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••••••••• A•••••••
Latest filing Mar 31, 2026
First filing on the tape Dec 5, 2011 · 35 filings
SEC status approved since Sep 4, 1984
RAUM
$8.6B
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
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$8.6B as of Mar 31, 2026
Sep 26, 2012$7.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Sep 26, 20120 then
Employees (5.A)7 as of Mar 31, 2026
Sep 26, 201310 then
Private funds: no history
RAUM -3.9% over the last fiscal year+7.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $333MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.9%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- 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)
- 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$6.4B74%
- Other investment advisers$2.2B26%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 26reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• M•••••• B•••• · Directorcontrolsince 11/2021 · owns less than 5%
- M•••••• R•••• · Chief Compliance Officercontrolsince 07/2017 · owns less than 5%
- N••••• K•••••• · Directorcontrolsince 11/2021 · owns less than 5%
- Q•••••• M•••••• · Directorcontrolsince 11/2021 · owns less than 5%
- R•••••• S••••• · Directorcontrolsince 07/2022 · owns less than 5%
- M•••••••• R•••••• · Directorsince 07/2022 · owns less than 5%
- O••••••••• A•••• D•••• · Directorsince 07/2022 · owns less than 5%
- S••••••• D••••••• E•••••••• · Directorsince 07/2022 · owns less than 5%
Entity owners
- F•• F•••••••• S••••••• H••••••• L•••••• · Shareholderdirect · owns 75% or more
- F•• L•••••• · Indirect Shareholderdirect · owns 75% or more
- F•• L•••••• · Shareholderindirect · owns 75% or more of Fil Financial Services Holdings Limited
- P••••••• A••••••••• I••• · General Partnerindirect · owns F of Pandanus Partners, L.P.
- P••••••• P•••••••• L••• · Shareholder (Class B Common Stock)indirect · owns 25% to 50% of Fil Limited
Related persons
Schedule D 7.A
- F••••••• G••••••investment advisern
- F••••••• I••••••••• C••••• U••investment advisern
- F•• ••••••••• S••investment advisern
- F•• A•••• M••••••••• •••••• L••••••investment advisern
- F•• F••• M••••••••• L••••••investment advisern
- Fil Investment Advisors (Uk) Ltd.investment advisernRAUM $3.5B
- F•• I••••••••• M••••••••• ••••••••• L••••••investment advisern
- F•• I••••••••• M••••••••• •••• K•••• L••••••investment advisern
- F•• I••••••••• M••••••••• ••••••••• L••••••investment advisern
- F•• I••••••••• S••••••• ••• L••••••investment advisern
- Fil Investments (Japan) Limitedinvestment advisern
- F•• I••••••••• I•••••••••investment advisern
- F•• L••••••investment advisery
- F•• P••••••• M•••••••••investment advisern
Advisers that list F•• I••••••••• A••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Hong Kong, China3 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- institutional asset share shiftChange between filings · filing Mar 31, 2026institutional share of RAUM moved from 47.0% to 26.0% between the annual amendments of 2025-04-01 and 2026-03-31peers: asset managers, $5B to $20B (684)
What changed
consecutive filings, newest first
- Accounts · 28 to 26Jun 17, 2025 to Mar 31, 2026
- Advisory employees · 3 to 4Jun 17, 2025 to Mar 31, 2026
