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•••••• C•••••••••
Latest filing Apr 1, 2013
First filing on the tape Jan 4, 2012 · 9 filings
RAUM
$57B
reported, Item 5.F
Discretionary
97%
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
231
54 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$57B as of Apr 1, 2013
Jan 4, 2012$29B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2013
Jan 4, 20120 then
Employees (5.A): 231
Private funds: no history
RAUM +97% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 2013; 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
- $2.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +97%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
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
- 23,209reported
- Financial planning clients
- 0reported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• C••••••••• · Directorcontrolsince 06/2010 · owns less than 5%
- B••••••••• D•••• · Directorcontrolsince 12/2010 · owns less than 5%
- B••••••••• P••••• · Senior Vp Financecontrolsince 09/2010 · owns less than 5%
- B•••••••• S•••••• · Coo, Directorcontrolsince 06/2003 · owns less than 5%
- D•• R•••••• V••••••• · Senior Vp Legal Affairs, Chief Compliance Officercontrolsince 09/2010 · owns less than 5%
- D••••••••• J••••••• · Ceo, Cio, Directorcontrolsince 09/2003 · owns less than 5%
- J••••• M••••• L••••• · Executive Vp, Private Wealthcontrolsince 06/2010 · owns less than 5%
- M••••• J••• C••••• · Directorcontrolsince 11/2003 · owns less than 5%
- N•••••• N••• · Directorcontrolsince 07/2010 · owns less than 5%
- P•••••••• L•• · Directorcontrolsince 04/2012 · owns less than 5%
- P••••••••• D••••• B•••• · Director, Vice Chairman And Executive Vp, Institutional Managementcontrolsince 04/2012 · owns less than 5%
- S••••• A•••••• R•••••• · Directorcontrolsince 05/1989 · owns less than 5%
- S•••• D••••• R••••••• · Directorcontrolsince 05/2006 · owns less than 5%
- S••••••••• A•••• · Senior Vp, Human Resourcescontrolsince 09/2010 · owns less than 5%
- V•••••• L•••• · Directorcontrolsince 04/2012 · owns less than 5%
- V•••• A•••••••• · Executive Vice President, Strategic Investment P•••••••••Scontrolsince 03/2012 · owns less than 5%
- W•••••• W•••••• R••• · Directorcontrolsince 05/1997 · owns less than 5%
- D••••••••• J••••••• · Shareholdercontrolsince 12/1988 · owns 75% or more of F•••• C•••••••••
Entity owners
- F•••• C•••••• L• · Shareholderdirect · owns 25% to 50%
- A••••••• I••• · Shareholderindirect · owns 50% to 75% of F•••• H••••••• I•••
- D••••••••• S•••••• F••••••••• I••• · Shareholderindirect · owns 25% to 50% of F•••• H••••••• I•••
- D•• C•••••• I••• · Shareholderindirect · owns 50% to 75% of A••••••• I•••
- F•••• C••••••••• · Shareholderindirect · owns 75% or more of F•••• I••••••••• I•••
- F•••• H••••••• I••• · General Partnerindirect · owns F of F•••• C•••••• L•
- F•••• I••••••••• I••• · Shareholderindirect · owns 75% or more of D•• C•••••• I•••
- N••••••• B••• O• C••••• · Shareholderindirect · owns 75% or more of N••••• I••••••••• M••••••••• I•••
- C•••••••• A••••••• · Shareholderdirect · owns 5% to 10%
- G•••••• • C•••••• I••••••••• C•••••• L•• · Shareholderdirect · owns 5% to 10%
- N••••• I••••••••• M••••••••• I••• · Shareholderdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- F•••• A•••• I••••••••• I•••pooled vehicle sponsory
- F•••• P••••••••• L••••••pooled vehicle sponsory
- F•••• Q•••••• L•••••• P•••••••••banky
- F•••• S•••••• F•••• I•••broker-dealery
- T•• F•••• C•••••• Q••• I• I••••••••• F••• I•••pooled vehicle sponsory
Advisers that list F•••• C•••••• C••••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Calgary, Canada
- New York, NY
- Toronto, Canada
- Vancouver, Canada
What changed
consecutive filings, newest first
- Accounts · 21,398 to 23,209Nov 2, 2012 to Apr 1, 2013
- Advisory employees · 60 to 54Nov 2, 2012 to Apr 1, 2013
- Employees · 155 to 231Nov 2, 2012 to Apr 1, 2013
- Discretionary RAUM · $28B to $56BNov 2, 2012 to Apr 1, 2013
- Non-discretionary RAUM · $1.4B to $1.5BNov 2, 2012 to Apr 1, 2013
- RAUM · $29B to $57BNov 2, 2012 to Apr 1, 2013
- Related bank · false to trueNov 2, 2012 to Apr 1, 2013
- Related broker-dealer · false to trueNov 2, 2012 to Apr 1, 2013
- Advisory employees · unset to 60.0Aug 31, 2012 to Nov 2, 2012
- Employees · unset to 155.0Aug 31, 2012 to Nov 2, 2012
- Business name · F•••• S•••••• I••• to F•••• C•••••• C•••••••••Apr 17, 2012 to Aug 31, 2012
- Legal name · F•••• S•••••• I••• to F•••• C•••••• C•••••••••Apr 10, 2012 to Apr 17, 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