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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SEC-registered adviser
F•••••• S•••••
Legal name F•••••• S••••• M••••••••• C••• L•••
Latest filing Mar 31, 2026
First filing on the tape Feb 14, 2012 · 25 filings
SEC status approved since Mar 30, 2012
RAUM
$6.2B
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
35
28 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
7
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$6.2B as of Mar 31, 2026
Apr 1, 2013$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Apr 1, 20130 then
Employees (5.A)35 as of Mar 31, 2026
Apr 1, 201320 then
Private funds7 as of Mar 31, 2026
Apr 1, 20135 then
RAUM +3.5% over the last fiscal year+3.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $880MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.5%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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
- 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)
- 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 hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$6.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUMreported
- 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
11 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F• E••••• P••••••• V•••• L••• | Private Equity Fund | $2.8B | 126 | Mar 29, 2019 |
| F• E••••• P••••••• V••• L••• | Private Equity Fund | $1.6B | 78 | Mar 30, 2015 |
| F• E••••• P••••••• I•• L••• | Private Equity Fund | $779M | 42 | Mar 27, 2024 |
| F• E••••• P••••••• V•• L••• | Private Equity Fund | $282M | 38 | Feb 14, 2012 |
| F• E••••• P••••••• V• L••• | Private Equity Fund | $204M | 60 | Feb 14, 2012 |
| F• A••••••••• V•••• L••• | Private Equity Fund | $105M | 36 | Mar 29, 2019 |
| F• A••••••••• V••• L••• | Private Equity Fund | $45.2M | 35 | Mar 30, 2015 |
| F• A••••••••• I•• L••• | Private Equity Fund | $39.9M | 26 | Mar 27, 2024 |
| F• A••••••••• V•• L••• | Private Equity Fund | $13.0M | 23 | Feb 14, 2012 |
| F• E••••• P••••••• I•• L•••no longer reported | Private Equity Fund | $2.9M | 51 | Feb 14, 2012 |
| F• A••••••••• V• L••• | Private Equity Fund | $2.8M | 20 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- F••••••• B•••••••• M•• L••• · Chairman Emeritus And Limited Partnercontrolsince 03/2024 · owns 10% to 25%
- I••••••• C••••••••• M••• · Chief Compliance Officer, Chief Financial Officer, And Chief Legal Officercontrolsince 09/2021 · owns less than 5%
- R•••• J•••• M•••••• · Chief Executive Officer And Limited Partnercontrolsince 09/2008 · owns 10% to 25%
- S•••••• R•••••• P••• · Chairman And Limited Partnercontrolsince 03/2024 · owns 10% to 25%
- B•••••••• B•••• J••••• · Managing Membercontrolsince 09/2008 · owns F of F•••••• S••••• M••••••••• C•• L••
- F••••••• B•••••••• M•• L••• · Managing Membercontrolsince 09/2008 · owns F of F•••••• S••••• M••••••••• C•• L••
- G•••••• B•••••••• D•••• · Managing Membercontrolsince 09/2008 · owns F of F•••••• S••••• M••••••••• C•• L••
- H•••••••• J•••••• A•••••• · Managing Membercontrolsince 03/2019 · owns F of F•••••• S••••• M••••••••• C•• L••
- H••••• J••• · Managing Membercontrolsince 01/2016 · owns F of F•••••• S••••• M••••••••• C•• L••
- J••••••• C••••••••• B•••• · Managing Membercontrolsince 01/2016 · owns F of F•••••• S••••• M••••••••• C•• L••
- R•••• J•••• M•••••• · Managing Membercontrolsince 09/2008 · owns F of F•••••• S••••• M••••••••• C•• L••
- S•••••• R•••••• P••• · Managing Membercontrolsince 01/2009 · owns F of F•••••• S••••• M••••••••• C•• L••
- B•••••••• B•••• J••••• · Limited Partnersince 09/2008 · owns 10% to 25%
- G•••••• B•••••••• D•••• · Limited Partnersince 09/2008 · owns 10% to 25%
- H•••••••• J•••••• A•••••• · Limited Partnersince 03/2019 · owns less than 5%
- H••••• J••• · Limited Partnersince 01/2016 · owns 5% to 10%
- J••••••• C••••••••• B•••• · Limited Partnersince 01/2016 · owns 5% to 10%
- R••••• J••• D•••• · President, Chief Operating Officer And Limited Partnersince 09/2008 · owns 10% to 25%
Entity owners
- F•••••• S••••• M••••••••• C•• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- F• C•••••• P••••••• V• L••investment adviserpooled vehicle sponsorn
- F• C•••••• P••••••• V•• L••investment adviserpooled vehicle sponsorn
