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••••••••• P•••••• A•••••••

Former SEC-registered adviserNew York, New YorkCRD 113673SEC 801-60388IAPD
Legal name F••••••••• P•••••• A•••••••• I•••
Latest filing Mar 30, 2018
First filing on the tape Dec 19, 2011 · 10 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$0 as of Mar 30, 2018
Mar 23, 2012$249M then
HNW client RAUM: $0
State-registered IARs (5.B.3)1 as of Mar 30, 2018
Mar 23, 20120 then
Employees (5.A)1 as of Mar 30, 2018
Mar 28, 20134 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2018; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-100%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 institutionsreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
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
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
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
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
    • G•••• T•••••• T•••••• · Managing Directorcontrol
      since 05/2011 · owns less than 5%
    • M•••••••• R•••••• S•••• · Chairmancontrol
      since 05/2011 · owns less than 5%
    • N•••• S••••• I••• · Chief Legal Officercontrol
      since 04/2013 · owns less than 5%
    • K••••••••• H•••• L•••••• · Chief Compliance Officer
      since 12/2011 · owns less than 5%
    Entity owners
    • F••••••••• P•••••• B••• • T•••• · Corporate Parent
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 9 to 0
      Jun 19, 2017 to Mar 30, 2018
    • Other offices · unset to 0.0
      Jun 19, 2017 to Mar 30, 2018
    • Discretionary RAUM · $40.7M to $0
      Jun 19, 2017 to Mar 30, 2018
    • HNW RAUM · unset to 0.0
      Jun 19, 2017 to Mar 30, 2018
    • Individual RAUM · unset to 0.0
      Jun 19, 2017 to Mar 30, 2018
    • Pension RAUM · unset to 0.0
      Jun 19, 2017 to Mar 30, 2018
    • RAUM · $40.7M to $0
      Jun 19, 2017 to Mar 30, 2018
    • Accounts · 62 to 9
      Mar 31, 2017 to Jun 19, 2017
    • Advisory employees · 3 to 1
      Mar 31, 2017 to Jun 19, 2017
    • BD registered reps · 2 to 1
      Mar 31, 2017 to Jun 19, 2017
    • Employees · 4 to 1
      Mar 31, 2017 to Jun 19, 2017
    • Insurance-licensed employees · 0 to 1
      Mar 31, 2017 to Jun 19, 2017
    • Discretionary RAUM · $274M to $40.7M
      Mar 31, 2017 to Jun 19, 2017
    • RAUM · $274M to $40.7M
      Mar 31, 2017 to Jun 19, 2017
    • Accounts · 82 to 62
      Mar 29, 2016 to Mar 31, 2017
    • Assets in custody · 136727396.0 to unset
      Mar 29, 2016 to Mar 31, 2017
    • Custody of client assets · true to false
      Mar 29, 2016 to Mar 31, 2017
    • Discretionary RAUM · $219M to $274M
      Mar 29, 2016 to Mar 31, 2017
    • RAUM · $219M to $274M
      Mar 29, 2016 to Mar 31, 2017
    • Accounts · 88 to 82
      Mar 31, 2015 to Mar 29, 2016
    • Assets in custody · $146M to $137M
      Mar 31, 2015 to Mar 29, 2016
    • Discretionary RAUM · $235M to $219M
      Mar 31, 2015 to Mar 29, 2016
    • RAUM · $235M to $219M
      Mar 31, 2015 to Mar 29, 2016
    • Accounts · 104 to 88
      Apr 1, 2014 to Mar 31, 2015
    • Assets in custody · $140M to $146M
      Apr 1, 2014 to Mar 31, 2015
    • Financial planning clients · unset to 0
      Apr 1, 2014 to Mar 31, 2015
    • Discretionary RAUM · $250M to $235M
      Apr 1, 2014 to Mar 31, 2015
    • RAUM · $250M to $235M
      Apr 1, 2014 to Mar 31, 2015
    • Accounts · 108 to 104
      Mar 28, 2013 to Apr 1, 2014
    • Assets in custody · $129M to $140M
      Mar 28, 2013 to Apr 1, 2014
    • Financial planning clients · 0 to unset
      Mar 28, 2013 to Apr 1, 2014
    • Discretionary RAUM · $256M to $250M
      Mar 28, 2013 to Apr 1, 2014
    • RAUM · $256M to $250M
      Mar 28, 2013 to Apr 1, 2014
    • Accounts · 110 to 108
      Mar 23, 2012 to Mar 28, 2013
    • Advisory employees · unset to 3.0
      Mar 23, 2012 to Mar 28, 2013
    • BD registered reps · 0 to 2
      Mar 23, 2012 to Mar 28, 2013
    • Assets in custody · $123M to $129M
      Mar 23, 2012 to Mar 28, 2013
    • Employees · unset to 4.0
      Mar 23, 2012 to Mar 28, 2013
    • State-registered IARs · 0 to 1
      Mar 23, 2012 to Mar 28, 2013
    • Discretionary RAUM · $249M to $256M
      Mar 23, 2012 to Mar 28, 2013
    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