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•• I••••••••• M••••••••• ••• L••••••
Latest filing Jun 29, 2026
First filing on the tape Feb 22, 2012 · 93 filings
SEC status approved since May 11, 1987
RAUM
$26B
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
119
79 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
93 filings and snapshots on the tape
RAUM$26B as of Jun 29, 2026
Mar 28, 2012$13B then
HNW client RAUM$0 as of Mar 28, 2023
Mar 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Jun 29, 2026
Mar 28, 20120 then
Employees (5.A)119 as of Jun 29, 2026
Mar 27, 201386 then
Private funds4 as of Jun 29, 2026
Feb 20, 20264 then
RAUM +71% over the last fiscal year+21% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 29, 2026; 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
- $315MderivedRAUM 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
- +71%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 assets, fixed fees, commissions, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
- Custody
- $219M, 2 clientsreportedItem 9.A
- 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$13B50%
- Investment companies$11B42%
- Other investment advisers$2.3B8.8%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 82reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $219M for 2 clientsreported
- Compensation
- % of AUM, fixed, commissionsreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• S••••••••• J••• · Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- F•••••••• M•••• D•••• · Co-Chief Exective Officer, Directorcontrolsince 01/2012 · owns less than 5%
- J••••••• K•••• R••••• · Directorcontrolsince 12/2023 · owns less than 5%
- P••••••• J••••••••• · Directorcontrolsince 01/2023 · owns less than 5%
- R•••••••• V•••••••• P••••••• · Directorcontrolsince 11/2024 · owns less than 5%
- R•••••• C••••••••• J••• · Directorcontrolsince 01/2021 · owns less than 5%
- R••••••••• K•••••••• N•• · Co-Chief Executive Officer, Directorcontrolsince 08/2024 · owns less than 5%
- J•••••• I•• E•••••• C••••• · Elected M••••••controlsince 04/2006 · owns F of F•• L••
- J••••••• A••••••• P••••••••• · Elected M••••••controlsince 05/1994 · owns F of F•• L••
- M•••••• G•••••• J••• · Elected M••••••controlsince 10/2014 · owns F of F•• L••
- N•••• S••••••• C•••••• · Elected M••••••controlsince 04/2023 · owns F of F•• L••
- W•••••• M••••••• E••••• · Elected M••••••controlsince 10/2014 · owns F of F•• L••
- M••••••••• N•••••• J••• · Chief Legal Officersince 09/2024 · owns less than 5%
- T••••••• A•••••• J•••• · Compliance Officersince 12/2012 · owns less than 5%
Entity owners
- F••••••• M••••••••• • R••••••• C•••••• L•• · Shareholderdirect · owns 75% or more
- F•• L•• · Shareholderindirect · owns 75% or more of F••••••• M••••••••• • R••••••• C•••••• L••
Related persons
Schedule D 7.A
- 4• N•••• R••••••• P••••••• A••••••• I• L•pooled vehicle sponsorn
- 4• N•••• R••••••• P••••••• A••••••• L•pooled vehicle sponsorn
- A••••• V••••••• A••••••• I• L•••••• P•••••••••pooled vehicle sponsorn
- A•••••• V••••••• A••••••• V• L•••••• P•••••••••pooled vehicle sponsorn
- A••• V•••••• A••••••• F••• I• L•pooled vehicle sponsorn
- A••• V•••••• A••••••• F••• I• L•pooled vehicle sponsorn
- B•••••••• I••••••••• A••••••• L••investment advisernRAUM $11B
