DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

F•• C•••••• M•••••••••

Former SEC-registered adviserNew Orleans, LouisianaCRD 113205SEC 801-62828IAPD

Legal name F•••••• F•••••••• G••••• L••

Latest filing Apr 5, 2018

First filing on the tape Mar 30, 2012 · 13 filings

RAUM

$430M

reported, Item 5.F

Discretionary

26%

of RAUM

Private clients

1.8%

$7.7M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

13 filings and snapshots on the tape

RAUM$430M as of Apr 5, 2018

Mar 30, 2012$3.4B then

HNW client RAUM: no history

State-registered IARs (5.B.3)2 as of Apr 5, 2018

Mar 30, 20120 then

Employees (5.A)4 as of Apr 5, 2018

Apr 1, 20139 then

Private funds: no history

RAUM -92% over the last fiscal year-52% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Apr 5, 2018; every figure names its basis

RAUM per advisor: $215MderivedRAUM 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: $3.0MderivedRAUM over accounts (5.F.2.f)
Discretionary: 26%derivedof RAUM
Institutional: 98%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: -92%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, fixed feesreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Wrap fee program: $22.9MreportedItem 5.I
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

State and municipal entities$385M89%
Charitable organizations$31.0M7.2%
Individuals$7.7M1.8%
Insurance companies$6.5M1.5%
Pension and profit-sharing plans$250,0000.1%

Individual clients: 120reported
HNW clients: n/areported
Pension plan clients: 2reported
Charitable clients: 5reported
Accounts: 144reported
Financial planning clients: 0reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
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

S•••••• D•••• to R•••••• J•••• • A••••••••• I•••
Nov 13, 2018 · Other
O••••• J••••• F•••••• to R•••••• J•••• • A••••••••• I•••
Nov 13, 2018 · Other

Joined, latest

S•••••• D•••• from F•• S••••••••• C•••••••••
Oct 2, 2006 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for R•••••• J•••• • A••••••••• I•••
Nov 13, 2018 · New Orleans, La

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

D••••• S••••••• M•••••• · Principalcontrol
since 03/2015 · owns 5% to 10%
F••••••• O•••••• J••••• · Ceo, Chief Investment Officer, Chief Compliance Officercontrol
since 01/2001 · owns 75% or more

Related persons

Schedule D 7.A

R•••••• J•••• A•• A•••••••••
broker-dealern

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 112 to 144
Jun 23, 2017 to Apr 5, 2018
Advisory employees · 3 to 2
Jun 23, 2017 to Apr 5, 2018
Advisory activities · 6 to 5
Jun 23, 2017 to Apr 5, 2018
BD registered reps · 4 to 2
Jun 23, 2017 to Apr 5, 2018
Charity clients · unset to 5.0
Jun 23, 2017 to Apr 5, 2018
Individual clients · unset to 120.0
Jun 23, 2017 to Apr 5, 2018
Pension plan clients · unset to 2.0
Jun 23, 2017 to Apr 5, 2018
Assets in custody · 508113.0 to unset
Jun 23, 2017 to Apr 5, 2018
Custody of client assets · true to false
Jun 23, 2017 to Apr 5, 2018
Employees · 6 to 4
Jun 23, 2017 to Apr 5, 2018
Financial planning clients · 1-10 to 0
Jun 23, 2017 to Apr 5, 2018
Other offices · unset to 1.0
Jun 23, 2017 to Apr 5, 2018
Discretionary RAUM · $143M to $111M
Jun 23, 2017 to Apr 5, 2018
Individual RAUM · unset to 7685766.0
Jun 23, 2017 to Apr 5, 2018
Non-discretionary RAUM · $318M to $319M
Jun 23, 2017 to Apr 5, 2018
Pension RAUM · unset to 250000.0
Jun 23, 2017 to Apr 5, 2018
RAUM · $461M to $430M
Jun 23, 2017 to Apr 5, 2018
Wrap assets (manager) · unset to 0.0
Jun 23, 2017 to Apr 5, 2018
Wrap assets (sponsor) · unset to 0.0
Jun 23, 2017 to Apr 5, 2018
Accounts · 49 to 112
Mar 30, 2017 to Jun 23, 2017
Discretionary RAUM · $344M to $143M
Mar 30, 2017 to Jun 23, 2017
Non-discretionary RAUM · $4.9B to $318M
Mar 30, 2017 to Jun 23, 2017
RAUM · $5.2B to $461M
Mar 30, 2017 to Jun 23, 2017
Accounts · 75 to 49
Sep 22, 2016 to Mar 30, 2017
Assets in custody · $9.0M to $508,113
Sep 22, 2016 to Mar 30, 2017
Discretionary RAUM · $1.0B to $344M
Sep 22, 2016 to Mar 30, 2017
Non-discretionary RAUM · $4.6B to $4.9B
Sep 22, 2016 to Mar 30, 2017
RAUM · $5.6B to $5.2B
Sep 22, 2016 to Mar 30, 2017
Assets in custody · unset to 9000000.0
Mar 30, 2016 to Aug 29, 2016
Custody of client assets · false to true
Mar 30, 2016 to Aug 29, 2016
Accounts · 72 to 75
Mar 31, 2015 to Mar 30, 2016
Advisory employees · 2 to 3
Mar 31, 2015 to Mar 30, 2016
Employees · 8 to 6
Mar 31, 2015 to Mar 30, 2016
Financial planning clients · unset to 1-10
Mar 31, 2015 to Mar 30, 2016
Discretionary RAUM · $901M to $1.0B
Mar 31, 2015 to Mar 30, 2016
Non-discretionary RAUM · $3.0B to $4.6B
Mar 31, 2015 to Mar 30, 2016
RAUM · $3.9B to $5.6B
Mar 31, 2015 to Mar 30, 2016
Accounts · 62 to 72
Oct 17, 2014 to Mar 31, 2015
Discretionary RAUM · $900M to $901M
Oct 17, 2014 to Mar 31, 2015
RAUM · $3.9B to $3.9B
Oct 17, 2014 to Mar 31, 2015

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