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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Former SEC-registered adviser

F•• G••••• L••

Former SEC-registered adviserCincinnati, OhioCRD 109478SEC 801-118286IAPD
Latest filing Feb 21, 2020
First filing on the tape Mar 28, 2012 · 15 filings
RAUM
$89.5M
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
5
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
$80.2M gross assets
History
15 filings and snapshots on the tape
RAUM$118M as of Mar 27, 2019
Mar 28, 2012$3.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2019
Mar 28, 20130 then
Employees (5.A)7 as of Mar 27, 2019
Mar 28, 201320 then
Private funds1 as of Mar 27, 2019
Mar 28, 20127 then
RAUM -29% over the last fiscal year-70% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 21, 2020; 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
$29.8MderivedRAUM 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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-6.4%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, otherreportedItem 5.G
Custody
$80.2M, 1 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$80.2M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$80.2M for 1 clientsreported
Compensation
% of AUM, fixed, performancereported
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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F•••••••• S••••• L•••••• P•••••••••Hedge Fund$80.2M53Mar 28, 2012
      F•••••••• S••••• C•••••• P••••••• I•• L•••no longer reportedPrivate Equity Fund$27.0M210Mar 28, 2012
      F•••••••• S••••• C•••••• P••••••• V• L•••no longer reportedPrivate Equity Fund$7.7M215Mar 28, 2012
      F•••••••• S••••• C•••••• P••••••• I• L•••no longer reportedPrivate Equity Fund$3.0M236Mar 28, 2012
      F•••••••• S••••• C•••••• P••••••• I• L•••no longer reportedPrivate Equity Fund$50,9820Mar 28, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • S••••• J•••• M•••••• · Manager, President, Chief Operating Officer & Chief Compliance Officercontrol
        since 05/1995 · owns less than 5%
      • S••••• S•••••• N••• · Manager, Chief Executive Officercontrol
        since 05/1995 · owns less than 5%
      • S••••• J•••• M•••••• · Shareholdercontrol
        since 05/2017 · owns 75% or more of W••••••• • V••••••••• I•••
      • S••••• J•••• M•••••• · Shareholdercontrol
        since 04/2008 · owns 25% to 50% of F•• G•••• H•••••••• I•••
      • S••••• S•••••• N••• · Shareholdercontrol
        since 05/2017 · owns 75% or more of 5••• E•• I•••
      • S••••• S•••••• N••• · Shareholdercontrol
        since 04/2008 · owns 50% to 75% of F•• G•••• H•••••••• I•••
      Entity owners
      • 5••• E•• I••• · Member
        direct · owns 25% to 50%
      • W••••••• • V••••••••• I••• · Member
        direct · owns 25% to 50%
      • F•• G•••• H•••••••• I••• · Member
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list F•• G••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Greenwich, CT1 employees
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 3
        Mar 27, 2019 to Feb 21, 2020
      • Advisory employees · 4 to 3
        Mar 27, 2019 to Feb 21, 2020
      • Assets in custody · $96.7M to $80.2M
        Mar 27, 2019 to Feb 21, 2020
      • Employees · 7 to 5
        Mar 27, 2019 to Feb 21, 2020
      • Discretionary RAUM · $118M to $89.5M
        Mar 27, 2019 to Feb 21, 2020
      • Pooled vehicle RAUM · $96.7M to $80.2M
        Mar 27, 2019 to Feb 21, 2020
      • RAUM · $118M to $89.5M
        Mar 27, 2019 to Feb 21, 2020
      • Accounts · 4 to 6
        Mar 28, 2018 to Mar 27, 2019
      • Pooled vehicle clients · 3 to 1
        Mar 28, 2018 to Mar 27, 2019
      • Assets in custody · $123M to $96.7M
        Mar 28, 2018 to Mar 27, 2019
      • Private funds · 2 to 1
        Mar 28, 2018 to Mar 27, 2019
      • Discretionary RAUM · $126M to $118M
        Mar 28, 2018 to Mar 27, 2019
      • Pooled vehicle RAUM · $123M to $96.7M
        Mar 28, 2018 to Mar 27, 2019
      • RAUM · $126M to $118M
        Mar 28, 2018 to Mar 27, 2019
      • Assets in custody · $172M to $123M
        Dec 7, 2017 to Mar 28, 2018
      • Discretionary RAUM · $174M to $126M
        Dec 7, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · $172M to $123M
        Dec 7, 2017 to Mar 28, 2018
      • RAUM · $174M to $126M
        Dec 7, 2017 to Mar 28, 2018
      • Accounts · 2 to 4
        Aug 18, 2017 to Dec 7, 2017
      • Pooled vehicle clients · unset to 3.0
        Aug 18, 2017 to Dec 7, 2017
      • Assets in custody · $185M to $172M
        Aug 18, 2017 to Dec 7, 2017
      • Other offices · unset to 2.0
        Aug 18, 2017 to Dec 7, 2017
      • Discretionary RAUM · $185M to $174M
        Aug 18, 2017 to Dec 7, 2017
      • Pooled vehicle RAUM · unset to 171718657.0
        Aug 18, 2017 to Dec 7, 2017
      • RAUM · $185M to $174M
        Aug 18, 2017 to Dec 7, 2017
      • Accounts · 16 to 2
        Apr 19, 2017 to Aug 18, 2017
      • Advisory employees · 7 to 4
        Apr 19, 2017 to Aug 18, 2017
      • Assets in custody · $250M to $185M
        Apr 19, 2017 to Aug 18, 2017
      • Employees · 11 to 7
        Apr 19, 2017 to Aug 18, 2017
      • Private funds · 3 to 2
        Apr 19, 2017 to Aug 18, 2017
      • Discretionary RAUM · $3.3B to $185M
        Apr 19, 2017 to Aug 18, 2017
      • RAUM · $3.3B to $185M
        Apr 19, 2017 to Aug 18, 2017
      • Related adviser · true to false
        Apr 19, 2017 to Aug 18, 2017
      • Accounts · 17 to 16
        Mar 29, 2016 to Mar 29, 2017
      • Advisory activities · 3 to 2
        Mar 29, 2016 to Mar 29, 2017
      • BD registered reps · 1 to 0
        Mar 29, 2016 to Mar 29, 2017
      • Assets in custody · $316M to $250M
        Mar 29, 2016 to Mar 29, 2017
      • Employees · 13 to 11
        Mar 29, 2016 to Mar 29, 2017
      • Discretionary RAUM · $3.4B to $3.3B
        Mar 29, 2016 to Mar 29, 2017
      • RAUM · $3.4B to $3.3B
        Mar 29, 2016 to Mar 29, 2017
      Signals
      3 dated events
      • F•• G••••• L•• filed its initial SEC registration (Form ADV)
        Feb 21, 2020 · First SEC registration · fact
      • Frederick Charles Croog (General Counsel & Chief Compliance Officer) no longer on Schedule A of F•• G••••• L•• (listed 2019-03-27, absent 2020-02-21)
        Feb 21, 2020 · Control person left · inference
      • David Alexander Warm (Shareholder) no longer on Schedule A of F•• G••••• L•• (listed 2018-03-28, absent 2019-03-27)
        Mar 27, 2019 · Control person left · inference
      Across DFX
      shared identifiers only, never a name match
      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