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••• C••••••••• L••
Latest filing Sep 13, 2024
First filing on the tape Mar 23, 2012 · 38 filings
RAUM
$171M
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
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
$173M gross assets
History
38 filings and snapshots on the tape
RAUM$171M as of Feb 14, 2024
Mar 23, 2012$871M then
HNW client RAUM$0 as of Mar 29, 2019
Mar 26, 2018$1.1B then
State-registered IARs (5.B.3)2 as of Feb 14, 2024
Mar 21, 20130 then
Employees (5.A)4 as of Feb 14, 2024
Mar 21, 201321 then
Private funds3 as of Feb 14, 2024
Mar 23, 20123 then
RAUM -2.3% over the last fiscal year-0.9% a year over threeIARs 2 to 2offices 0 to 1
Practice profile
derived from the filing of Sep 13, 2024; every figure names its basis
- RAUM per advisor
- $85.4MderivedRAUM 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
- $56.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.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$171M100%
- 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
- noreported
- 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
- E••••• H••••• R••••• to A••••• P•••••• W•••••• I•••Sep 28, 2016 · Other
Joined, latest
- E••••• H••••• R••••• from T•• M••••• F••• S••••Nov 28, 2014 · Other
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E•••••••• I••••••••• F•••• L• | Hedge Fund | $65.5M | 52 | Mar 23, 2012 |
| E•••••••• Q••••••••• L••• | Hedge Fund | $56.7M | 83 | Mar 23, 2012 |
| E•••••••• O••••••••• F••• L••• | Other Private Fund | $50.5M | 89 | Mar 21, 2013 |
| E•••••••• D••••••••• L•••no longer reported | Hedge Fund | $50.0M | 85 | Mar 23, 2012 |
Owners and control persons
Schedule A and B, latest filing
- F••••••••• C•••• A••••• · Partner & Ciocontrolsince 02/2014 · owns less than 5%
- P••••••• S••••••• T• · Partner / Coo & Ccocontrolsince 02/2009 · owns less than 5%
- F••••••••• C•••• A••••• · Shareholdercontrolsince 03/2019 · owns 50% to 75% of F•••••••• P•••••• L••
- P••••••• S••••••• T• · Shareholdercontrolsince 03/2019 · owns 50% to 75% of F•••••••• P•••••• L••
Entity owners
- F•••••••• P•••••• L•• · Holding Companydirect · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- HQ city · MELVILLE to unsetJun 20, 2024 to Sep 13, 2024
- HQ state · NY to unsetJun 20, 2024 to Sep 13, 2024
- Other offices · 0 to 1Mar 30, 2023 to Feb 14, 2024
- Discretionary RAUM · $175M to $171MMar 30, 2023 to Feb 14, 2024
- Pooled vehicle RAUM · $175M to $171MMar 30, 2023 to Feb 14, 2024
- RAUM · $175M to $171MMar 30, 2023 to Feb 14, 2024
- Discretionary RAUM · $188M to $175MNov 3, 2022 to Mar 16, 2023
- Pooled vehicle RAUM · $188M to $175MNov 3, 2022 to Mar 16, 2023
- RAUM · $188M to $175MNov 3, 2022 to Mar 16, 2023
- Insurance-licensed employees · 0 to 2Feb 26, 2021 to Feb 18, 2022
- State-registered IARs · 0 to 2Feb 26, 2021 to Feb 18, 2022
- Discretionary RAUM · $176M to $188MFeb 26, 2021 to Feb 18, 2022
- Pooled vehicle RAUM · $176M to $188MFeb 26, 2021 to Feb 18, 2022
- RAUM · $176M to $188MFeb 26, 2021 to Feb 18, 2022
- Accounts · 257 to 3Jun 4, 2020 to Feb 26, 2021
- Assets in custody · 184061028.0 to unsetJun 4, 2020 to Feb 26, 2021
- Employees · 5 to 4Jun 4, 2020 to Feb 26, 2021
- Discretionary RAUM · $184M to $176MJun 4, 2020 to Feb 26, 2021
- Pooled vehicle RAUM · $184M to $176MJun 4, 2020 to Feb 26, 2021
- RAUM · $184M to $176MJun 4, 2020 to Feb 26, 2021
- Related adviser · false to trueJun 4, 2020 to Feb 26, 2021
- Accounts · 3 to 257Jan 13, 2020 to Mar 16, 2020
- Charity clients · 0.0 to unsetJan 13, 2020 to Mar 16, 2020
- Corporate clients · 0.0 to unsetJan 13, 2020 to Mar 16, 2020
- HNW clients · 0.0 to unsetJan 13, 2020 to Mar 16, 2020
- Individual clients · 0.0 to unsetJan 13, 2020 to Mar 16, 2020
- Pension plan clients · 0.0 to unsetJan 13, 2020 to Mar 16, 2020
- Assets in custody · unset to 184061028.0Jan 13, 2020 to Mar 16, 2020
- Employees · 4 to 5Jan 13, 2020 to Mar 16, 2020
- Financial planning clients · 0 to unsetJan 13, 2020 to Mar 16, 2020
- HQ city · LAKE SUCCESS to MELVILLEJan 13, 2020 to Mar 16, 2020
- Discretionary RAUM · $180M to $184MJan 13, 2020 to Mar 16, 2020
- HNW RAUM · 0.0 to unsetJan 13, 2020 to Mar 16, 2020
- Individual RAUM · 0.0 to unsetJan 13, 2020 to Mar 16, 2020
- Pension RAUM · 0.0 to unsetJan 13, 2020 to Mar 16, 2020
- Pooled vehicle RAUM · $180M to $184MJan 13, 2020 to Mar 16, 2020
- RAUM · $180M to $184MJan 13, 2020 to Mar 16, 2020
- Other offices · 1 to 0Sep 25, 2019 to Jan 13, 2020
- BD registered reps · 1 to 0Mar 29, 2019 to May 9, 2019
- Accounts · 2,781 to 3Mar 28, 2019 to Mar 29, 2019
Signals
5 dated events
- F••• C••••••••• L•• reported RAUM $180.2M, down 87% from $1.4B (2019-03-28 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- Howard David Schwartz (Chairman & Cco) no longer on Schedule A of F••• C••••••••• L•• (listed 2019-03-28, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- P. Fred Sloan (Ceo & President) no longer on Schedule A of F••• C••••••••• L•• (listed 2019-03-28, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- August Carl Friedrich (Partner & Cio) appeared on Schedule A of F••• C••••••••• L••Mar 29, 2019 · Control person joined · fact
- T Stephen Perrino (Partner / Coo & Cco) appeared on Schedule A of F••• C••••••••• L••Mar 29, 2019 · 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.
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