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•••• S••••• M••••••••• L••

Former SEC-registered adviserGreenwich, ConnecticutCRD 146032SEC 801-68676IAPD
Latest filing May 4, 2017
First filing on the tape Mar 22, 2012 · 13 filings
RAUM
$3.9B
reported, Item 5.F
Discretionary
100%
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
51
22 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$73.4M gross assets
History
13 filings and snapshots on the tape
RAUM$3.9B as of Mar 31, 2017
Mar 22, 2012$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 22, 20120 then
Employees (5.A)51 as of Mar 31, 2017
Mar 21, 201352 then
Private funds1 as of Mar 31, 2017
Mar 31, 20142 then
RAUM -14% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 4, 2017; 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
$1.3BderivedRAUM 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
unknownderived2 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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, 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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F•••• S••••• S••••• L••• F••• I• O•••••••• E•••••• L••no longer reportedOther Private Fund$317M4Mar 31, 2015
      F•••• S••••• S••••• L••• F••• I• L••no longer reportedSecuritized Asset Fund$309M2Mar 31, 2015
      F•••• S••••• O••••••••• F•••• L•••Hedge Fund$73.4M9Mar 31, 2014
      F•••• S••••• S••••• L••• F••• I• O•••••••• E•••••• L••no longer reportedOther Private Fund$27.5M3Mar 31, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••••• K••••• S•••••• · Chief Compliance Officer And Executive Director, Legalcontrol
        since 10/2015 · owns less than 5%
      • B•••••• B••••••• D•••• · Co-Presidentcontrol
        since 01/2017 · owns less than 5%
      • D•••••• P••••••• J•••• · Co-Presidentcontrol
        since 01/2017 · owns less than 5%
      • D•••••••• I•••••• M••••• · Chief Investment Officercontrol
        since 06/2008 · owns less than 5%
      • F••••• A••••••••• C•••••• · Chief O•••••••• Officercontrol
        since 05/2013 · owns less than 5%
      • N••••••• S•••••• M•••••• · Chief Financial Officercontrol
        since 01/2011 · owns less than 5%
      • T••••••••• L••••••• M••• · Chief Executive Officercontrol
        since 03/2007 · owns less than 5%
      • T••••••••• L••••••• M••• · Sole Shareholder Of F•• C• I•• I•••control
        since 10/2014 · owns 75% or more of F•• C• I•• I•••
      Entity owners
      • F•••• S••••• H••••••• L••• · Sole Member
        direct · owns 75% or more
      • F•••• S••••• A•••• M••••••••• I••• · General Partner Of F•••• S••••• H••••••• L•••
        indirect · owns 25% to 50% of F•••• S••••• H••••••• L••• · public reporting company
      • F•• C• I•• I••• · Limited Partner Of F•••• S••••• H••••••• L•••
        indirect · owns 50% to 75% of F•••• S••••• H••••••• L•••
      Related persons
      Schedule D 7.A
      Advisers that list F•••• S••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Chicago, IL
      What changed
      consecutive filings, newest first
      • Advisory employees · 38 to 22
        Mar 30, 2016 to Mar 31, 2017
      • Advisory activities · 3 to 2
        Mar 30, 2016 to Mar 31, 2017
      • BD registered reps · 1 to 0
        Mar 30, 2016 to Mar 31, 2017
      • Employees · 87 to 51
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $4.6B to $3.9B
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $4.6B to $3.9B
        Mar 30, 2016 to Mar 31, 2017
      • Accounts · 5 to 3
        Oct 19, 2015 to Mar 30, 2016
      • Advisory employees · 45 to 38
        Oct 19, 2015 to Mar 30, 2016
      • Advisory activities · 2 to 3
        Oct 19, 2015 to Mar 30, 2016
      • BD registered reps · 0 to 1
        Oct 19, 2015 to Mar 30, 2016
      • Assets in custody · $103M to $0
        Oct 19, 2015 to Mar 30, 2016
      • Employees · 95 to 87
        Oct 19, 2015 to Mar 30, 2016
      • Private funds · 3 to 1
        Oct 19, 2015 to Mar 30, 2016
      • Discretionary RAUM · $4.3B to $4.6B
        Oct 19, 2015 to Mar 30, 2016
      • RAUM · $4.3B to $4.6B
        Oct 19, 2015 to Mar 30, 2016
      • Related adviser · false to true
        Mar 31, 2015 to Apr 29, 2015
      • Accounts · 4 to 5
        Nov 14, 2014 to Mar 31, 2015
      • Advisory employees · 40 to 45
        Nov 14, 2014 to Mar 31, 2015
      • Assets in custody · $10.8M to $103M
        Nov 14, 2014 to Mar 31, 2015
      • Employees · 75 to 95
        Nov 14, 2014 to Mar 31, 2015
      • Private funds · 2 to 3
        Nov 14, 2014 to Mar 31, 2015
      • Discretionary RAUM · $2.6B to $4.3B
        Nov 14, 2014 to Mar 31, 2015
      • RAUM · $2.6B to $4.3B
        Nov 14, 2014 to Mar 31, 2015
      • Accounts · 1 to 4
        May 9, 2013 to Mar 31, 2014
      • Advisory employees · 26 to 40
        May 9, 2013 to Mar 31, 2014
      • Advisory activities · 1 to 2
        May 9, 2013 to Mar 31, 2014
      • Assets in custody · unset to 10751142.0
        May 9, 2013 to Mar 31, 2014
      • Custody of client assets · false to true
        May 9, 2013 to Mar 31, 2014
      • Employees · 52 to 75
        May 9, 2013 to Mar 31, 2014
      • Private funds · unset to 2
        May 9, 2013 to Mar 31, 2014
      • Discretionary RAUM · $1.6B to $2.6B
        May 9, 2013 to Mar 31, 2014
      • RAUM · $1.6B to $2.6B
        May 9, 2013 to Mar 31, 2014
      • Related adviser · true to false
        May 9, 2013 to Mar 31, 2014
      • Related bank · false to true
        May 9, 2013 to Mar 31, 2014
      • Advisory employees · unset to 26.0
        Mar 22, 2012 to Mar 21, 2013
      • Employees · unset to 52.0
        Mar 22, 2012 to Mar 21, 2013
      • Discretionary RAUM · $1.2B to $1.6B
        Mar 22, 2012 to Mar 21, 2013
      • RAUM · $1.2B to $1.6B
        Mar 22, 2012 to Mar 21, 2013
      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