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•••••••• C•••••• M•••••• L••

Former SEC-registered adviserNew York, New YorkCRD 151812SEC 801-80131IAPD
Latest filing Jun 18, 2015
First filing on the tape Jul 23, 2014 · 4 filings
RAUM
$41.6M
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
37
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$41.6M as of Jun 18, 2015
Jul 23, 2014$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 18, 2015
Jul 23, 20140 then
Employees (5.A)37 as of Jun 18, 2015
Jul 23, 20146 then
Private funds: no history
Practice profile
derived from the filing of Jun 18, 2015; 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
$255,215derivedRAUM 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
unknownderivedbetween 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 advisers, 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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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
163reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • R••••••• B•••••• C••• · Chief Executive Officercontrol
        since 06/2009 · owns less than 5%
      • W••••••••• D•••• A•••• · Chief Financial Officer And Chief Compliance Officercontrol
        since 06/2009 · owns less than 5%
      • R••••••• B•••••• C••• · Membercontrol
        since 02/2012 · owns 75% or more of F•••••••• C•••••• H•••••••• L••
      • E••••• C••••••••• E• · Member
        since 02/2013 · owns F of F•••••••• C•••••• H•••••••• L••
      Entity owners
      • F•••••••• C•••••• H•••••••• L•• · Owner-Shareholder
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Advisers that list F•••••••• C•••••• M•••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • BD registered reps · 3 to 37
        Jan 23, 2015 to Jun 18, 2015
      • Accounts · 180 to 163
        Jan 23, 2015 to Jun 18, 2015
      • Advisory employees · 2 to 1
        Jan 23, 2015 to Jun 18, 2015
      • Advisory activities · 6 to 4
        Jan 23, 2015 to Jun 18, 2015
      • Employees · 6 to 37
        Jan 23, 2015 to Jun 18, 2015
      • Financial planning clients · 0 to 1-10
        Jan 23, 2015 to Jun 18, 2015
      • Discretionary RAUM · $38.0M to $41.6M
        Jan 23, 2015 to Jun 18, 2015
      • RAUM · $38.0M to $41.6M
        Jan 23, 2015 to Jun 18, 2015
      • Related broker-dealer · true to false
        Jan 23, 2015 to Jun 18, 2015
      • Accounts · 0 to 180
        Jul 23, 2014 to Dec 5, 2014
      • Discretionary RAUM · $0 to $38.0M
        Jul 23, 2014 to Dec 5, 2014
      • RAUM · $0 to $38.0M
        Jul 23, 2014 to Dec 5, 2014
      Signals
      1 dated events
      • F•••••••• C•••••• M•••••• L•• filed its initial SEC registration (Form ADV)
        Jul 23, 2014 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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