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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SEC-registered adviser
F••••••• M•••••••••
Legal name F••••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Feb 13, 2012 · 20 filings
SEC status approved since Mar 30, 2012
RAUM
$745M
reported, Item 5.F
Discretionary
89%
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
9
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
11
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$745M as of Mar 31, 2026
Mar 28, 2013$1.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20130 then
Employees (5.A)9 as of Mar 31, 2026
Mar 28, 201313 then
Private funds11 as of Mar 31, 2026
Mar 28, 201313 then
RAUM +51% over the last fiscal year+23% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- $57.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%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
- +51%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 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 vehiclesreportedItem 5.G
- Custody
- $145M, 2 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
- Pooled investment vehicles$745M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 13reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $145M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
16 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F••••••• R•••••••• F••• L•• | Hedge Fund | $162M | 40 | Feb 13, 2012 |
| F••••••• A••••• F••• L•• • C••••••••• C•••• | Hedge Fund | $75.2M | 21 | Feb 13, 2012 |
| F••••••• F••• L• | Hedge Fund | $62.1M | 48 | Feb 13, 2012 |
| F••••••• R•••••••• S•• L•• | Hedge Fund | $32.1M | 112 | Feb 13, 2012 |
| A•••• T•••• S• C• A• | Private Equity Fund | $23.7M | 30 | Feb 13, 2012 |
| F••••••• U••• V•••• F•••• L••• | Hedge Fund | $23.5M | 15 | Mar 31, 2015 |
| F••••••• A••••• F••• L•• • S• C•••• | Hedge Fund | $13.7M | 21 | Mar 31, 2023 |
| F••••••• N•• R••••• F••• L•• | Hedge Fund | $8.6M | 17 | Feb 13, 2012 |
| F••••••• G••••• M••••• F••• I• H••••••• L••no longer reported | Hedge Fund | $4.2M | 76 | Feb 13, 2012 |
| F••••••• M••••••• F••• ••••••• L•• • C•••• A•no longer reported | Hedge Fund | $3.6M | 47 | Feb 13, 2012 |
| F••••••• G••••• M••••• F••• H••••••• L•• • C••••••••• C••••no longer reported | Hedge Fund | $3.3M | 65 | Feb 13, 2012 |
| F••••••• G••••• M••••• F••• H••••••• L•• • L••••••••• C••••no longer reported | Hedge Fund | $3.1M | 95 | Feb 13, 2012 |
| F••••••• N•• M••••••• F••• L•no longer reported | Hedge Fund | $2.6M | 68 | Feb 13, 2012 |
| F••••••• M••••••• F••• ••••••• L•• • C•••• B•no longer reported | Hedge Fund | $2.5M | 71 | Feb 13, 2012 |
| F••••••• M••••••• F••• ••••••• L•• • C•••• C•no longer reported | Hedge Fund | $862,000 | 19 | Mar 31, 2015 |
| F••••••• A••••• F••• L•• • L••••••••• C•••• | Hedge Fund | $808,000 | 75 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- H••••• I••• C••••••••• · Managercontrolsince 01/1998 · owns less than 5%
- S••••••• H•••••• M•••••• · Managercontrolsince 01/1998 · owns less than 5%
- T••••••• J•••••• M•••••• · Chief Financial Officercontrolsince 05/2002 · owns less than 5%
- H••••• I••• C••••••••• · Managing Membercontrolsince 07/2014 · owns 25% to 50% of F••••••• M••••••••• A•••••••• L••
- S••••••• H•••••• M•••••• · Managing Membercontrolsince 07/2014 · owns 50% to 75% of F••••••• M••••••••• A•••••••• L••
- S••••••• H•••••• M•••••• · Limited Partnercontrolsince 07/2014 · owns 50% to 75% of F••••••• M••••••••• P•••••••• L•
- H•••••••• B••••• A••• · Chief Compliance Officersince 01/2012 · owns less than 5%
Entity owners
- F••••••• M••••••••• P•••••••• L• · Owner Of F••••••• M••••••••• LLCdirect · owns 75% or more
- F••••••• M••••••••• A•••••••• L•• · General Partnerindirect · owns F of F••••••• M••••••••• P•••••••• L•
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 · 12 to 13Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 12 to 13Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $98.3M to $145MMar 31, 2025 to Mar 31, 2026
- Private funds · 10 to 11Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $422M to $664MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $72.4M to $81.4MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $495M to $745MMar 31, 2025 to Mar 31, 2026
- RAUM · $495M to $745MMar 31, 2025 to Mar 31, 2026
- Accounts · 11 to 12Mar 29, 2024 to Mar 31, 2025
- Pooled vehicle clients · 11 to 12Mar 29, 2024 to Mar 31, 2025
- Assets in custody · $83.7M to $98.3MMar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Private funds · 9 to 10Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $379M to $422MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $91.4M to $72.4MMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $471M to $495MMar 29, 2024 to Mar 31, 2025
- RAUM · $471M to $495MMar 29, 2024 to Mar 31, 2025
- Accounts · 10 to 11Mar 31, 2023 to Mar 29, 2024
- Pooled vehicle clients · 10 to 11Mar 31, 2023 to Mar 29, 2024
- Assets in custody · $72.9M to $83.7MMar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $313M to $379MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $92.0M to $91.4MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $405M to $471MMar 31, 2023 to Mar 29, 2024
- RAUM · $405M to $471MMar 31, 2023 to Mar 29, 2024
- Accounts · 9 to 10Oct 11, 2022 to Mar 31, 2023
- Pooled vehicle clients · 9 to 10Oct 11, 2022 to Mar 31, 2023
- Assets in custody · $138M to $72.9MOct 11, 2022 to Mar 31, 2023
- Employees · 11 to 9Oct 11, 2022 to Mar 31, 2023
- Private funds · 8 to 9Oct 11, 2022 to Mar 31, 2023
- Discretionary RAUM · $510M to $313MOct 11, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $98.9M to $92.0MOct 11, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $609M to $405MOct 11, 2022 to Mar 31, 2023
- RAUM · $609M to $405MOct 11, 2022 to Mar 31, 2023
- Advisory employees · 5 to 4Mar 30, 2021 to Mar 31, 2022
- Assets in custody · $121M to $138MMar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $443M to $510MMar 30, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $119M to $98.9MMar 30, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $562M to $609MMar 30, 2021 to Mar 31, 2022
- RAUM · $562M to $609MMar 30, 2021 to Mar 31, 2022
- Assets in custody · $142M to $121MMar 30, 2020 to Mar 30, 2021
Signals
2 dated events
- F••••••• M••••••••• reported RAUM $745.0M, up 51% from $494.7M (2025-03-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- F••••••• M••••••••• reported RAUM $405.0M, down 34% from $609.2M (2022-10-11 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- F••••••• M••••••••• · Independent Sponsorsshared crd · capital_provider
- F••••••• M••••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- w••.f••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-698-9260reportedpublic record, Form ADV, Mar 31, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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