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••• H•••• P•••••••• L••

Former SEC-registered adviserCRD 155308SEC 801-72042IAPD
Legal name F• P•••••••• L••
Latest filing Mar 16, 2016
First filing on the tape Mar 22, 2012 · 9 filings
RAUM
$105M
reported, Item 5.F
Discretionary
76%
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
3
2 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$105M as of Mar 16, 2016
Mar 22, 2012$160M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 16, 2016
Mar 22, 20120 then
Employees (5.A)3 as of Mar 16, 2016
Mar 19, 20135 then
Private funds: no history
RAUM -19% over the last fiscal year-16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 16, 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
$6.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
76%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
-19%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 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
  • 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)
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
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      • C••••••• E•••••• J••••• · Membercontrol
        since 11/1994 · owns 50% to 75%
      • S••••••• M••• · Member Chief Compliance Officercontrol
        since 11/1994 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • ,
      What changed
      consecutive filings, newest first
      • Accounts · 20 to 16
        Jul 29, 2015 to Mar 16, 2016
      • Discretionary RAUM · $130M to $80.0M
        Jul 29, 2015 to Mar 16, 2016
      • Non-discretionary RAUM · $0 to $25.0M
        Jul 29, 2015 to Mar 16, 2016
      • RAUM · $130M to $105M
        Jul 29, 2015 to Mar 16, 2016
      • Succession · true to false
        Jul 28, 2015 to Jul 29, 2015
      • Legal name · F••• H•••• P•••••••• L•• to F• P•••••••• L••
        Jul 24, 2015 to Jul 28, 2015
      • Succession · false to true
        Mar 19, 2015 to Jul 24, 2015
      • Discretionary RAUM · $138M to $130M
        Mar 10, 2014 to Mar 19, 2015
      • RAUM · $138M to $130M
        Mar 10, 2014 to Mar 19, 2015
      • Employees · 5 to 3
        Mar 21, 2013 to Mar 10, 2014
      • Discretionary RAUM · $180M to $138M
        Mar 21, 2013 to Mar 10, 2014
      • RAUM · $180M to $138M
        Mar 21, 2013 to Mar 10, 2014
      • Advisory employees · unset to 2.0
        Mar 22, 2012 to Mar 19, 2013
      • Employees · unset to 5.0
        Mar 22, 2012 to Mar 19, 2013
      • Discretionary RAUM · $160M to $180M
        Mar 22, 2012 to Mar 19, 2013
      • RAUM · $160M to $180M
        Mar 22, 2012 to Mar 19, 2013
      Signals
      1 dated events
      • F••• H•••• P•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Jul 24, 2015 · Succession (Item 4) · 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