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• I••••••••• A••••••• L••

Former SEC-registered adviserPhiladelphia, PennsylvaniaCRD 156801SEC 801-72236IAPD
Latest filing Mar 22, 2018
First filing on the tape Mar 30, 2012 · 16 filings
RAUM
$4.3B
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
147
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$4.3B as of Mar 22, 2018
Mar 30, 2012$113M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 22, 2018
Mar 30, 20120 then
Employees (5.A)147 as of Mar 22, 2018
Apr 1, 201365 then
Private funds: no history
RAUM +1.2% over the last fiscal year+8.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 22, 2018; 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
$4.3BderivedRAUM 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
+1.2%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 investment companiesreportedItem 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
  • 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
1reported
Financial planning clients
n/areported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••• D••••• J•••• · Principalcontrol
        since 09/2010 · owns less than 5%
      • F•••••• M••••••• C•••• · Chief Executive Officercontrol
        since 09/2010 · owns less than 5%
      • A••••••• D••••• J•••• · Membercontrol
        since 05/2007 · owns 50% to 75% of F••••••• S••••• H••••••• G•••• L••
      • A••••••• D••••• J•••• · Managing Member Of The General Partnercontrol
        since 03/2007 · owns 25% to 50% of D•••• C••••••• L•••
      • F•••••• M••••••• C•••• · Managing Membercontrol
        since 05/2007 · owns 50% to 75% of F••••••• S••••• H••••••• G•••• L••
      • B•••••• P••••• · Cfo
        since 01/2015 · owns less than 5%
      • D•••••••• E••••••••• C•••••• · Svp, Cco
        since 05/2015 · owns less than 5%
      • H•••••• M••••••• J•• · Trustee - T•• 2••• F••••• I••••••••• T••••
        since 01/2012 · owns less than 5%
      • S••••••• S•••••• · General Counsel
        since 01/2015 · owns less than 5%
      • H•••••• M••••••• J•• · Trustee
        since 01/2012 · owns F of T•• 2••• F••••• I••••••••• T••••
      Entity owners
      • D•••• C••••••• L••• · Member; Class A
        direct · owns less than 5%
      • F••••••• S••••• H•••••••• L••• · Member; Class C
        direct · owns 75% or more
      • T•• 2••• F••••• I••••••••• T•••• · Member; Class A
        direct · owns 5% to 10%
      • F••••••• S••••• H••••••• G•••• L•• · General Partner
        indirect · owns F of F••••••• S••••• H•••••••• L•••
      Related persons
      Schedule D 7.A
      Advisers that list F• I••••••••• A••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 96,991 to 1
        Mar 28, 2017 to Mar 22, 2018
      • Employees · 143 to 147
        Mar 28, 2017 to Mar 22, 2018
      • Other offices · unset to 0.0
        Mar 28, 2017 to Mar 22, 2018
      • Discretionary RAUM · $4.3B to $4.3B
        Mar 28, 2017 to Mar 22, 2018
      • RAUM · $4.3B to $4.3B
        Mar 28, 2017 to Mar 22, 2018
      • Accounts · 1 to 96,991
        Jul 12, 2016 to Mar 28, 2017
      • Advisory employees · 14 to 10
        Jul 12, 2016 to Mar 28, 2017
      • BD registered reps · 18 to 28
        Jul 12, 2016 to Mar 28, 2017
      • Employees · 156 to 143
        Jul 12, 2016 to Mar 28, 2017
      • Discretionary RAUM · $3.6B to $4.3B
        Jul 12, 2016 to Mar 28, 2017
      • RAUM · $3.6B to $4.3B
        Jul 12, 2016 to Mar 28, 2017
      • Advisory employees · 37 to 14
        Jun 17, 2015 to Mar 30, 2016
      • BD registered reps · 11 to 18
        Jun 17, 2015 to Mar 30, 2016
      • Employees · 127 to 156
        Jun 17, 2015 to Mar 30, 2016
      • Discretionary RAUM · $3.7B to $3.6B
        Jun 17, 2015 to Mar 30, 2016
      • RAUM · $3.7B to $3.6B
        Jun 17, 2015 to Mar 30, 2016
      • Advisory employees · 21 to 37
        Mar 26, 2015 to Mar 30, 2015
      • BD registered reps · 1 to 11
        Mar 26, 2015 to Mar 30, 2015
      • Employees · 40 to 127
        Mar 26, 2015 to Mar 30, 2015
      • Discretionary RAUM · $3.4B to $3.7B
        Mar 26, 2015 to Mar 30, 2015
      • RAUM · $3.4B to $3.7B
        Mar 26, 2015 to Mar 30, 2015
      • Advisory employees · 26 to 21
        Feb 13, 2015 to Mar 25, 2015
      • Employees · 89 to 40
        Feb 13, 2015 to Mar 25, 2015
      • Discretionary RAUM · $2.4B to $3.4B
        Feb 13, 2015 to Mar 25, 2015
      • RAUM · $2.4B to $3.4B
        Feb 13, 2015 to Mar 25, 2015
      • Advisory employees · 28 to 26
        Apr 1, 2013 to Mar 28, 2014
      • BD registered reps · 3 to 1
        Apr 1, 2013 to Mar 28, 2014
      • Employees · 65 to 89
        Apr 1, 2013 to Mar 28, 2014
      • Discretionary RAUM · $829M to $2.4B
        Apr 1, 2013 to Mar 28, 2014
      • RAUM · $829M to $2.4B
        Apr 1, 2013 to Mar 28, 2014
      • Related bank · false to true
        Apr 1, 2013 to Mar 28, 2014
      • Advisory employees · unset to 28.0
        Mar 30, 2012 to Apr 1, 2013
      • BD registered reps · 0 to 3
        Mar 30, 2012 to Apr 1, 2013
      • Employees · unset to 65.0
        Mar 30, 2012 to Apr 1, 2013
      • Discretionary RAUM · $113M to $829M
        Mar 30, 2012 to Apr 1, 2013
      • RAUM · $113M to $829M
        Mar 30, 2012 to Apr 1, 2013
      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