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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

F•• C•••••• M••••••••• L••

Former SEC-registered adviserCleveland, OhioCRD 144387SEC 801-68211IAPD
Legal name F•••••• S••••• M••••••••• L••
Latest filing Mar 30, 2018
First filing on the tape Mar 29, 2012 · 12 filings
RAUM
$321M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$321M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$321M as of Mar 30, 2018
Mar 29, 2012$195M then
HNW client RAUM: $198M
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Mar 29, 20120 then
Employees (5.A)15 as of Mar 30, 2018
Mar 7, 201316 then
Private funds1 as of Apr 1, 2015
Mar 7, 20131 then
RAUM +14% over the last fiscal year+7.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
$9.9MderivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM 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
+14%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 feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$321M, 131 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$198M62%
  • Individuals$123M38%
Individual clients
103reported
HNW clients
20reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
302reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$321M for 131 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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    7 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    F•• U• L••no longer reportedReal Estate Fund$208,75011Mar 7, 2013
    V• D••••••••• G••••• L••Other Private Fund$08May 25, 2017
    V• D••••••••• I•• L••Other Private Fund$09May 25, 2017
    T••• D••••••••• 3• L••Other Private Fund$04May 25, 2017
    G• D••••••••• 1•• L••Other Private Fund$017May 25, 2017
    T••• D••••••••• G••••• L••Other Private Fund$07May 25, 2017
    G• D••••••••• L••Other Private Fund$012May 25, 2017
    Owners and control persons
    Schedule A and B, latest filing
    • F•••••• T•••••••• P•••••• · Membercontrol
      since 07/2007 · owns 25% to 50%
    • L•••••••• D••••• A••• · Membercontrol
      since 06/2007 · owns 25% to 50%
    • W•••••••• R••••••• M• · Membercontrol
      since 01/2010 · owns 5% to 10%
    • M•••••••• C••••••••• · Chief Compliance Officer
      since 09/2016 · owns less than 5%
    • R••••••••• J•••••••• A•• · Chief Operating Officer
      since 11/2007 · 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 · 514 to 302
      May 25, 2017 to Mar 30, 2018
    • Advisory employees · 3 to 1
      May 25, 2017 to Mar 30, 2018
    • HNW clients · unset to 20.0
      May 25, 2017 to Mar 30, 2018
    • Individual clients · unset to 103.0
      May 25, 2017 to Mar 30, 2018
    • Assets in custody · $176M to $321M
      May 25, 2017 to Mar 30, 2018
    • Employees · 17 to 15
      May 25, 2017 to Mar 30, 2018
    • Other offices · unset to 0.0
      May 25, 2017 to Mar 30, 2018
    • Private funds · 6 to unset
      May 25, 2017 to Mar 30, 2018
    • Discretionary RAUM · $281M to $321M
      May 25, 2017 to Mar 30, 2018
    • HNW RAUM · unset to 198361000.0
      May 25, 2017 to Mar 30, 2018
    • Individual RAUM · unset to 123112000.0
      May 25, 2017 to Mar 30, 2018
    • RAUM · $281M to $321M
      May 25, 2017 to Mar 30, 2018
    • Business name · F•••••• S••••• M••••••••• L•• to F•• C•••••• M••••••••• L••
      May 19, 2017 to May 25, 2017
    • Private funds · unset to 6
      May 19, 2017 to May 25, 2017
    • Accounts · 495 to 514
      Oct 5, 2016 to Mar 31, 2017
    • Assets in custody · $188M to $176M
      Oct 5, 2016 to Mar 31, 2017
    • Discretionary RAUM · $188M to $281M
      Oct 5, 2016 to Mar 31, 2017
    • Non-discretionary RAUM · $68.4M to $0
      Oct 5, 2016 to Mar 31, 2017
    • RAUM · $256M to $281M
      Oct 5, 2016 to Mar 31, 2017
    • Related adviser · true to false
      Oct 5, 2016 to Mar 31, 2017
    • Accounts · 470 to 495
      Apr 1, 2015 to Mar 21, 2016
    • Assets in custody · $201M to $188M
      Apr 1, 2015 to Mar 21, 2016
    • Private funds · 1 to unset
      Apr 1, 2015 to Mar 21, 2016
    • Discretionary RAUM · $201M to $188M
      Apr 1, 2015 to Mar 21, 2016
    • Non-discretionary RAUM · $58.1M to $68.4M
      Apr 1, 2015 to Mar 21, 2016
    • RAUM · $259M to $256M
      Apr 1, 2015 to Mar 21, 2016
    • Accounts · 450 to 470
      Aug 11, 2014 to Apr 1, 2015
    • BD registered reps · 2 to 1
      Aug 11, 2014 to Apr 1, 2015
    • Assets in custody · $174M to $201M
      Aug 11, 2014 to Apr 1, 2015
    • Employees · 16 to 17
      Aug 11, 2014 to Apr 1, 2015
    • Discretionary RAUM · $174M to $201M
      Aug 11, 2014 to Apr 1, 2015
    • Non-discretionary RAUM · $59.7M to $58.1M
      Aug 11, 2014 to Apr 1, 2015
    • RAUM · $234M to $259M
      Aug 11, 2014 to Apr 1, 2015
    • Employees · 13 to 16
      Apr 1, 2014 to Aug 11, 2014
    • Accounts · 424 to 450
      Mar 7, 2013 to Apr 1, 2014
    • Assets in custody · $155M to $174M
      Mar 7, 2013 to Apr 1, 2014
    • Employees · 16 to 13
      Mar 7, 2013 to Apr 1, 2014
    • Discretionary RAUM · $155M to $174M
      Mar 7, 2013 to Apr 1, 2014
    • Non-discretionary RAUM · $44.7M to $59.7M
      Mar 7, 2013 to Apr 1, 2014
    • RAUM · $200M to $234M
      Mar 7, 2013 to Apr 1, 2014
    Signals
    No event on the tape.
    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
    Across the graphs

    F•• C•••••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.

    Real Estate Funds1

    Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

    Checking your plan…