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

N••••••••• F•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 139223SEC 801-66034IAPD
Latest filing Feb 14, 2018
First filing on the tape Dec 2, 2011 · 12 filings
RAUM
$88.7M
reported, Item 5.F
Discretionary
2.8%
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
5
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$12.0M gross assets
History
12 filings and snapshots on the tape
RAUM$88.7M as of Feb 14, 2018
Mar 30, 2012$298M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 14, 2018
Mar 28, 20130 then
Employees (5.A)5 as of Feb 14, 2018
Mar 28, 20135 then
Private funds2 as of Feb 14, 2018
Mar 30, 20123 then
RAUM -46% over the last fiscal year-24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 14, 2018; 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
$29.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
2.8%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-46%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, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, otherreportedItem 5.G
Custody
yesreportedItem 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)
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$88.7M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, fixed, performancereported
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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•• L••••• L•no longer reportedPrivate Equity Fund$150M1Mar 10, 2016
      N••••••••• L•no longer reportedPrivate Equity Fund$112M1Mar 30, 2012
      N••••••••• F••• F•••••••• F••• L•no longer reportedPrivate Equity Fund$35.5M1Mar 26, 2014
      S••••••••• A• L•Private Equity Fund$9.5M1Mar 30, 2012
      N••••••••• F••• L•Hedge Fund$2.4M5Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H••••••••• M•••• P••••• · Member And Chief Compliance Officercontrol
        since 09/2016 · owns 25% to 50%
      • J••••••••• M••••••• H•••• · Managing Membercontrol
        since 11/2002 · owns 25% to 50%
      • W••••• R•••••• B•••• · Membercontrol
        since 11/2002 · owns 25% to 50%
      • J••••••••• C••••••••• E••• · Member & Managing Director
        since 01/2010 · owns 5% to 10%
      • K••••• T•• · Shareholder
        since 03/2002 · owns 75% or more of F•••••••• Management Services Inc.
      Entity owners
      • J• H••••••• 2••• L•• · Member
        direct · owns 10% to 25%
      • F•••••••• M••••••••• S•••••••• I••• · Trustee
        indirect · owns F of T•• 2••• J••••• H•••• T••••; T•• 2••• L••• H•••• T••••; T•• 2••• S••••••• H•••• T••••
      • T•• 2••• J••••• H•••• T•••• · Member
        indirect · owns 25% to 50% of J• H••••••• 2••• L••
      • T•• 2••• L••• H•••• T•••• · Member
        indirect · owns 25% to 50% of J• H••••••• 2••• L••
      • T•• 2••• S••••••• H•••• T•••• · Member
        indirect · owns 25% to 50% of J• H••••••• 2••• L••
      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 · 5 to 3
        May 2, 2017 to Feb 14, 2018
      • Charity clients · unset to 0.0
        May 2, 2017 to Feb 14, 2018
      • Corporate clients · unset to 0.0
        May 2, 2017 to Feb 14, 2018
      • HNW clients · unset to 0.0
        May 2, 2017 to Feb 14, 2018
      • Individual clients · unset to 0.0
        May 2, 2017 to Feb 14, 2018
      • Pension plan clients · unset to 0.0
        May 2, 2017 to Feb 14, 2018
      • Pooled vehicle clients · unset to 3.0
        May 2, 2017 to Feb 14, 2018
      • Assets in custody · $12.0M to $0
        May 2, 2017 to Feb 14, 2018
      • Other offices · unset to 1.0
        May 2, 2017 to Feb 14, 2018
      • Discretionary RAUM · $5.3M to $2.4M
        May 2, 2017 to Feb 14, 2018
      • Non-discretionary RAUM · $159M to $86.3M
        May 2, 2017 to Feb 14, 2018
      • Pooled vehicle RAUM · unset to 88739841.0
        May 2, 2017 to Feb 14, 2018
      • RAUM · $164M to $88.7M
        May 2, 2017 to Feb 14, 2018
      • Accounts · 6 to 5
        Sep 21, 2016 to Mar 15, 2017
      • Assets in custody · $29.9M to $12.0M
        Sep 21, 2016 to Mar 15, 2017
      • Private funds · 3 to 2
        Sep 21, 2016 to Mar 15, 2017
      • Discretionary RAUM · $7.6M to $5.3M
        Sep 21, 2016 to Mar 15, 2017
      • Non-discretionary RAUM · $334M to $159M
        Sep 21, 2016 to Mar 15, 2017
      • RAUM · $342M to $164M
        Sep 21, 2016 to Mar 15, 2017
      • Accounts · 5 to 6
        Mar 25, 2015 to Mar 10, 2016
      • Assets in custody · $202M to $29.9M
        Mar 25, 2015 to Mar 10, 2016
      • Private funds · 4 to 3
        Mar 25, 2015 to Mar 10, 2016
      • Discretionary RAUM · $45.5M to $7.6M
        Mar 25, 2015 to Mar 10, 2016
      • Non-discretionary RAUM · $157M to $334M
        Mar 25, 2015 to Mar 10, 2016
      • RAUM · $202M to $342M
        Mar 25, 2015 to Mar 10, 2016
      • Assets in custody · $186M to $202M
        Mar 26, 2014 to Mar 25, 2015
      • Discretionary RAUM · $66.0M to $45.5M
        Mar 26, 2014 to Mar 25, 2015
      • Non-discretionary RAUM · $161M to $157M
        Mar 26, 2014 to Mar 25, 2015
      • RAUM · $227M to $202M
        Mar 26, 2014 to Mar 25, 2015
      • Accounts · 6 to 5
        Mar 28, 2013 to Mar 26, 2014
      • Assets in custody · $166M to $186M
        Mar 28, 2013 to Mar 26, 2014
      • Private funds · 3 to 4
        Mar 28, 2013 to Mar 26, 2014
      • Discretionary RAUM · $97.4M to $66.0M
        Mar 28, 2013 to Mar 26, 2014
      • Non-discretionary RAUM · $189M to $161M
        Mar 28, 2013 to Mar 26, 2014
      • RAUM · $286M to $227M
        Mar 28, 2013 to Mar 26, 2014
      • Related adviser · false to true
        Mar 28, 2013 to Mar 26, 2014
      • Advisory employees · unset to 5.0
        Mar 30, 2012 to Mar 28, 2013
      • Assets in custody · $211M to $166M
        Mar 30, 2012 to Mar 28, 2013
      • Employees · unset to 5.0
        Mar 30, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Mar 30, 2012 to Mar 28, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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