- Pension plan clients · 6.0 to unsetJun 17, 2025 to Mar 31, 2026
- Employees · 6 to 7Jun 17, 2025 to Mar 31, 2026
- Discretionary RAUM · $9.0B to $8.6BJun 17, 2025 to Mar 31, 2026
- Pension RAUM · 718753752.0 to unsetJun 17, 2025 to Mar 31, 2026
- RAUM · $9.0B to $8.6BJun 17, 2025 to Mar 31, 2026
- Financial planning clients · unset to Apr 1, 2025 to Jun 17, 2025
- Accounts · 35 to 28Mar 29, 2024 to Apr 1, 2025
- Pension plan clients · unset to 6.0Mar 29, 2024 to Apr 1, 2025
- Financial planning clients · 0 to unsetMar 29, 2024 to Apr 1, 2025
- HQ state · unset to Mar 29, 2024 to Apr 1, 2025
- Discretionary RAUM · $9.0B to $9.0BMar 29, 2024 to Apr 1, 2025
- Pension RAUM · unset to 718753752.0Mar 29, 2024 to Apr 1, 2025
- RAUM · $9.0B to $9.0BMar 29, 2024 to Apr 1, 2025
- Accounts · 31 to 35Nov 23, 2023 to Mar 29, 2024
- Advisory employees · 2 to 3Nov 23, 2023 to Mar 29, 2024
- Advisory activities · 2 to 3Nov 23, 2023 to Mar 29, 2024
- Pension plan clients · 22.0 to unsetNov 23, 2023 to Mar 29, 2024
- Employees · 5 to 6Nov 23, 2023 to Mar 29, 2024
- Discretionary RAUM · $7.0B to $9.0BNov 23, 2023 to Mar 29, 2024
- Pension RAUM · 4470172230.0 to unsetNov 23, 2023 to Mar 29, 2024
- RAUM · $7.0B to $9.0BNov 23, 2023 to Mar 29, 2024
- Related bank · true to falseNov 23, 2023 to Mar 29, 2024
- Related broker-dealer · true to falseNov 23, 2023 to Mar 29, 2024
- Accounts · 5 to 31Oct 8, 2022 to Mar 31, 2023
- Advisory employees · 1 to 2Oct 8, 2022 to Mar 31, 2023
- Pension plan clients · 26 to 22Oct 8, 2022 to Mar 31, 2023
- Employees · 4 to 5Oct 8, 2022 to Mar 31, 2023
- Discretionary RAUM · $10.0B to $7.0BOct 8, 2022 to Mar 31, 2023
- Pension RAUM · $6.3B to $4.5BOct 8, 2022 to Mar 31, 2023
- RAUM · $10.0B to $7.0BOct 8, 2022 to Mar 31, 2023
- Pension plan clients · unset to 26.0Apr 28, 2022 to May 23, 2022
- Pension RAUM · $353M to $6.3BApr 28, 2022 to May 23, 2022
- Advisory employees · 2 to 1Jan 20, 2022 to Mar 31, 2022
- Employees · 5 to 4Jan 20, 2022 to Mar 31, 2022
- Financial planning clients · unset to 0Jan 20, 2022 to Mar 31, 2022
- Discretionary RAUM · $8.7B to $10.0BJan 20, 2022 to Mar 31, 2022
- Pension RAUM · $399M to $353MJan 20, 2022 to Mar 31, 2022
- RAUM · $8.7B to $10.0BJan 20, 2022 to Mar 31, 2022
Signals
6 dated events
- Fil Investment Advisors reported RAUM $9.0B, up 29% from $7.0B (2023-11-23 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- Fil Investment Advisors reported RAUM $7.0B, down 30% from $10.0B (2022-10-08 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Neal Turchiaro (Director) no longer on Schedule A of Fil Investment Advisors (listed 2022-05-23, absent 2022-10-03)Oct 3, 2022 · Control person left · inference
- Kerim Callberg Allan Pelvang (Director) no longer on Schedule A of Fil Investment Advisors (listed 2022-05-23, absent 2022-10-03)Oct 3, 2022 · Control person left · inference
- Alan Matthew Heath (Director) no longer on Schedule A of Fil Investment Advisors (listed 2022-05-23, absent 2022-10-03)Oct 3, 2022 · Control person left · inference
- Stacey Ramsay (Director) appeared on Schedule A of Fil Investment AdvisorsOct 3, 2022 · Control person joined · 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
- 441-295-0665reportedpublic record, Form ADV, Mar 31, 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