- D• C••••••• A••••••• F••• I• L•pooled vehicle sponsorn
- D• O••••••••• A••••••• F••• L•pooled vehicle sponsorn
- D•••••• B•••••••• S••••••• L••broker-dealern
- E••••• F••••••• I••••••••• L••• I•••••••• C••••••real estaten
- F•••••• C•••••• P••••••• H••••••••• A••••••• F••• I• L•pooled vehicle sponsorn
- F•••••• C•••••• P••••••• H••••••••• A••••••• F••• I•• L•pooled vehicle sponsorn
- F•••••• C•••••• P••••••• H••••••••• A••••••• F••• I• L•pooled vehicle sponsorn
- F•••••• C•••••• P••••••• H••••••••• A••••••• F••• I••• L•pooled vehicle sponsorn
- F•••••• C•••••• P••••••• H••••••••• A••••••• F••• L•pooled vehicle sponsorn
- F•••••• C•••••• P••••••• H••••••••• A••••••• F••• V• L•pooled vehicle sponsorn
- F•••••• C•••••• P••••••• H••• A••••••• F••• I• L•pooled vehicle sponsorn
- F•••••• C•••••• P••••••• H••• A••••••• F••• I•• L•pooled vehicle sponsorn
- F•••••• C•••••• P••••••• H••• A••••••• F••• L•pooled vehicle sponsorn
- F•••••• C•••••• P••••••• L••• S••••••• A••••••• F••• V• L•pooled vehicle sponsorn
- F•••••• C•••••• P••••••• L••• S••••••• A••••••• F••• V•• L•pooled vehicle sponsorn
- F•••••• C•••••• P••••••• L••• S••••••• A••••••• F••• V••• L•pooled vehicle sponsorn
- F•••••• C•••••• P••••••• T••• A••••••• F••• 2••• L•pooled vehicle sponsorn
- F•••••• C•••••• P••••••• T••• A••••••• F••• I• L•pooled vehicle sponsorn
- F•••••• C•••••• P••••••• T••• A••••••• F••• L•pooled vehicle sponsorn
- F••• I•••• F••• G•• L••bankpooled vehicle sponsorn
- F••• I••••••••• F•••• M••••••• L••bankpooled vehicle sponsorn
- F••• L••investment adviserbankLP sponsornRAUM $348B
- F••••••• B•••••••• S••••••• L••broker-dealern
Advisers that list F•• I••••••••• M••••••••• ••• L•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Jun 29, 2026performance-based compensation (Item 5.E.6): yes on the filing of 2026-05-15, no on the filing of 2026-06-29peers: ASSET_M••••••, $20B and over (512)
- RAUM up 50 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $15,110,004,725 to $25,824,758,880 (+71.0%) between the annual amendments of 2025-04-10 and 2026-03-30; the peer median change was +15.0% (470 comparable advisers, 94.0th percentile of changes)peers: ASSET_M••••••, $20B and over (470) · 94% percentile
What changed
consecutive filings, newest first
- Accounts · 62 to 82Feb 20, 2026 to Mar 30, 2026
- Advisory employees · 67 to 79Feb 20, 2026 to Mar 30, 2026
- Pooled vehicle clients · 6 to 13Feb 20, 2026 to Mar 30, 2026
- Assets in custody · $181M to $219MFeb 20, 2026 to Mar 30, 2026
- Employees · 122 to 119Feb 20, 2026 to Mar 30, 2026
- Discretionary RAUM · $15B to $26BFeb 20, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $6.0B to $13BFeb 20, 2026 to Mar 30, 2026
- RAUM · $15B to $26BFeb 20, 2026 to Mar 30, 2026
- Private funds · unset to 4Sep 3, 2025 to Feb 20, 2026
- Financial planning clients · unset to Apr 10, 2025 to May 21, 2025
- Accounts · 61 to 62Mar 3, 2025 to Apr 10, 2025
- Advisory employees · 62 to 67Mar 3, 2025 to Apr 10, 2025
- Assets in custody · $203M to $181MMar 3, 2025 to Apr 10, 2025
- Employees · 111 to 122Mar 3, 2025 to Apr 10, 2025
- Discretionary RAUM · $15B to $15BMar 3, 2025 to Apr 10, 2025
- Pooled vehicle RAUM · $5.9B to $6.0BMar 3, 2025 to Apr 10, 2025
- RAUM · $15B to $15BMar 3, 2025 to Apr 10, 2025
