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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
F••••••••
Legal name F•••••••• C•••••• L••
Latest filing Mar 16, 2026
First filing on the tape Feb 13, 2012 · 24 filings
SEC status approved since Mar 30, 2012
RAUM
$2.0B
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
28
23 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
10
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$2.0B as of Mar 16, 2026
Mar 25, 2013$574M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 16, 2026
Mar 25, 20130 then
Employees (5.A)28 as of Mar 16, 2026
Mar 25, 201318 then
Private funds10 as of Mar 16, 2026
Mar 25, 20137 then
RAUM -7.8% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 16, 2026; 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
- $203MderivedRAUM 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
- -7.8%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- yesreportedItem 9.A
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.0B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
14 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- B•••••• J••••• A••• · Chief Financial Officercontrolsince 01/2012 · owns less than 5%
- C••••••• P•••• D•••• · Senior Partner; Membercontrolsince 06/1993 · owns 10% to 25%
- F•••••••• W•••••• C•••••• · Managing Partner; Membercontrolsince 01/2004 · owns 25% to 50%
- K••••• R•••••• W•••••• · Managing Partner; Membercontrolsince 07/2006 · owns 25% to 50%
- L••••••• M••••••• S•••••• · Managing Partner; Membercontrolsince 08/2001 · owns 25% to 50%
Related persons
Schedule D 7.A
- F•••••••• C•••••• X• P••••••• G•• L•••pooled vehicle sponsorn
- F•••••••• X• •• G•• L•••pooled vehicle sponsorn
- F•••••••• X• G• ••• L•••pooled vehicle sponsorn
- F•••••••• X•• G•• L•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 22 to 23Nov 17, 2025 to Mar 16, 2026
- Employees · 25 to 28Nov 17, 2025 to Mar 16, 2026
- Discretionary RAUM · $2.2B to $2.0BNov 17, 2025 to Mar 16, 2026
- Pooled vehicle RAUM · $2.2B to $2.0BNov 17, 2025 to Mar 16, 2026
- RAUM · $2.2B to $2.0BNov 17, 2025 to Mar 16, 2026
- Accounts · 8 to 10Jun 14, 2024 to Mar 19, 2025
- Advisory employees · 20 to 22Jun 14, 2024 to Mar 19, 2025
- Pooled vehicle clients · 8 to 10Jun 14, 2024 to Mar 19, 2025
- Employees · 23 to 25Jun 14, 2024 to Mar 19, 2025
- Financial planning clients · unset to Jun 14, 2024 to Mar 19, 2025
- Private funds · 8 to 10Jun 14, 2024 to Mar 19, 2025
- Discretionary RAUM · $1.4B to $2.2BJun 14, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · $1.4B to $2.2BJun 14, 2024 to Mar 19, 2025
- RAUM · $1.4B to $2.2BJun 14, 2024 to Mar 19, 2025
- Accounts · 6 to 8Mar 20, 2023 to Mar 25, 2024
- Advisory employees · 17 to 20Mar 20, 2023 to Mar 25, 2024
- Pooled vehicle clients · 6 to 8Mar 20, 2023 to Mar 25, 2024
- Employees · 20 to 23Mar 20, 2023 to Mar 25, 2024
- Private funds · 6 to 8Mar 20, 2023 to Mar 25, 2024
- Discretionary RAUM · $1.4B to $1.4BMar 20, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $1.4B to $1.4BMar 20, 2023 to Mar 25, 2024
- RAUM · $1.4B to $1.4BMar 20, 2023 to Mar 25, 2024
- Accounts · 9 to 6Mar 26, 2022 to Mar 20, 2023
- Advisory employees · 14 to 17Mar 26, 2022 to Mar 20, 2023
- Pooled vehicle clients · 9 to 6Mar 26, 2022 to Mar 20, 2023
- Employees · 16 to 20Mar 26, 2022 to Mar 20, 2023
- Private funds · 9 to 6Mar 26, 2022 to Mar 20, 2023
- Discretionary RAUM · $1.1B to $1.4BMar 26, 2022 to Mar 20, 2023
- Pooled vehicle RAUM · $1.1B to $1.4BMar 26, 2022 to Mar 20, 2023
- RAUM · $1.1B to $1.4BMar 26, 2022 to Mar 20, 2023
- Accounts · 7 to 9Jun 24, 2021 to Mar 26, 2022
- Pooled vehicle clients · 7 to 9Jun 24, 2021 to Mar 26, 2022
- Employees · 17 to 16Jun 24, 2021 to Mar 26, 2022
- Private funds · 7 to 9Jun 24, 2021 to Mar 26, 2022
- Discretionary RAUM · $629M to $1.1BJun 24, 2021 to Mar 26, 2022
- Pooled vehicle RAUM · $629M to $1.1BJun 24, 2021 to Mar 26, 2022
- RAUM · $629M to $1.1BJun 24, 2021 to Mar 26, 2022
- Discretionary RAUM · $544M to $629MMar 27, 2020 to Mar 20, 2021
- Pooled vehicle RAUM · $544M to $629MMar 27, 2020 to Mar 20, 2021
- RAUM · $544M to $629MMar 27, 2020 to Mar 20, 2021
Signals
3 dated events
- Frontenac reported RAUM $2.2B, up 52% from $1.4B (2024-06-14 to 2025-03-19)Mar 19, 2025 · RAUM change · derived
- Frontenac reported RAUM $1.1B, up 73% from $628.6M (2021-06-24 to 2022-03-26)Mar 26, 2022 · RAUM change · derived
- Frontenac reported RAUM $735.8M, up 73% from $425.8M (2017-04-21 to 2018-03-16)Mar 16, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/frontenacreportedpublic record, Form ADV, Sep 18, 2026
- Website
- f••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-759-7345reportedpublic record, Form ADV, Mar 16, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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