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•••••• C••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2012 · 21 filings
SEC status approved since Oct 6, 2006
RAUM
$18.3M
reported, Item 5.F
Discretionary
34%
of RAUM
Private clients
34%
$6.3M 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
1
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$18.3M as of Mar 30, 2026
Mar 30, 2012$24.4M then
HNW client RAUM$6.3M as of Mar 30, 2026
Mar 28, 2019$3.1M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 30, 20120 then
Employees (5.A)1 as of Mar 30, 2026
Mar 27, 20132 then
Private funds1 as of Mar 30, 2026
Mar 29, 20212 then
RAUM +48% over the last fiscal year-5.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $6.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 34%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
- +48%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 individuals, portfolio management for pooled vehiclesreportedItem 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$12.0M66%
- High-net-worth individuals$6.3M34%
- Individual clients
- n/areported
- HNW clients
- 2reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.34 fund_share=0.66 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W••• P•••••• M••••• I••••••••• F••• I• L•• | Venture Capital Fund | $8.1M | 50 | Mar 12, 2012 |
| P•••••• M••••• I••••••••• F••• I•• L•• | Venture Capital Fund | $5.4M | 53 | Mar 30, 2016 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• S•••••• M••••• · Membercontrolsince 05/2001 · owns 25% to 50%
- R•••••• W••••••• E••••• · Membercontrolsince 05/2001 · owns 25% to 50%
- S••••• J•••• S•••••• · Member, Chief Compliance Officercontrolsince 05/2001 · owns 25% to 50%
Related persons
Schedule D 7.A
- B••••••••• C••••••• L••investment adviserpooled vehicle sponsornRAUM $494M
Advisers that list F•••••• C••••••• L•• as a related person
- 120780 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 2 to 1Mar 27, 2025 to Mar 30, 2026
- Employees · 2 to 1Mar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $5.5M to $6.3MMar 27, 2025 to Mar 30, 2026
- HNW RAUM · $5.5M to $6.3MMar 27, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $6.9M to $12.0MMar 27, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $6.9M to $12.0MMar 27, 2025 to Mar 30, 2026
- RAUM · $12.4M to $18.3MMar 27, 2025 to Mar 30, 2026
- Accounts · 4 to 3Mar 29, 2024 to Mar 27, 2025
- Pooled vehicle clients · 2 to 1Mar 29, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 27, 2025
- Private funds · 2 to 1Mar 29, 2024 to Mar 27, 2025
- Discretionary RAUM · $4.9M to $5.5MMar 29, 2024 to Mar 27, 2025
- HNW RAUM · $4.9M to $5.5MMar 29, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $13.5M to $6.9MMar 29, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $13.5M to $6.9MMar 29, 2024 to Mar 27, 2025
- RAUM · $18.4M to $12.4MMar 29, 2024 to Mar 27, 2025
- HNW clients · unset to 2.0Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $4.2M to $4.9MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $4.2M to $4.9MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $17.6M to $13.5MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $17.6M to $13.5MMar 31, 2023 to Mar 29, 2024
- RAUM · $21.9M to $18.4MMar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $5.1M to $4.2MMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $5.1M to $4.2MMar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $34.8M to $17.6MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $34.8M to $17.6MMar 31, 2022 to Mar 31, 2023
- RAUM · $39.8M to $21.9MMar 31, 2022 to Mar 31, 2023
- Advisory employees · 1 to 2Jun 3, 2021 to Mar 29, 2022
- Employees · 1 to 2Jun 3, 2021 to Mar 29, 2022
- Discretionary RAUM · $4.3M to $5.1MJun 3, 2021 to Mar 29, 2022
- HNW RAUM · $4.3M to $5.1MJun 3, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $36.5M to $34.8MJun 3, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $36.5M to $34.8MJun 3, 2021 to Mar 29, 2022
- RAUM · $40.8M to $39.8MJun 3, 2021 to Mar 29, 2022
- Advisory employees · 2 to 1Jun 27, 2020 to Mar 29, 2021
- Employees · 2 to 1Jun 27, 2020 to Mar 29, 2021
- Discretionary RAUM · $3.8M to $4.3MJun 27, 2020 to Mar 29, 2021
- HNW RAUM · $3.8M to $4.3MJun 27, 2020 to Mar 29, 2021
- Non-discretionary RAUM · $41.0M to $36.5MJun 27, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $41.0M to $36.5MJun 27, 2020 to Mar 29, 2021
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- F•••••• C••••••• L•• · Private Equityshared crd · intermediary
- F•••••• C••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 205.578.0592reportedpublic record, Form ADV, Mar 30, 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
- Wealth manager with institutional or fund businessderiveda 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