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•• C•••••• H•••••••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 153189SEC 801-71252IAPD
Legal name F•• C•••••• H•••••••• L••
Latest filing Mar 30, 2018
First filing on the tape Mar 30, 2012 · 14 filings
RAUM
$22.1M
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
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
9
$48.9M gross assets
History
14 filings and snapshots on the tape
RAUM$22.1M as of Mar 30, 2018
Mar 30, 2012$886M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Mar 30, 20120 then
Employees (5.A)1 as of Mar 30, 2018
Apr 2, 20134 then
Private funds9 as of Mar 30, 2018
Mar 30, 201216 then
RAUM -84% over the last fiscal year-56% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2018; 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
$2.8MderivedRAUM 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
-84%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
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
  • 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
  • Pooled investment vehicles$22.1M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
n/areported
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
      11 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••• F•••••• C•• I• L•••no longer reportedSecuritized Asset Fund$97.2M14Mar 30, 2012
      K•••••• I• C••• L•••no longer reportedSecuritized Asset Fund$23.2M7Mar 30, 2012
      G•••••• F•••••• C•• I•• L•••Securitized Asset Fund$17.6M6Mar 30, 2012
      A•• A•• 2•••••• L••••••Securitized Asset Fund$11.4M7Mar 30, 2012
      G•••••• F•••••• C•• I••• L•••Securitized Asset Fund$9.6M7Mar 30, 2012
      A•• A•• 2•••••• L••••••Securitized Asset Fund$9.0M4Mar 30, 2012
      A•• A•• 2•••••• L••••••Securitized Asset Fund$1.1M11Mar 30, 2012
      A•• A•• 2•••••• L••••••Securitized Asset Fund$119,6719Mar 30, 2012
      A•• A•• 2•••••• L••••••Securitized Asset Fund$13,59710Mar 30, 2012
      A•• A•• 2•••••• L••••••Securitized Asset Fund$06Mar 30, 2012
      A•• A•• 2•••••• L••Securitized Asset Fund$019Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A••• P•••• J••••• · Chief Compliance Officercontrol
        since 05/2015 · owns less than 5%
      Entity owners
      • S•••••• C•••••• B• I••• · Direct Owner - Shareholder
        direct · owns 75% or more
      • S••••• F•••••••• C••• · 100% Owner Of S••••• Venture
        direct · owns less than 5% · public reporting company
      • S••••• V•••••• C•••• · 100% Owner Of S•••••• Capital B, Inc
        direct · owns less than 5%
      • S••••• F•••••••• C•••• · Parent Company Of S••••• Venture
        indirect · owns F of F•• C•••••• H••••••• · public reporting company
      • S••••• V•••••• C••• · Indirect Owner
        indirect · owns 75% or more of F•• C•••••• H•••••••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Chicago, IL3 employees
      What changed
      consecutive filings, newest first
      • Accounts · 9 to 8
        Jun 5, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 8.0
        Jun 5, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        Jun 5, 2017 to Mar 30, 2018
      • Discretionary RAUM · $95.3M to $22.1M
        Jun 5, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 22108318.0
        Jun 5, 2017 to Mar 30, 2018
      • RAUM · $95.3M to $22.1M
        Jun 5, 2017 to Mar 30, 2018
      • Related bank · true to false
        Jun 5, 2017 to Mar 30, 2018
      • Related broker-dealer · true to false
        Jun 5, 2017 to Mar 30, 2018
      • Related insurance company · true to false
        Jun 5, 2017 to Mar 30, 2018
      • Accounts · 7 to 9
        Mar 31, 2017 to Jun 5, 2017
      • Private funds · 7 to 9
        Mar 31, 2017 to Jun 5, 2017
      • Discretionary RAUM · $137M to $95.3M
        Mar 31, 2017 to Jun 5, 2017
      • RAUM · $137M to $95.3M
        Mar 31, 2017 to Jun 5, 2017
      • Advisory employees · 2 to 1
        Jan 20, 2017 to Mar 31, 2017
      • Employees · 2 to 1
        Jan 20, 2017 to Mar 31, 2017
      • Related adviser · false to true
        Jan 20, 2017 to Mar 31, 2017
      • Related bank · false to true
        Jan 20, 2017 to Mar 31, 2017
      • Related broker-dealer · false to true
        Jan 20, 2017 to Mar 31, 2017
      • Related insurance company · false to true
        Jan 20, 2017 to Mar 31, 2017
      • Accounts · 8 to 7
        Mar 24, 2015 to Apr 1, 2016
      • HQ city · NEW YORK to LOS ANGELES
        Mar 24, 2015 to Apr 1, 2016
      • HQ state · NY to CA
        Mar 24, 2015 to Apr 1, 2016
      • Private funds · 8 to 7
        Mar 24, 2015 to Apr 1, 2016
      • Discretionary RAUM · $258M to $137M
        Mar 24, 2015 to Apr 1, 2016
      • RAUM · $258M to $137M
        Mar 24, 2015 to Apr 1, 2016
      • Accounts · 9 to 8
        Apr 24, 2014 to Mar 24, 2015
      • Private funds · 9 to 8
        Apr 24, 2014 to Mar 24, 2015
      • Discretionary RAUM · $377M to $258M
        Apr 24, 2014 to Mar 24, 2015
      • RAUM · $377M to $258M
        Apr 24, 2014 to Mar 24, 2015
      • Accounts · 14 to 9
        Jul 1, 2013 to Mar 31, 2014
      • Advisory employees · 3 to 2
        Jul 1, 2013 to Mar 31, 2014
      • BD registered reps · 2 to 1
        Jul 1, 2013 to Mar 31, 2014
      • Employees · 4 to 2
        Jul 1, 2013 to Mar 31, 2014
      • Private funds · 14 to 9
        Jul 1, 2013 to Mar 31, 2014
      • Discretionary RAUM · $554M to $377M
        Jul 1, 2013 to Mar 31, 2014
      • RAUM · $554M to $377M
        Jul 1, 2013 to Mar 31, 2014
      • Accounts · 16 to 14
        Mar 30, 2012 to Apr 2, 2013
      • Advisory employees · unset to 3.0
        Mar 30, 2012 to Apr 2, 2013
      • BD registered reps · unset to 2.0
        Mar 30, 2012 to Apr 2, 2013
      • Employees · unset to 4.0
        Mar 30, 2012 to Apr 2, 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