- HQ state · unset to Dec 10, 2024 to Jan 23, 2025
- Accounts · 53 to 61Jan 9, 2024 to Mar 28, 2024
- Advisory employees · 61 to 62Jan 9, 2024 to Mar 28, 2024
- Charity clients · 0.0 to unsetJan 9, 2024 to Mar 28, 2024
- Corporate clients · 0.0 to unsetJan 9, 2024 to Mar 28, 2024
- HNW clients · 0.0 to unsetJan 9, 2024 to Mar 28, 2024
- Individual clients · 0.0 to unsetJan 9, 2024 to Mar 28, 2024
- Pension plan clients · 0.0 to unsetJan 9, 2024 to Mar 28, 2024
- Pooled vehicle clients · 4 to 6Jan 9, 2024 to Mar 28, 2024
- Assets in custody · $283M to $203MJan 9, 2024 to Mar 28, 2024
- Employees · 100 to 111Jan 9, 2024 to Mar 28, 2024
- Discretionary RAUM · $15B to $15BJan 9, 2024 to Mar 28, 2024
- HNW RAUM · 0.0 to unsetJan 9, 2024 to Mar 28, 2024
- Individual RAUM · 0.0 to unsetJan 9, 2024 to Mar 28, 2024
- Pension RAUM · 0.0 to unsetJan 9, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $7.0B to $5.9BJan 9, 2024 to Mar 28, 2024
- RAUM · $15B to $15BJan 9, 2024 to Mar 28, 2024
- Assets in custody · $0 to $283MApr 10, 2023 to Jun 6, 2023
- Accounts · 42 to 53Feb 17, 2023 to Mar 28, 2023
- Advisory employees · 62 to 61Feb 17, 2023 to Mar 28, 2023
- Pooled vehicle clients · 5 to 4Feb 17, 2023 to Mar 28, 2023
- Commission compensation · false to trueFeb 17, 2023 to Mar 28, 2023
- Employees · 88 to 100Feb 17, 2023 to Mar 28, 2023
Signals
30 dated events
- F•• I••••••••• M••••••••• ••• L•••••• reported RAUM $25.8B, up 71% from $15.1B (2026-02-20 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- P••••••• V••••••• R••••••• (Director) appeared on Schedule A of F•• I••••••••• M••••••••• ••• L••••••Dec 10, 2024 · Control person joined · fact
- Nmn Karoline Rosenberg (Co-Chief Executive Officer, Director) appeared on Schedule A of F•• I••••••••• M••••••••• ••• L••••••Sep 3, 2024 · Control person joined · fact
- Joseph John Remondi (Elected Manager) no longer on Schedule A of F•• I••••••••• M••••••••• ••• L•••••• (listed 2024-01-09, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- M•••• N•••• B••••••••• (Co-Chief Executive Officer, Director) no longer on Schedule A of F•• I••••••••• M••••••••• ••• L•••••• (listed 2024-01-09, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- John Christopher Seabolt (Director) no longer on Schedule A of F•• I••••••••• M••••••••• ••• L•••••• (listed 2023-08-08, absent 2024-01-09)Jan 9, 2024 · Control person left · inference
- Robert Kyle Johnson (Director) appeared on Schedule A of F•• I••••••••• M••••••••• ••• L••••••Jan 9, 2024 · Control person joined · fact
- Charles Stephen Neff (Elected Manager) appeared on Schedule A of F•• I••••••••• M••••••••• ••• L••••••Jun 6, 2023 · Control person joined · fact
- F•• I••••••••• M••••••••• ••• L•••••• reported RAUM $14.7B, down 52% from $31.0B (2023-02-17 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- Jean-Philippe Provost (Director) appeared on Schedule A of F•• I••••••••• M••••••••• ••• L••••••Feb 17, 2023 · Control person joined · fact
- Jean Stephanie Brown (Chief Compliance Officer) appeared on Schedule A of F•• I••••••••• M••••••••• ••• L••••••Jan 23, 2023 · Control person joined · fact
- Matthew Kevin Meagher (Chief Compliance Officer) no longer on Schedule A of F•• I••••••••• M••••••••• ••• L•••••• (listed 2022-12-07, absent 2023-01-23)Jan 23, 2023 · Control person left · inference
