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.

Former SEC-registered adviser

Feg Investors, LLC

Former SEC-registered adviserCincinnati, OhioCRD 146444SEC 801-68915IAPD
Latest filing Jun 30, 2022
First filing on the tape Apr 25, 2012 · 18 filings
RAUM
$2.9M
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
17
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$743,888 gross assets
History
18 filings and snapshots on the tape
RAUM$2.9M as of Jun 30, 2022
Jun 28, 2012$328M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 30, 2022
Jun 25, 20135 then
Employees (5.A)17 as of Jun 30, 2022
Jun 25, 201310 then
Private funds1 as of Jun 30, 2022
Jun 28, 20181 then
RAUM -92% over the last fiscal year-78% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 30, 2022; 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
$1.5MderivedRAUM 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
-92%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 assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$2.2M75%
  • Pooled investment vehicles$743,88825%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Feg Directional Access Fund, LLCOther Private Fund$743,88869Jun 28, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • James Kevin Conroy · President Of The Fundscontrol
        since 02/2018 · owns less than 5%
      • Michael Gregory Dowling · Vice Presidentcontrol
        since 02/2008 · owns less than 5%
      • Scott Paul Keating · Treasurer, Chief Financial Officer And Chief Operating Officercontrol
        since 02/2018 · owns less than 5%
      • Francis John Labmeier · Secretarycontrol
        since 08/2015 · owns less than 5%
      • Alan James Lenahan · Presidentcontrol
        since 05/2015 · owns less than 5%
      • Richard Gary Price · Executive Vice Presidentcontrol
        since 02/2008 · owns less than 5%
      • Lee Susan Schrader Hartanto · Executive Vice Presidentcontrol
        since 06/2022 · owns less than 5%
      • Trondle Julie Thomas · Chief Compliance Officercontrol
        since 11/2015 · owns less than 5%
      • B. Gianna Tremoulis · Assistant Secretary
        since 01/2021 · owns less than 5%
      Entity owners
      • Fund Evaluation Group, LLC · Member
        direct · owns 75% or more
      • Fund Evaluation Group Employee Stock Ownership Trust · This Trust Owns 100% Of Fund Evaluation Group 2017, Inc.
        indirect · owns 75% or more of Fund Evaluation Group 2017, Inc.
      • Argent Trust Company · Argent Is The Trustee Of Fund Evaluation Group Employee Stock Ownership Trust
        indirect · owns F of Fund Evaluation Group Employee Stock Ownership Trust
      • Fund Evaluation Group 2017, Inc. · Holding Company For Fund Evaluation Group, LLC.
        indirect · owns 75% or more of Fund Evaluation Group, LLC
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Dallas, TX1 employees
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $38.7M to $2.9M
        Jul 1, 2021 to Jun 30, 2022
      • Pooled vehicle RAUM · $5.9M to $743,888
        Jul 1, 2021 to Jun 30, 2022
      • RAUM · $38.7M to $2.9M
        Jul 1, 2021 to Jun 30, 2022
      • Advisory employees · 12 to 9
        Jun 24, 2020 to Jun 30, 2021
      • Employees · 20 to 17
        Jun 24, 2020 to Jun 30, 2021
      • State-registered IARs · 1 to 0
        Jun 24, 2020 to Jun 30, 2021
      • Discretionary RAUM · $177M to $38.7M
        Jun 24, 2020 to Jun 30, 2021
      • Pooled vehicle RAUM · $6.9M to $5.9M
        Jun 24, 2020 to Jun 30, 2021
