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••••••• P•••••••• I•••
Latest filing Sep 26, 2025
First filing on the tape Mar 22, 2012 · 23 filings
SEC status approved since Oct 28, 2010
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
0 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM: $0
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 26, 2025
Mar 22, 20120 then
Employees (5.A)3 as of Sep 26, 2025
Mar 25, 20138 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0offices 0 to 2
Practice profile
derived from the filing of Sep 26, 2025; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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
- 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
- marketing includes testimonials (5.L.1.c)
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
- 0reported
- Financial planning clients
- reported
- 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
- B••••••• D•••••• J•••• from B•• A•••• M••••••••• C••••Mar 28, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••• B•••••••• D•••••• · Managing Director, Secretarycontrolsince 05/2024 · owns less than 5%
- T•••••••• C••••••• S••••••• · Managing Director, President, Treasurercontrolsince 05/2024 · owns less than 5%
- D••••••••• M•••• J••••• · Chief Compliance Officersince 09/2024 · owns less than 5%
Entity owners
- F••••••• N•••• A•••••• H••••••• I••• · Holding Companydirect · owns 75% or more
- M••••••• F•••••••• G•••• L•••••• · Parent Entityindirect · owns 75% or more of F••••••• N•••• A•••••• H••••••• I•••
Related persons
Schedule D 7.A
- M••••••• Investment Partners N•••• A••••••, Inc.investment advisernRAUM $119M
- F•••••••• S••••••••• L••broker-dealern
- M••••••• Investment Partnersinvestment advisernRAUM $22B
Advisers that list F••••••• P•••••••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · unset to 0.0Sep 28, 2024 to Sep 26, 2025
- Financial planning clients · unset to Sep 28, 2024 to Sep 26, 2025
- State-registered IARs · 1 to 0Sep 28, 2024 to Sep 26, 2025
- Discretionary RAUM · unset to 0.0Sep 28, 2024 to Sep 26, 2025
- Non-discretionary RAUM · unset to 0.0Sep 28, 2024 to Sep 26, 2025
- RAUM · unset to 0.0Sep 28, 2024 to Sep 26, 2025
- BD registered reps · 4 to 3Jun 25, 2024 to Sep 27, 2024
- Employees · 4 to 3Jun 25, 2024 to Sep 27, 2024
- HQ city · N••••BROOK to WESTMONTJun 25, 2024 to Sep 27, 2024
- State-registered IARs · 0 to 1Jun 25, 2024 to Sep 27, 2024
- Other offices · 0 to 2Jun 25, 2024 to Sep 27, 2024
- Related bank · false to trueJun 25, 2024 to Sep 27, 2024
- BD registered reps · 5 to 4Mar 4, 2024 to Jun 25, 2024
- Employees · 7 to 4Mar 4, 2024 to Jun 25, 2024
- BD registered reps · 6 to 5Sep 19, 2022 to Sep 13, 2023
- Employees · 8 to 7Sep 19, 2022 to Sep 13, 2023
- BD registered reps · 7 to 6Oct 29, 2021 to Sep 19, 2022
- Employees · 11 to 8Oct 29, 2021 to Sep 19, 2022
- BD registered reps · 8 to 7Mar 27, 2019 to Mar 23, 2020
- BD registered reps · 5 to 8Mar 13, 2017 to Feb 20, 2018
- Employees · 8 to 11Mar 13, 2017 to Feb 20, 2018
- Other offices · unset to 0.0Mar 13, 2017 to Feb 20, 2018
- BD registered reps · 6 to 5Sep 12, 2014 to Feb 13, 2015
- BD registered reps · unset to 6.0Mar 22, 2012 to Mar 25, 2013
- Employees · unset to 8.0Mar 22, 2012 to Mar 25, 2013
Signals
6 dated events
- F••••••• P•••••••• I••• no longer on the SEC adviser roster (last listed 2026-01-02)Feb 2, 2026 · Left the SEC roster · derived
- D•••••• B••••••• J•••• (Managing Director) appeared on Schedule A of F••••••• P•••••••• I•••Jun 25, 2024 · Control person joined · fact
- Donald William Forsyth (President/Treasurer/Secretary) no longer on Schedule A of F••••••• P•••••••• I••• (listed 2024-03-04, absent 2024-06-25)Jun 25, 2024 · Control person left · inference
- Alan Christopher Currie (Chief Compliance Officer, Chief Operating Officer (Since 6/2020)) no longer on Schedule A of F••••••• P•••••••• I••• (listed 2024-03-04, absent 2024-06-25)Jun 25, 2024 · Control person left · inference
- Rebecca Rose Melissa Erickson (Director Of Operations) no longer on Schedule A of F••••••• P•••••••• I••• (listed 2024-03-04, absent 2024-06-25)Jun 25, 2024 · Control person left · inference
- S••••••• C•••••• T••••••• (Director) appeared on Schedule A of F••••••• P•••••••• I•••Mar 4, 2024 · Control person joined · fact
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