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•• I••••••••• •••• L••
Latest filing Feb 20, 2015
First filing on the tape Mar 30, 2012 · 15 filings
RAUM
$141M
reported, Item 5.F
Discretionary
3.1%
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
16
16 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$4.4M gross assets
History
15 filings and snapshots on the tape
RAUM$141M as of Mar 31, 2014
Mar 30, 2012$286M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2014
Mar 27, 20130 then
Employees (5.A)16 as of Mar 31, 2014
Mar 27, 201323 then
Private funds1 as of Mar 31, 2014
Mar 30, 20122 then
RAUM -72% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 20, 2015; 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
- $70.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 3.1%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
- -72%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, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $4.3M, 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)
- 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.3M for 1 clientsreported
- Compensation
- % of AUM, 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
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M• T•• L••••••no longer reported | Hedge Fund | $94.7M | 2 | Mar 30, 2012 |
| F•• T••• H•••• L••••••no longer reported | Hedge Fund | $55.5M | 4 | Mar 30, 2012 |
| M•• M••••••••• L•••no longer reported | Hedge Fund | $24.5M | 9 | Mar 30, 2012 |
| M•• P••••••• M••••••• L••no longer reported | Hedge Fund | $9.0M | 7 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- K••••• S•••••• Y••••• · Treasurercontrolsince 01/2013 · owns less than 5%
- K••••••••• S••••••• E••••• · Secretarycontrolsince 01/2015 · owns less than 5%
- L• G•••• N••••• · Chief Compliance Officercontrolsince 11/2010 · owns less than 5%
- M••••••••• M••••••• · Presidentcontrolsince 10/2010 · owns less than 5%
Entity owners
- M•• I••••••••• H••••••• I••• · Sole Memberdirect · owns 75% or more
- E••• • F• M•• I••••••••• B• · Shareholderindirect · owns 75% or more of M•• I••••••••• U•• H••••••• I•••
- M•• G•••• H••••••• L•••••• · Shareholderindirect · owns 75% or more of E••• • F• M•• I••••••••• B•
- M•• G•••• P•• · Shareholderindirect · owns 75% or more of M•• S•••••••• H••••••• L••••••
- M•• G•••• U• L•••••• · Shareholderindirect · owns 75% or more of M•• G•••• H••••••• L••••••
- M•• I••••••••• F•••••• L•••••• · Shareholderindirect · owns 75% or more of M•• G•••• U• L••••••
- M•• I••••••••• U•• H••••••• I••• · Shareholderindirect · owns 75% or more of M•• I••••••••• H••••••• I•••
- M•• S•••••••• H••••••• L•••••• · Shareholderindirect · owns 75% or more of M•• I••••••••• F•••••• L••••••
Related persons
Schedule D 7.A
- A•• P••••••• L••investment adviserbanknRAUM $68B
- F•••••••• R••• M••••••••• L••••••investment advisern
- F•• I••••••••• M••••••••• L••••••investment adviserbankn
- G•• C•••••• M••••••••• L••bankpooled vehicle sponsorn
- G•• L••investment adviserbanknRAUM $7.0B
- G•• P••••••• I••••••••• G• L••investment adviserbankpooled vehicle sponsorn
- G•• P••••••• L•investment adviserbanknRAUM $65B
- M•• I••••••••• ••• A•investment advisern
- M•• I••••••••• ••• L••••••investment advisern
- M•• I••••••••• I•••broker-dealern
- M•• I••••••••• L••••••investment adviserbankn
- N•••••• I•••••••• L••investment adviserbanknRAUM $94B
- Man Solutions LLCinvestment adviserbanknRAUM $10B
Advisers that list F•• I••••••••• •••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5 to 2Aug 6, 2013 to Mar 31, 2014
- Advisory activities · 3 to 2Aug 6, 2013 to Mar 31, 2014
- BD registered reps · 5 to 0Aug 6, 2013 to Mar 31, 2014
- Assets in custody · $76.8M to $4.3MAug 6, 2013 to Mar 31, 2014
- Employees · 23 to 16Aug 6, 2013 to Mar 31, 2014
- Private funds · 3 to 1Aug 6, 2013 to Mar 31, 2014
- Discretionary RAUM · $82.3M to $4.4MAug 6, 2013 to Mar 31, 2014
- Non-discretionary RAUM · $425M to $136MAug 6, 2013 to Mar 31, 2014
- RAUM · $507M to $141MAug 6, 2013 to Mar 31, 2014
- Accounts · 7 to 5Jan 31, 2013 to Mar 27, 2013
- Advisory employees · 21 to 16Jan 31, 2013 to Mar 27, 2013
- BD registered reps · 6 to 5Jan 31, 2013 to Mar 27, 2013
- Assets in custody · $22.7M to $76.8MJan 31, 2013 to Mar 27, 2013
- Employees · 25 to 23Jan 31, 2013 to Mar 27, 2013
- Private funds · 5 to 3Jan 31, 2013 to Mar 27, 2013
- Discretionary RAUM · $251M to $82.3MJan 31, 2013 to Mar 27, 2013
- Non-discretionary RAUM · $454M to $425MJan 31, 2013 to Mar 27, 2013
- RAUM · $705M to $507MJan 31, 2013 to Mar 27, 2013
- Accounts · 6 to 7Sep 11, 2012 to Jan 2, 2013
- Advisory employees · unset to 21.0Sep 11, 2012 to Jan 2, 2013
- BD registered reps · unset to 6.0Sep 11, 2012 to Jan 2, 2013
- Assets in custody · $58.6M to $22.7MSep 11, 2012 to Jan 2, 2013
- Employees · unset to 25.0Sep 11, 2012 to Jan 2, 2013
- State-registered IARs · unset to 0.0Sep 11, 2012 to Jan 2, 2013
- Private funds · 2 to 5Sep 11, 2012 to Jan 2, 2013
- Discretionary RAUM · $119M to $251MSep 11, 2012 to Jan 2, 2013
- Non-discretionary RAUM · $167M to $454MSep 11, 2012 to Jan 2, 2013
- RAUM · $286M to $705MSep 11, 2012 to Jan 2, 2013
- Business name · M•• I••••••••• •••• L•• to F•• I••••••••• •••• L••Aug 10, 2012 to Sep 11, 2012
- Legal name · M•• I••••••••• •••• L•• to F•• I••••••••• •••• L••Aug 10, 2012 to Sep 11, 2012
Signals
No event on the tape.
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