      • RAUM · $177M to $38.7M
        Jun 24, 2020 to Jun 30, 2021
      • Advisory employees · 10 to 12
        Jun 26, 2019 to Jun 24, 2020
      • BD registered reps · 7 to 0
        Jun 26, 2019 to Jun 24, 2020
      • Employees · 22 to 20
        Jun 26, 2019 to Jun 24, 2020
      • Other offices · 0 to 1
        Jun 26, 2019 to Jun 24, 2020
      • Discretionary RAUM · $265M to $177M
        Jun 26, 2019 to Jun 24, 2020
      • Pooled vehicle RAUM · $9.1M to $6.9M
        Jun 26, 2019 to Jun 24, 2020
      • RAUM · $265M to $177M
        Jun 26, 2019 to Jun 24, 2020
      • Advisory employees · 23 to 10
        Jun 28, 2018 to Jun 26, 2019
      • Employees · 23 to 22
        Jun 28, 2018 to Jun 26, 2019
      • Discretionary RAUM · $362M to $265M
        Jun 28, 2018 to Jun 26, 2019
      • Pooled vehicle RAUM · $17.9M to $9.1M
        Jun 28, 2018 to Jun 26, 2019
      • RAUM · $362M to $265M
        Jun 28, 2018 to Jun 26, 2019
      • Advisory activities · 1 to 2
        Oct 13, 2017 to Jun 28, 2018
      • BD registered reps · 6 to 7
        Oct 13, 2017 to Jun 28, 2018
      • Pooled vehicle clients · unset to 1.0
        Oct 13, 2017 to Jun 28, 2018
      • State-registered IARs · 0 to 1
        Oct 13, 2017 to Jun 28, 2018
      • Other offices · 3 to 0
        Oct 13, 2017 to Jun 28, 2018
      • Private funds · unset to 1
        Oct 13, 2017 to Jun 28, 2018
      • Discretionary RAUM · $465M to $362M
        Oct 13, 2017 to Jun 28, 2018
      • Pooled vehicle RAUM · unset to 17871499.0
        Oct 13, 2017 to Jun 28, 2018
      • RAUM · $465M to $362M
        Oct 13, 2017 to Jun 28, 2018
      • Other offices · unset to 3.0
        Jun 29, 2017 to Oct 13, 2017
      • Advisory employees · 15 to 23
        Jun 29, 2016 to Jun 29, 2017
      • BD registered reps · 4 to 6
        Jun 29, 2016 to Jun 29, 2017
      • Employees · 15 to 23
        Jun 29, 2016 to Jun 29, 2017
      • Discretionary RAUM · $483M to $465M
        Jun 29, 2016 to Jun 29, 2017
      • RAUM · $483M to $465M
        Jun 29, 2016 to Jun 29, 2017
      • Advisory employees · 10 to 15
        Sep 11, 2015 to Jun 29, 2016
      • BD registered reps · 0 to 4
        Sep 11, 2015 to Jun 29, 2016
      • Employees · 10 to 15
        Sep 11, 2015 to Jun 29, 2016
      • State-registered IARs · 5 to 0
        Sep 11, 2015 to Jun 29, 2016
      Signals
      6 dated events
      • Lee Susan Schrader Hartanto (Executive Vice President) appeared on Schedule A of Feg Investors, Llc
        Jun 30, 2022 · Control person joined · fact
      • Kyndal Michel Marks (Treasurer And Chief Financial Officer) no longer on Schedule A of Feg Investors, Llc (listed 2021-07-01, absent 2022-06-30)
        Jun 30, 2022 · Control person left · inference
      • Feg Investors, Llc reported RAUM $38.7M, down 78% from $176.7M (2020-06-24 to 2021-06-30)
        Jun 30, 2021 · RAUM change · derived
      • Thayer Mary Bascom (Chief Financial Officer & Treasurer) no longer on Schedule A of Feg Investors, Llc (listed 2020-06-24, absent 2021-06-30)
        Jun 30, 2021 · Control person left · inference
      • Kyndal Michel Marks (Treasurer And Chief Financial Officer) appeared on Schedule A of Feg Investors, Llc
        Jun 30, 2021 · Control person joined · fact
      • Brian Scott Harsh (Executive Vice President) no longer on Schedule A of Feg Investors, Llc (listed 2018-06-28, absent 2019-06-26)
        Jun 26, 2019 · Control person left · inference
      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