1Mar 27, 2025 to Mar 30, 2026
- Employees · 28 to 30Mar 27, 2025 to Mar 30, 2026
- State-registered IARs · 2 to 1Mar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $27B to $30BMar 27, 2025 to Mar 30, 2026
- HNW RAUM · $1.1B to $392MMar 27, 2025 to Mar 30, 2026
- Individual RAUM · $907M to $2.0BMar 27, 2025 to Mar 30, 2026
- Pension RAUM · $238M to $531MMar 27, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $176M to $153MMar 27, 2025 to Mar 30, 2026
- RAUM · $27B to $30BMar 27, 2025 to Mar 30, 2026
- Wrap assets (manager) · $2.1B to $2.5BMar 27, 2025 to Mar 30, 2026
- Accounts · 2,786 to 4,709Mar 27, 2024 to Mar 27, 2025
- Advisory employees · 12 to 11Mar 27, 2024 to Mar 27, 2025
- Charity clients · 38 to 50Mar 27, 2024 to Mar 27, 2025
- Corporate clients · 117 to 166Mar 27, 2024 to Mar 27, 2025
- HNW clients · 264 to 492Mar 27, 2024 to Mar 27, 2025
- Individual clients · 2,339 to 3,970Mar 27, 2024 to Mar 27, 2025
- Pension plan clients · 8 to 11Mar 27, 2024 to Mar 27, 2025
- Employees · 27 to 28Mar 27, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $20B to $27BMar 27, 2024 to Mar 27, 2025
- HNW RAUM · $878M to $1.1BMar 27, 2024 to Mar 27, 2025
- Individual RAUM · $633M to $907MMar 27, 2024 to Mar 27, 2025
- Pension RAUM · $311M to $238MMar 27, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $150M to $176MMar 27, 2024 to Mar 27, 2025
- RAUM · $20B to $27BMar 27, 2024 to Mar 27, 2025
- Wrap assets (manager) · $1.4B to $2.1BMar 27, 2024 to Mar 27, 2025
- Accounts · 2,440 to 2,786Mar 27, 2023 to Mar 26, 2024
- Advisory employees · 14 to 12Mar 27, 2023 to Mar 26, 2024
- Charity clients · 31 to 38Mar 27, 2023 to Mar 26, 2024
- Corporate clients · 120 to 117Mar 27, 2023 to Mar 26, 2024
- HNW clients · 182 to 264Mar 27, 2023 to Mar 26, 2024
- Individual clients · 2,046 to 2,339Mar 27, 2023 to Mar 26, 2024
- Pension plan clients · 46 to 8Mar 27, 2023 to Mar 26, 2024
- Employees · 21 to 27Mar 27, 2023 to Mar 26, 2024
Signals
3 dated events
- F••••• • T••••• A•••• M••••••••• I•• reported RAUM $27.1B, up 33% from $20.4B (2024-03-27 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- F••••• • T••••• A•••• M••••••••• I•• reported RAUM $17.6B, up 59% from $11.1B (2021-03-22 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- F••••• • T••••• A•••• M••••••••• I•• reported RAUM $9.8B, up 34% from $7.3B (2019-03-28 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/F•••••T•••••reportedpublic record, Form ADV, Sep 18, 2026
- Website
- F•••••T•••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 650-931-1500reportedpublic record, Form ADV, Mar 30, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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