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••••• A••••••••• O• D•••••••• L••

Former SEC-registered adviserGreenville, DelawareCRD 116105SEC 801-60624IAPD
Legal name F••••• A••••••••• O• D•••••••••
Latest filing Mar 26, 2021
First filing on the tape Mar 30, 2012 · 15 filings
RAUM
$269M
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
20
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$269M as of Mar 26, 2021
Mar 30, 2012$2.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2021
Mar 30, 20120 then
Employees (5.A)20 as of Mar 26, 2021
Mar 28, 201335 then
Private funds: no history
RAUM -72% over the last fiscal year-42% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2021; 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
$67.3MderivedRAUM 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
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
otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Other investment advisers$155M57%
  • Pooled investment vehicles$69.1M26%
  • Investment companies$45.6M17%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••• J•••••• J•••• · Management Committee Membercontrol
        since 03/2011 · owns 10% to 25%
      • G••••• S••••• W••••• · Ciocontrol
        since 03/2013 · owns 10% to 25%
      • M••••• D••••• D••••••• · Chief Compliance Officer & Coocontrol
        since 10/2001 · owns 10% to 25%
      • D••••• H••••• A•••• · Researcher
        since 01/2015 · owns 5% to 10%
      • D••••••• P••••• F•••••• · Researcher
        since 06/2010 · owns 5% to 10%
      • K•••••• J••••• G••••• · Retired Partner
        since 03/2018 · owns 10% to 25%
      • O••••••••• F••••••• J••• · Retired Partner
        since 10/2001 · owns 5% to 10%
      • S•••••• J•••••••• W••••• · Researcher
        since 01/2013 · owns 5% to 10%
      • W•••••••• M••••••• R• · Researcher
        since 07/2012 · owns 5% to 10%
      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 · 6 to 4
        Mar 30, 2020 to Mar 26, 2021
      • Advisory employees · 14 to 12
        Mar 30, 2020 to Mar 26, 2021
      • Pooled vehicle clients · 1 to 2
        Mar 30, 2020 to Mar 26, 2021
      • Employees · 21 to 20
        Mar 30, 2020 to Mar 26, 2021
      • Discretionary RAUM · $957M to $269M
        Mar 30, 2020 to Mar 26, 2021
      • Pooled vehicle RAUM · $14.7M to $69.1M
        Mar 30, 2020 to Mar 26, 2021
      • RAUM · $957M to $269M
        Mar 30, 2020 to Mar 26, 2021
      • Employees · 22 to 21
        Mar 27, 2019 to Mar 30, 2020
      • Discretionary RAUM · $1.4B to $957M
        Mar 27, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $17.7M to $14.7M
        Mar 27, 2019 to Mar 30, 2020
      • RAUM · $1.4B to $957M
        Mar 27, 2019 to Mar 30, 2020
      • Advisory employees · 13 to 14
        Mar 29, 2018 to Mar 27, 2019
      • Employees · 23 to 22
        Mar 29, 2018 to Mar 27, 2019
      • Discretionary RAUM · $1.3B to $1.4B
        Mar 29, 2018 to Mar 27, 2019
      • Pooled vehicle RAUM · $16.1M to $17.7M
        Mar 29, 2018 to Mar 27, 2019
      • RAUM · $1.3B to $1.4B
        Mar 29, 2018 to Mar 27, 2019
      • Pooled vehicle clients · unset to 1.0
        Jul 14, 2017 to Mar 29, 2018
      • Employees · 25 to 23
        Jul 14, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Jul 14, 2017 to Mar 29, 2018
      • Discretionary RAUM · $1.1B to $1.3B
        Jul 14, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 16053333.0
        Jul 14, 2017 to Mar 29, 2018
      • RAUM · $1.1B to $1.3B
        Jul 14, 2017 to Mar 29, 2018
      • Discretionary RAUM · $1.1B to $1.1B
        Mar 30, 2017 to Jul 14, 2017
      • RAUM · $1.1B to $1.1B
        Mar 30, 2017 to Jul 14, 2017
      • Advisory employees · 11 to 13
        Aug 4, 2016 to Mar 30, 2017
      • Employees · 27 to 25
        Aug 4, 2016 to Mar 30, 2017
      • Discretionary RAUM · $1.1B to $1.1B
        Aug 4, 2016 to Mar 30, 2017
      • RAUM · $1.1B to $1.1B
        Aug 4, 2016 to Mar 30, 2017
      • Accounts · 5 to 6
        Jun 9, 2016 to Aug 4, 2016
      • Discretionary RAUM · $1.0B to $1.1B
        Jun 9, 2016 to Aug 4, 2016
      • RAUM · $1.0B to $1.1B
        Jun 9, 2016 to Aug 4, 2016
      • Discretionary RAUM · $1.3B to $1.0B
        Mar 30, 2015 to Mar 29, 2016
      • RAUM · $1.3B to $1.0B
        Mar 30, 2015 to Mar 29, 2016
      • Advisory employees · 13 to 11
        Mar 28, 2014 to Mar 30, 2015
      • Employees · 30 to 27
        Mar 28, 2014 to Mar 30, 2015
      • Discretionary RAUM · $1.3B to $1.3B
        Mar 28, 2014 to Mar 30, 2015
      • RAUM · $1.3B to $1.3B
        Mar 28, 2014 to Mar 30, 2015
      • Advisory employees · 11 to 13
        Oct 30, 2013 to Mar 28, 2014
      • Discretionary RAUM · $1.3B to $1.3B
        Oct 30, 2013 to Mar 28, 2014
      • RAUM · $1.3B to $1.3B
        Oct 30, 2013 to Mar 28, 2014
      Signals
      3 dated events
      • F••••• A••••••••• O• D•••••••• L•• reported RAUM $269.2M, down 72% from $956.9M (2020-03-30 to 2021-03-26)
        Mar 26, 2021 · RAUM change · derived
      • F••••• A••••••••• O• D•••••••• L•• reported RAUM $956.9M, down 32% from $1.4B (2019-03-27 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • F••••• A••••••••• O• D•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Oct 30, 2013 · Succession (Item 4) · 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