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••••••• T•••••••• I••••••••• J•••• L•••

Former SEC-registered adviserTokyo, CRD 155090SEC 801-71880IAPD
Latest filing Dec 20, 2012
First filing on the tape Dec 23, 2011 · 5 filings
RAUM
$275M
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
27
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$275M as of Dec 20, 2012
Dec 23, 2011$231M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Dec 20, 2012
Dec 23, 20110 then
Employees (5.A): 27
Private funds: no history
RAUM +19% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Dec 20, 2012; 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
$17.2MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+19%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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companies, 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
  • 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
16reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • B•••••••• M•••• B•••• · Directorcontrol
        since 06/2010 · owns less than 5%
      • H••••••••• K•••••• A•• · Chief Compliance Officercontrol
        since 09/2012 · owns less than 5%
      • M••••••••• K••• · Directorcontrol
        since 10/2012 · owns less than 5%
      • M••••••••• H•••••• · Directorcontrol
        since 06/2007 · owns less than 5%
      • O•••••• T•••••• · Representative Directorcontrol
        since 10/2012 · owns less than 5%
      • Y••• W••••••• Y•••• · Directorcontrol
        since 09/2003 · owns less than 5%
      Entity owners
      • F••••••• T•••••••• C•••••• H••••••• P•••••• L•••••• · Corp. Parent Of Registrant: 100%
        direct · owns 75% or more
      • F••••••• R••••••••• I••• · Parent Corporation Of Twi
        indirect · owns 75% or more of T•••••••• W••••••••• I••• · public reporting company
      • T•••••••• I••••••••• I••• · Corp. Parent Of Ftchpl: 100%
        indirect · owns 75% or more of F••••••• T•••••••• C•••••• H••••••• P•••••• L••••••
      • T•••••••• W••••••••• I••• · Corporate Parent Of Tii
        indirect · owns 75% or more of T•••••••• I••••••••• I•••
      Related persons
      Schedule D 7.A
      Advisers that list F••••••• T•••••••• I••••••••• J•••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 38 to 27
        Oct 30, 2012 to Dec 20, 2012
      • Discretionary RAUM · $281M to $268M
        Oct 30, 2012 to Dec 20, 2012
      • Non-discretionary RAUM · $8.4M to $7.0M
        Oct 30, 2012 to Dec 20, 2012
      • RAUM · $289M to $275M
        Oct 30, 2012 to Dec 20, 2012
      • Accounts · 19 to 16
        Sep 19, 2012 to Oct 30, 2012
      • Advisory employees · unset to 5.0
        Sep 19, 2012 to Oct 30, 2012
      • Employees · unset to 38.0
        Sep 19, 2012 to Oct 30, 2012
      • Discretionary RAUM · $223M to $281M
        Sep 19, 2012 to Oct 30, 2012
      • Non-discretionary RAUM · $8.3M to $8.4M
        Sep 19, 2012 to Oct 30, 2012
      • RAUM · $231M to $289M
        Sep 19, 2012 to Oct 30, 2012
      • Advisory activities · 1 to 2
        Dec 23, 2011 to Mar 30, 2012
      • Insurance-licensed employees · unset to 0.0
        Dec 23, 2011 to Mar 30, 2012
      • Related bank · false to true
        Dec 23, 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