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••••• A•••••••• L••

Former SEC-registered adviserGreenwich, ConnecticutCRD 153830SEC 801-71447IAPD
Latest filing Mar 28, 2016
First filing on the tape Apr 9, 2012 · 9 filings
RAUM
$133M
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
9
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$133M as of Mar 28, 2016
Apr 9, 2012$97.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2016
Apr 9, 20120 then
Employees (5.A)9 as of Mar 28, 2016
Mar 19, 20139 then
Private funds: no history
RAUM -0.9% over the last fiscal year+10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2016; 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
$133MderivedRAUM 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
-0.9%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
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)
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 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••• G••••• J• · Managing Membercontrol
        since 11/2013 · owns less than 5%
      • S••••••••• P•••••••• A•• · Chief Compliance Officercontrol
        since 10/2014 · owns less than 5%
      • S•••••• J•••• E••••• · Managing Membercontrol
        since 04/2010 · owns 10% to 25%
      • F•••••• G••••• J• · Membercontrol
        since 10/2013 · owns 50% to 75% of F••••• A•••• M••••••••• L••
      • F•••••• M•••• · Trusteecontrol
        since 10/2013 · owns F of F••••• F••••• 2••• T••••
      • S•••••• M••••••• G• · Trusteecontrol
        since 07/2010 · owns F of J••• E• S••••• 2••• F••••• T••••
      Entity owners
      • F••••• F••••• 2••• T•••• · Member
        indirect · owns 50% to 75% of F••••• A•••• M••••••••• L••
      • F••••• A•••• M••••••••• L•• · Member
        direct · owns 50% to 75%
      • J••• E• S••••• 2••• F••••• T•••• · Member
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • F••• C••••• C•••••• C•••••••••
        investment adviserpooled vehicle sponsorn
      • F••• C••••• F••••••• L•
        investment advisery
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 1
        May 28, 2015 to Mar 28, 2016
      • Advisory employees · 11 to 8
        May 28, 2015 to Mar 28, 2016
      • BD registered reps · 2 to 0
        May 28, 2015 to Mar 28, 2016
      • Employees · 13 to 9
        May 28, 2015 to Mar 28, 2016
      • Discretionary RAUM · $134M to $133M
        May 28, 2015 to Mar 28, 2016
      • RAUM · $134M to $133M
        May 28, 2015 to Mar 28, 2016
      • Advisory employees · 12 to 11
        Mar 31, 2015 to May 28, 2015
      • BD registered reps · 3 to 2
        Mar 31, 2015 to May 28, 2015
      • Employees · 14 to 13
        Mar 31, 2015 to May 28, 2015
      • Accounts · 1 to 2
        Oct 6, 2014 to Mar 31, 2015
      • BD registered reps · 1 to 3
        Oct 6, 2014 to Mar 31, 2015
      • Discretionary RAUM · $150M to $134M
        Oct 6, 2014 to Mar 31, 2015
      • RAUM · $150M to $134M
        Oct 6, 2014 to Mar 31, 2015
      • Advisory employees · 10 to 12
        Mar 17, 2014 to Sep 22, 2014
      • BD registered reps · 0 to 1
        Mar 17, 2014 to Sep 22, 2014
      • Employees · 12 to 14
        Mar 17, 2014 to Sep 22, 2014
      • HQ city · RYE BROOK to GREENWICH
        Mar 17, 2014 to Sep 22, 2014
      • HQ state · NY to CT
        Mar 17, 2014 to Sep 22, 2014
      • Discretionary RAUM · $96.9M to $150M
        Mar 17, 2014 to Sep 22, 2014
      • RAUM · $96.9M to $150M
        Mar 17, 2014 to Sep 22, 2014
      • Advisory employees · 9 to 10
        Jan 10, 2014 to Mar 17, 2014
      • Employees · 10 to 12
        Jan 10, 2014 to Mar 17, 2014
      • Discretionary RAUM · $110M to $96.9M
        Jan 10, 2014 to Mar 17, 2014
      • RAUM · $110M to $96.9M
        Jan 10, 2014 to Mar 17, 2014
      • Advisory employees · 7 to 9
        Mar 19, 2013 to Jan 10, 2014
      • Employees · 9 to 10
        Mar 19, 2013 to Jan 10, 2014
      • Discretionary RAUM · $99.6M to $110M
        Mar 19, 2013 to Jan 10, 2014
      • RAUM · $99.6M to $110M
        Mar 19, 2013 to Jan 10, 2014
      • Advisory employees · unset to 7.0
        Apr 9, 2012 to Mar 19, 2013
      • Employees · unset to 9.0
        Apr 9, 2012 to Mar 19, 2013
      • Discretionary RAUM · $97.1M to $99.6M
        Apr 9, 2012 to Mar 19, 2013
      • RAUM · $97.1M to $99.6M
        Apr 9, 2012 to Mar 19, 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