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Former SEC-registered adviser

F•••••••• C••••••

Former SEC-registered adviserNew York, New YorkCRD 150012SEC 801-70444IAPD
Legal name F•••••••• C•••••• M••••••••• L••
Latest filing Mar 26, 2014
First filing on the tape Nov 11, 2011 · 8 filings
RAUM
$78.0M
reported, Item 5.F
Discretionary
33%
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
6
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$78.0M as of Mar 26, 2014
Mar 30, 2012$121M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2014
Mar 25, 20130 then
Employees (5.A)6 as of Mar 26, 2014
Mar 25, 20139 then
Private funds: 1
RAUM -8.8% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2014; 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
$371,429derivedRAUM over accounts (5.F.2.f)
Discretionary
33%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
-8.8%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
financial planning, portfolio management for individuals, pension consulting, publicationsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • a related person has custody of client cash (9.B.1.a)
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
210reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F•••••••• F•••• L••• F••• I• L••no longer reportedHedge Fund$4.3M5Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • E••••• C••••••••• E• · Presidentcontrol
        since 01/2011 · owns less than 5%
      • R••••••• B••••••• C••• · Chief Executive Officercontrol
        since 06/2009 · owns less than 5%
      • S••••• L•••••••• R••••• · Chief Investment Officercontrol
        since 11/2011 · owns less than 5%
      • W••••••••• D••••• A•••• · Chief Operating Officer, Chief Compliance Officercontrol
        since 07/2009 · owns less than 5%
      • E••••• C••••••••• E• · Presidentcontrol
        since 01/2011 · owns F of F•••••••• C•••••• Management, LLC
      • R••••••• B••••••• C••• · Chief Executive Officercontrol
        since 07/2009 · owns 50% to 75% of F•••••••• M••••••••• G•••• L••
      • W••••••••• D••••• A•••• · Managing Membercontrol
        since 07/2009 · owns F of F•••••••• M••••••••• G•••• L••
      Entity owners
      • F•••••••• M••••••••• G•••• L•• · Managing Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 349 to 210
        Mar 25, 2013 to Mar 26, 2014
      • Advisory employees · 4 to 2
        Mar 25, 2013 to Mar 26, 2014
      • BD registered reps · 7 to 3
        Mar 25, 2013 to Mar 26, 2014
      • Employees · 9 to 6
        Mar 25, 2013 to Mar 26, 2014
      • Discretionary RAUM · $85.5M to $26.0M
        Mar 25, 2013 to Mar 26, 2014
      • Non-discretionary RAUM · $0 to $52.0M
        Mar 25, 2013 to Mar 26, 2014
      • RAUM · $85.5M to $78.0M
        Mar 25, 2013 to Mar 26, 2014
      • Accounts · 471 to 349
        Oct 5, 2012 to Mar 25, 2013
      • Advisory employees · unset to 4.0
        Oct 5, 2012 to Mar 25, 2013
      • BD registered reps · unset to 7.0
        Oct 5, 2012 to Mar 25, 2013
      • Employees · unset to 9.0
        Oct 5, 2012 to Mar 25, 2013
      • State-registered IARs · unset to 0.0
        Oct 5, 2012 to Mar 25, 2013
      • Private funds · 1 to unset
        Oct 5, 2012 to Mar 25, 2013
      • Discretionary RAUM · $119M to $85.5M
        Oct 5, 2012 to Mar 25, 2013
      • Non-discretionary RAUM · $1.6M to $0
        Oct 5, 2012 to Mar 25, 2013
      • RAUM · $121M to $85.5M
        Oct 5, 2012 to Mar 25, 2013
      • Accounts · 268 to 471
        Nov 11, 2011 to Mar 30, 2012
      • Advisory activities · 3 to 4
        Nov 11, 2011 to Mar 30, 2012
      • Insurance-licensed employees · unset to 0.0
        Nov 11, 2011 to Mar 30, 2012
      • Private funds · unset to 1
        Nov 11, 2011 to Mar 30, 2012
      • Discretionary RAUM · $75.5M to $119M
        Nov 11, 2011 to Mar 30, 2012
      • Non-discretionary RAUM · $18.8M to $1.6M
        Nov 11, 2011 to Mar 30, 2012
      • RAUM · $94.3M to $121M
        Nov 11, 2011 to Mar 30, 2012
      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