- F• C•••••• P••••••• V••• L••investment adviserpooled vehicle sponsorn
- F• C•••••• P••••••• V•••• L••investment adviserbankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- New York, NY13 employees
What changed
consecutive filings, newest first
- Accounts · 9 to 7Sep 29, 2025 to Mar 31, 2026
- Advisory employees · 27 to 28Sep 29, 2025 to Mar 31, 2026
- Pooled vehicle clients · 9 to 7Sep 29, 2025 to Mar 31, 2026
- Employees · 39 to 35Sep 29, 2025 to Mar 31, 2026
- Private funds · 9 to 7Sep 29, 2025 to Mar 31, 2026
- Discretionary RAUM · $7.1B to $6.2BSep 29, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $7.1B to $6.2BSep 29, 2025 to Mar 31, 2026
- RAUM · $7.1B to $6.2BSep 29, 2025 to Mar 31, 2026
- Accounts · 8 to 9Mar 24, 2025 to May 30, 2025
- Business name · F•••••• S••••• • C•• to F•••••• S•••••Mar 24, 2025 to May 30, 2025
- Pooled vehicle clients · 8 to 9Mar 24, 2025 to May 30, 2025
- Financial planning clients · unset to Mar 24, 2025 to May 30, 2025
- Private funds · 8 to 9Mar 24, 2025 to May 30, 2025
- Discretionary RAUM · $6.0B to $7.1BMar 24, 2025 to May 30, 2025
- Pooled vehicle RAUM · $6.0B to $7.1BMar 24, 2025 to May 30, 2025
- RAUM · $6.0B to $7.1BMar 24, 2025 to May 30, 2025
- Related bank · true to falseMar 24, 2025 to May 30, 2025
- Accounts · 10 to 8Mar 27, 2024 to Mar 24, 2025
- Advisory employees · 28 to 27Mar 27, 2024 to Mar 24, 2025
- Pooled vehicle clients · 10 to 8Mar 27, 2024 to Mar 24, 2025
- Employees · 40 to 39Mar 27, 2024 to Mar 24, 2025
- Private funds · 10 to 8Mar 27, 2024 to Mar 24, 2025
- Discretionary RAUM · $5.9B to $6.0BMar 27, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $5.9B to $6.0BMar 27, 2024 to Mar 24, 2025
- RAUM · $5.9B to $6.0BMar 27, 2024 to Mar 24, 2025
- Accounts · 8 to 10Apr 28, 2023 to Mar 27, 2024
- Advisory employees · 27 to 28Apr 28, 2023 to Mar 27, 2024
- Pooled vehicle clients · 8 to 10Apr 28, 2023 to Mar 27, 2024
- Employees · 39 to 40Apr 28, 2023 to Mar 27, 2024
- Private funds · 8 to 10Apr 28, 2023 to Mar 27, 2024
- Discretionary RAUM · $5.5B to $5.9BApr 28, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $5.5B to $5.9BApr 28, 2023 to Mar 27, 2024
- RAUM · $5.5B to $5.9BApr 28, 2023 to Mar 27, 2024
- Advisory employees · 26 to 27Mar 31, 2022 to Mar 23, 2023
- Employees · 38 to 39Mar 31, 2022 to Mar 23, 2023
- Discretionary RAUM · $5.2B to $5.5BMar 31, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $5.2B to $5.5BMar 31, 2022 to Mar 23, 2023
- RAUM · $5.2B to $5.5BMar 31, 2022 to Mar 23, 2023
- Advisory employees · 27 to 26Sep 29, 2021 to Mar 31, 2022
- Discretionary RAUM · $4.2B to $5.2BSep 29, 2021 to Mar 31, 2022
Signals
8 dated events
- Laurence Gregory Brackett (Chief Financial Officer) no longer on Schedule A of F•••••• S••••• (listed 2021-09-29, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- M. Christopher Iorillo (Chief Compliance Officer) appeared on Schedule A of F•••••• S•••••Sep 29, 2021 · Control person joined · fact
- Michael William Wardlaw (Chief Compliance Officer) no longer on Schedule A of F•••••• S••••• (listed 2021-03-31, absent 2021-09-29)Sep 29, 2021 · Control person left · inference
- William Todd Halloran (Managing Member) no longer on Schedule A of F•••••• S••••• (listed 2021-01-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Frederick James Simmons (Managing Member) no longer on Schedule A of F•••••• S••••• (listed 2021-01-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Anthony Luigi Losorelli (Chief Financial Officer) no longer on Schedule A of F•••••• S••••• (listed 2020-05-15, absent 2021-01-30)Jan 30, 2021 · Control person left · inference
- Laurence Gregory Brackett (Chief Financial Officer) appeared on Schedule A of F•••••• S•••••Jan 30, 2021 · Control person joined · fact
- Anthony Jordan Hathaway (Managing Member) appeared on Schedule A of F•••••• S•••••Mar 29, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- F•••••• S••••• · Independent Sponsorsshared crd · capital_provider
- F•••••• S••••• • C•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/freeman-spogli-&-co.reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-444-1822reportedpublic record, Form ADV, Mar 31, 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