- Charles James Curvey (Elected Manager) no longer on Schedule A of F•• I••••••••• M••••••••• ••• L•••••• (listed 2022-12-07, absent 2023-01-23)Jan 23, 2023 · Control person left · inference
- (Nmn) M••• S••••••• (Director) no longer on Schedule A of F•• I••••••••• M••••••••• ••• L•••••• (listed 2021-02-18, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- John Christopher Rimmer (Director) appeared on Schedule A of F•• I••••••••• M••••••••• ••• L••••••Feb 18, 2021 · Control person joined · fact
- George Robert Minicus (Director) no longer on Schedule A of F•• I••••••••• M••••••••• ••• L•••••• (listed 2021-01-02, absent 2021-01-14)Jan 14, 2021 · Control person left · inference
- M•••• N•••• B••••••••• (Co-Chief Executive Officer, Director) appeared on Schedule A of F•• I••••••••• M••••••••• ••• L••••••Jul 20, 2020 · Control person joined · fact
- Karl Eugen M•••us Eichacker (Co-Chief Executive Officer, Director) no longer on Schedule A of F•• I••••••••• M••••••••• ••• L•••••• (listed 2020-06-26, absent 2020-07-20)Jul 20, 2020 · Control person left · inference
- Dixon Michael Kopfler (Director) no longer on Schedule A of F•• I••••••••• M••••••••• ••• L•••••• (listed 2020-02-03, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Jean Paula Kienert (Director) no longer on Schedule A of F•• I••••••••• M••••••••• ••• L•••••• (listed 2020-02-03, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- (Nmn) James Pagliocco (Director) no longer on Schedule A of F•• I••••••••• M••••••••• ••• L•••••• (listed 2020-02-03, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Frank Joseph Desantis (Director) no longer on Schedule A of F•• I••••••••• M••••••••• ••• L•••••• (listed 2020-02-03, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Scott Jeffrey Mitchell (Director) no longer on Schedule A of F•• I••••••••• M••••••••• ••• L•••••• (listed 2020-02-03, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- George Robert Minicus (Director) appeared on Schedule A of F•• I••••••••• M••••••••• ••• L••••••Mar 30, 2020 · Control person joined · fact
- John Andrew Boyd (Director) no longer on Schedule A of F•• I••••••••• M••••••••• ••• L•••••• (listed 2019-10-23, absent 2019-12-14)Dec 14, 2019 · Control person left · inference
- Thomas Matthew Born (Director) no longer on Schedule A of F•• I••••••••• M••••••••• ••• L•••••• (listed 2019-10-23, absent 2019-12-14)Dec 14, 2019 · Control person left · inference
- Dixon Michael Kopfler (Director) appeared on Schedule A of F•• I••••••••• M••••••••• ••• L••••••Oct 23, 2019 · Control person joined · fact
- Scott Jeffrey Mitchell (Director) appeared on Schedule A of F•• I••••••••• M••••••••• ••• L••••••Oct 23, 2019 · Control person joined · fact
- F•• I••••••••• M••••••••• ••• L•••••• reported RAUM $22.2B, up 32% from $16.9B (2018-02-09 to 2018-03-28)Mar 28, 2018 · RAUM change · derived
- F••••••• M••••••••• • R••••••• ••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Apr 29, 2015 · Succession (Item 4) · fact
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
- Principal office phone
- 44(0)2071843500reportedpublic record, Form ADV, Jun 29, 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