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•••••••• M••••••••• C•••••••
Legal name F•••••••• M••••••••• C••••••• C•••••••••
Latest filing Mar 3, 2022
First filing on the tape Mar 6, 2012 · 20 filings
RAUM
$189M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$189M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$189M as of Mar 3, 2022
Mar 6, 2012$94.4M then
HNW client RAUM$87.7M as of Mar 3, 2022
Mar 7, 2018$87.3M then
State-registered IARs (5.B.3)1 as of Mar 3, 2022
Mar 6, 20120 then
Employees (5.A)5 as of Mar 3, 2022
Mar 20, 20135 then
Private funds: no history
RAUM +19% over the last fiscal year+14% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 3, 2022; every figure names its basis
- RAUM per advisor
- $189MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 275derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $299,343derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +68%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $28.8M, 42 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)
- 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)
- 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
- Individuals$101M54%
- High-net-worth individuals$87.7M46%
- Individual clients
- 217reported
- HNW clients
- 58reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 631reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $28.8M for 42 clientsreported
- 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
- B•••• F••••• to W••••• E••••••••• A••••••• S•••••••• L••May 3, 2022 · RIA to affiliated broker-dealer or bank
- J•••••• M•••••• B••••••• to F••••• I•••••••••Mar 3, 2022 · RIA to RIA
- A•••••• V•• O•• to V••••••••• W••••• M••••••••• L••Apr 6, 2017 · Other
- A••••• W••• J•••• to F•••••••• F••••••••Nov 29, 2007 · Other
Joined, latest
- J•••••• M•••••• B••••••• from S••••• W••••• A•••••••• I•••Aug 30, 2017 · Other
- A•••••• V•• O•• from C•••••• S••••• • C••• I•••Jun 25, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• B••••• L•• · Presidentcontrolsince 01/1997 · owns 75% or more
- K•••••• J•••••• · Chief Compliance Officercontrolsince 04/2017 · owns less than 5%
- F•••••• A••••••• M• · Secretary/Treasurersince 01/1997 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 593 to 631Nov 2, 2021 to Mar 3, 2022
- Advisory employees · 3 to 2Nov 2, 2021 to Mar 3, 2022
- HNW clients · 55 to 58Nov 2, 2021 to Mar 3, 2022
- Individual clients · 95 to 217Nov 2, 2021 to Mar 3, 2022
- Assets in custody · $27.7M to $28.8MNov 2, 2021 to Mar 3, 2022
- State-registered IARs · 2 to 1Nov 2, 2021 to Mar 3, 2022
- Discretionary RAUM · $174M to $187MNov 2, 2021 to Mar 3, 2022
- HNW RAUM · $108M to $87.7MNov 2, 2021 to Mar 3, 2022
- Individual RAUM · $67.3M to $101MNov 2, 2021 to Mar 3, 2022
- Non-discretionary RAUM · $1.5M to $2.2MNov 2, 2021 to Mar 3, 2022
- RAUM · $176M to $189MNov 2, 2021 to Mar 3, 2022
- Legal name · F•••••••• M••••••••• C••••••• to F•••••••• M••••••••• C••••••• CORPORATIONOct 20, 2021 to Nov 2, 2021
- Accounts · 591 to 593Aug 2, 2021 to Oct 20, 2021
- HNW clients · 50 to 55Aug 2, 2021 to Oct 20, 2021
- Individual clients · 114 to 95Aug 2, 2021 to Oct 20, 2021
- Assets in custody · unset to 27744412.0Aug 2, 2021 to Oct 20, 2021
- Custody of client assets · false to trueAug 2, 2021 to Oct 20, 2021
- Discretionary RAUM · $158M to $174MAug 2, 2021 to Oct 20, 2021
- HNW RAUM · $107M to $108MAug 2, 2021 to Oct 20, 2021
- Individual RAUM · $51.6M to $67.3MAug 2, 2021 to Oct 20, 2021
- Non-discretionary RAUM · $0 to $1.5MAug 2, 2021 to Oct 20, 2021
- RAUM · $158M to $176MAug 2, 2021 to Oct 20, 2021
- Accounts · 579 to 591Jun 5, 2020 to Mar 8, 2021
- HNW clients · 44 to 50Jun 5, 2020 to Mar 8, 2021
- Individual clients · 119 to 114Jun 5, 2020 to Mar 8, 2021
- Discretionary RAUM · $146M to $158MJun 5, 2020 to Mar 8, 2021
- HNW RAUM · $97.1M to $107MJun 5, 2020 to Mar 8, 2021
- Individual RAUM · $48.5M to $51.6MJun 5, 2020 to Mar 8, 2021
- RAUM · $146M to $158MJun 5, 2020 to Mar 8, 2021
- Accounts · 550 to 579Feb 25, 2019 to Mar 2, 2020
- HNW clients · 40 to 44Feb 25, 2019 to Mar 2, 2020
- Individual clients · 129 to 119Feb 25, 2019 to Mar 2, 2020
- Discretionary RAUM · $126M to $146MFeb 25, 2019 to Mar 2, 2020
- HNW RAUM · $74.7M to $97.1MFeb 25, 2019 to Mar 2, 2020
- Individual RAUM · $51.1M to $48.5MFeb 25, 2019 to Mar 2, 2020
- Pension RAUM · 345059.0 to unsetFeb 25, 2019 to Mar 2, 2020
- RAUM · $126M to $146MFeb 25, 2019 to Mar 2, 2020
- Accounts · 593 to 550Mar 7, 2018 to Feb 25, 2019
- HNW clients · 46 to 40Mar 7, 2018 to Feb 25, 2019
- Individual clients · 123 to 129Mar 7, 2018 to Feb 25, 2019
Signals
2 dated events
- B•••• F••••• left F•••••••• M••••••••• C••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-04-01)May 3, 2022 · Advisor changed firm · fact
- J•••••• M•••••• B••••••• left F•••••••• M••••••••• C••••••• for F••••• I••••••••• (registered 2022-04-14)Mar 3, 2022 · Advisor changed firm · 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