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 Investment Management International, Inc.

Former SEC-registered adviserWashington, District of ColumbiaCRD 109625SEC 801-56086IAPD
Latest filing Jun 14, 2021
First filing on the tape Dec 23, 2011 · 27 filings
RAUM
$650M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$635M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$650M as of Dec 23, 2020
Dec 23, 2011$441M then
HNW client RAUM$635M as of Dec 23, 2020
Dec 22, 2017$0 then
State-registered IARs (5.B.3)0 as of Dec 23, 2020
Dec 21, 20120 then
Employees (5.A)5 as of Dec 23, 2020
Dec 21, 20124 then
Private funds: no history
RAUM -8.2% over the last fiscal year+3.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 14, 2021; 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
$2.9MderivedHNW RAUM over HNW clients
Average account
$2.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.3%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
-8.2%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-2.7%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • High-net-worth individuals$635M98%
  • Charitable organizations$15.1M2.3%
  • Corporations and businesses$195,6050.0%
Individual clients
0reported
HNW clients
219reported
Pension plan clients
0reported
Charitable clients
n/areported
Accounts
223reported
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 · Director, President & Ceocontrol
        since 11/2012 · owns less than 5%
      • Marshall John Dowd · Directorcontrol
        since 11/2017 · owns less than 5%
      • James Michael Hogan · Chief Financial Officercontrol
        since 12/2014 · owns less than 5%
      • Elderkin William Leffingwell · Regional Managing Director & Directorcontrol
        since 09/2002 · owns less than 5%
      • Ware Catesby Palmer · Managing Directorcontrol
        since 01/2011 · owns less than 5%
      • Adam Lawrence Sternkopf · Directorcontrol
        since 02/2015 · owns less than 5%
      • Mary Breda Beckerle · Chief Compliance Officer
        since 08/2004 · owns less than 5%
      • Steven Craig Tyle · Chief Legal Officer
        since 12/2006 · owns less than 5%
      Entity owners
      • Fiduciary International Holding, Inc. · Shareholder
        direct · owns 75% or more
      • Fiduciary Investment Corporation · Shareholder
        indirect · owns 75% or more of Fiduciary International Holding Inc.
      • 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 Investment Management International, Inc. as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 229 to 223
        Aug 25, 2020 to Dec 23, 2020
      • HNW clients · 225 to 219
        Aug 25, 2020 to Dec 23, 2020
      • Discretionary RAUM · $708M to $650M
        Aug 25, 2020 to Dec 23, 2020
      • HNW RAUM · $693M to $635M
        Aug 25, 2020 to Dec 23, 2020
      • RAUM · $708M to $650M
        Aug 25, 2020 to Dec 23, 2020
      • Accounts · 207 to 229
        May 21, 2019 to Dec 26, 2019
      • HNW clients · 204 to 225
        May 21, 2019 to Dec 26, 2019
      • Discretionary RAUM · $696M to $708M
        May 21, 2019 to Dec 26, 2019
      • HNW RAUM · $687M to $693M
        May 21, 2019 to Dec 26, 2019
      • Individual RAUM · unset to 0.0
        May 21, 2019 to Dec 26, 2019
      • RAUM · $696M to $708M
        May 21, 2019 to Dec 26, 2019
      • Accounts · 201 to 207
        Jun 13, 2018 to Dec 26, 2018
      • HNW clients · 0 to 204
        Jun 13, 2018 to Dec 26, 2018
      • Individual clients · 197 to 0
        Jun 13, 2018 to Dec 26, 2018
      • Insurance-licensed employees · 4 to 0
        Jun 13, 2018 to Dec 26, 2018
      • Discretionary RAUM · $589M to $696M
        Jun 13, 2018 to Dec 26, 2018
      • HNW RAUM · $0 to $687M
        Jun 13, 2018 to Dec 26, 2018
      • Individual RAUM · 572794313.0 to unset
        Jun 13, 2018 to Dec 26, 2018
      • RAUM · $589M to $696M
        Jun 13, 2018 to Dec 26, 2018
      • Accounts · 211 to 201
        Dec 23, 2016 to Dec 22, 2017
      • HNW clients · unset to 0.0
        Dec 23, 2016 to Dec 22, 2017
      • Individual clients · unset to 197.0
        Dec 23, 2016 to Dec 22, 2017
      • Pension plan clients · unset to 0.0
        Dec 23, 2016 to Dec 22, 2017
      • Pooled vehicle clients · unset to 0.0
        Dec 23, 2016 to Dec 22, 2017
      • Other offices · unset to 0.0
        Dec 23, 2016 to Dec 22, 2017
      • Discretionary RAUM · $558M to $589M
        Dec 23, 2016 to Dec 22, 2017
      • HNW RAUM · unset to 0.0
        Dec 23, 2016 to Dec 22, 2017
      • Individual RAUM · unset to 572794313.0
        Dec 23, 2016 to Dec 22, 2017
      • Pension RAUM · unset to 0.0
        Dec 23, 2016 to Dec 22, 2017
      • Pooled vehicle RAUM · unset to 0.0
        Dec 23, 2016 to Dec 22, 2017
      • RAUM · $558M to $589M
        Dec 23, 2016 to Dec 22, 2017
      • Accounts · 191 to 211
        Jul 21, 2016 to Dec 23, 2016
      • Discretionary RAUM · $586M to $558M
        Jul 21, 2016 to Dec 23, 2016
      • RAUM · $586M to $558M
        Jul 21, 2016 to Dec 23, 2016
      • Accounts · 197 to 191
        Apr 1, 2015 to Dec 18, 2015
      • Advisory employees · 2 to 1
        Apr 1, 2015 to Dec 18, 2015
      • Employees · 4 to 5
        Apr 1, 2015 to Dec 18, 2015
      • Discretionary RAUM · $556M to $586M
        Apr 1, 2015 to Dec 18, 2015
      • RAUM · $556M to $586M
        Apr 1, 2015 to Dec 18, 2015
      • Accounts · 208 to 197
        Dec 20, 2013 to Dec 19, 2014
      Signals
      1 dated events
      • Charles James Goodfellow (Chairman & Director) no longer on Schedule A of Fiduciary Investment Management International, Inc. (listed 2021-03-31, absent 2021-06-14)
        Jun 14, 2021 · Control person left · inference
      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