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•••••••• I••••••••• I••

Former SEC-registered adviserWellesley, MassachusettsCRD 146673SEC 801-69937IAPD
Latest filing Sep 16, 2015
First filing on the tape Mar 23, 2012 · 19 filings
RAUM
$49,000
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
57
13 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$20.8M as of Mar 30, 2015
Apr 1, 2013$2.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2015
Apr 1, 201314 then
Employees (5.A)110 as of Mar 30, 2015
Apr 1, 201341 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 15 to 1
Practice profile
derived from the filing of Sep 16, 2015; every figure names its basis
RAUM per advisor
$49,000derivedRAUM 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
$49,000derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
57.0derivedItem 5.A over advisors
Advisors per office
0.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-66%derivedbetween the last two annual amendments
Advisor growth, one year
-93%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, otherreportedItem 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)
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
1reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • D••••• L••••• P••••• · Ceo And Elected Managercontrol
    since 11/2014 · owns less than 5%
  • D••••••••• D••••••• L•• · Coo, Cfocontrol
    since 06/2009 · owns less than 5%
  • F•••••• S••••• · Chief Distribution Officercontrol
    since 03/2015 · owns less than 5%
  • M•••• T•••••• F•••••••• · Elected Managercontrol
    since 07/2011 · owns less than 5%
  • P•••••• D••••• N••••• · Chief Restructuring Officercontrol
    since 07/2015 · owns less than 5%
  • R••••• S••••••• J• · Elected Managercontrol
    since 12/2009 · owns less than 5%
  • S••••••• A•• M•••• · Chief Compliance Officercontrol
    since 07/2015 · owns less than 5%
  • D••••• L••••• P••••• · Elected Managercontrol
    since 11/2011 · owns F of F•••••••• Investment Management, LLC
  • M•••• T•••••• F•••••••• · Elected Managercontrol
    since 07/2011 · owns F of F•••••••• Investment Management, LLC
  • R••••• S••••••• J• · Elected Managercontrol
    since 12/2009 · owns F of F•••••••• Investment Management, LLC
Entity owners
  • F•••••••• I••••••••• M••••••••• L•• · Member
    direct · owns 75% or more
Related persons
Schedule D 7.A
Advisers that list F•••••••• I••••••••• I•• as a related person
Offices
Schedule D 1.F, the 25 largest
  • Ewing, NJ
  • Wellesley, MA
What changed
consecutive filings, newest first
  • Accounts · 2 to 1
    Apr 15, 2015 to Jul 10, 2015
  • Advisory employees · 18 to 13
    Apr 15, 2015 to Jul 10, 2015
  • Employees · 110 to 57
    Apr 15, 2015 to Jul 10, 2015
  • Discretionary RAUM · $20.8M to $49,000
    Apr 15, 2015 to Jul 10, 2015
  • RAUM · $20.8M to $49,000
    Apr 15, 2015 to Jul 10, 2015
  • Accounts · 4 to 2
    Dec 23, 2014 to Mar 30, 2015
  • Advisory employees · 15 to 18
    Dec 23, 2014 to Mar 30, 2015
  • Assets in custody · 807169.0 to unset
    Dec 23, 2014 to Mar 30, 2015
  • Custody of client assets · true to false
    Dec 23, 2014 to Mar 30, 2015
  • Employees · 115 to 110
    Dec 23, 2014 to Mar 30, 2015
  • State-registered IARs · 15 to 1
    Dec 23, 2014 to Mar 30, 2015
  • Discretionary RAUM · $27.7M to $20.8M
    Dec 23, 2014 to Mar 30, 2015
  • RAUM · $27.7M to $20.8M
    Dec 23, 2014 to Mar 30, 2015
  • Accounts · 18 to 4
    Jun 19, 2014 to Aug 29, 2014
  • Assets in custody · $4.4M to $807,169
    Jun 19, 2014 to Aug 29, 2014
  • Discretionary RAUM · $61.8M to $27.7M
    Jun 19, 2014 to Aug 29, 2014
  • RAUM · $61.8M to $27.7M
    Jun 19, 2014 to Aug 29, 2014
  • Accounts · 16 to 18
    Jan 24, 2014 to Mar 31, 2014
  • Assets in custody · $9.8M to $4.4M
    Jan 24, 2014 to Mar 31, 2014
  • Employees · 90 to 115
    Jan 24, 2014 to Mar 31, 2014
  • Discretionary RAUM · $60.3M to $61.8M
    Jan 24, 2014 to Mar 31, 2014
  • RAUM · $60.3M to $61.8M
    Jan 24, 2014 to Mar 31, 2014
  • Accounts · 15 to 16
    Oct 10, 2013 to Jan 24, 2014
  • Discretionary RAUM · $57.0M to $60.3M
    Oct 10, 2013 to Jan 24, 2014
  • RAUM · $57.0M to $60.3M
    Oct 10, 2013 to Jan 24, 2014
  • Accounts · 68 to 15
    Sep 11, 2013 to Oct 10, 2013
  • Advisory employees · 18 to 15
    Sep 11, 2013 to Oct 10, 2013
  • Advisory activities · 3 to 2
    Sep 11, 2013 to Oct 10, 2013
  • Assets in custody · $9.9M to $9.8M
    Sep 11, 2013 to Oct 10, 2013
  • Employees · 60 to 90
    Sep 11, 2013 to Oct 10, 2013
  • State-registered IARs · 18 to 15
    Sep 11, 2013 to Oct 10, 2013
  • Discretionary RAUM · $64.0M to $57.0M
    Sep 11, 2013 to Oct 10, 2013
  • Non-discretionary RAUM · $2.2B to $0
    Sep 11, 2013 to Oct 10, 2013
  • RAUM · $2.3B to $57.0M
    Sep 11, 2013 to Oct 10, 2013
  • HQ city · NEWTON to WELLESLEY
    Jun 24, 2013 to Sep 11, 2013
  • Accounts · 69 to 68
    Apr 30, 2013 to Jun 24, 2013
  • Advisory employees · 23 to 18
    Apr 30, 2013 to Jun 24, 2013
  • Assets in custody · $8.1M to $9.9M
    Apr 30, 2013 to Jun 24, 2013
  • Employees · 41 to 60
    Apr 30, 2013 to Jun 24, 2013
  • State-registered IARs · 14 to 18
    Apr 30, 2013 to Jun 24, 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