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•••• I••••••••• A•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 28, 2012 · 22 filings
SEC status approved since Apr 20, 2011
RAUM
$1.4B
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
25 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
2
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$1.4B as of Mar 30, 2026
Mar 28, 2012$249M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 28, 20120 then
Employees (5.A)35 as of Mar 30, 2026
Mar 26, 201318 then
Private funds2 as of Mar 30, 2026
Mar 31, 20171 then
RAUM +21% over the last fiscal year+18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $481MderivedRAUM 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
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $119M, 2 clientsreportedItem 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$119M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $119M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0derived
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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F•••• C••••• O••••••••• L••• | Other Private Fund | $60.4M | 34 | Mar 31, 2023 |
| F•••• E••••• O••••••••• F•••• L••• | Private Equity Fund | $13.3M | 55 | Mar 31, 2017 |
Owners and control persons
Schedule A and B, latest filing
- G••••• J•••• H••••••• · Managercontrolsince 01/2015 · owns less than 5%
- H••••••• J•••• M•••••• · Chief Operating Officer, Chief Legal Officer, Vice President, Assistant Secretary, Assistant Treasurercontrolsince 08/2023 · owns less than 5%
- L••••• T•••••• C•••••• · Managercontrolsince 03/2011 · owns less than 5%
- L•••• D••••• P•••• · Chief Compliance Officer And Assistant Secretarycontrolsince 08/2015 · owns less than 5%
- R•••• E•••••• H••••••• · Chief Executive Officer, President, Assistant Secretary, Assistant Treasurer, Managercontrolsince 03/2011 · owns less than 5%
- R•••• J•••• J••••• · Chair Of Board Of Managers, Managercontrolsince 03/2011 · owns less than 5%
- S••••••• S•••••• E•••••••• · Chief Financial Officer, Vice President, Treasurer And Secretarycontrolsince 12/2017 · owns less than 5%
- W••••• W••••••• A••••• · Assistant Secretary, Assistant Treasurer And Managercontrolsince 03/2011 · owns less than 5%
- G••••• J•••• H••••••• · Managercontrolsince 05/2015 · owns F of Fidus Group Holdings, LLC
- L••••• T•••••• C•••••• · Managercontrolsince 05/2015 · owns F of Fidus Group Holdings, LLC
- R•••• E•••••• H••••••• · Managercontrolsince 05/2015 · owns F of Fidus Group Holdings, LLC
- R•••• J•••• J••••• · Managercontrolsince 05/2015 · owns F of Fidus Group Holdings, LLC
- S••••••••• J••• C• · Managercontrolsince 06/2022 · owns 25% to 50% of Sudif II, LLC
- S••••••••• J••• C• · Managercontrolsince 11/2019 · owns 25% to 50% of Sudif, LLC
- S••••••••• L••• J• · Managercontrolsince 11/2019 · owns 25% to 50% of Sudif, LLC
- S••••••••• M•••• J• · Managercontrolsince 11/2019 · owns 25% to 50% of Sudif, LLC
- S••••••••• M•••• J• · Managercontrolsince 06/2022 · owns 25% to 50% of Sudif II, LLC
- W••••• W••••••• A••••• · Managercontrolsince 05/2015 · owns F of Fidus Group Holdings, LLC
Entity owners
- F•••• G•••• H•••••••• L•• · Memberdirect · owns 75% or more
- S•••• I•• L•• · Memberdirect · owns 10% to 25%
- S••••• L•• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- F•••• C•••••• A•••••••• L••investment advisern
- F•••• C••••• O••••••••• G•• L••pooled vehicle sponsorn
- F•••• E••••• O••••••••• G•• L••pooled vehicle sponsorn
- F•••• S••••••••• L••broker-dealern
Offices
Schedule D 1.F, the 25 largest
- Charlotte, NC10 employees
- New York, NY6 employees
- Charleston, SC1 employees
What changed
consecutive filings, newest first
- Advisory employees · 27 to 25Mar 25, 2025 to Mar 30, 2026
- Assets in custody · $104M to $119MMar 25, 2025 to Mar 30, 2026
- Employees · 36 to 35Mar 25, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.2B to $1.4BMar 25, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $104M to $119MMar 25, 2025 to Mar 30, 2026
- RAUM · $1.2B to $1.4BMar 25, 2025 to Mar 30, 2026
- Advisory employees · 24 to 27Jul 12, 2024 to Mar 25, 2025
- Advisory activities · 2 to 3Jul 12, 2024 to Mar 25, 2025
- Assets in custody · $73.7M to $104MJul 12, 2024 to Mar 25, 2025
- Employees · 34 to 36Jul 12, 2024 to Mar 25, 2025
- Financial planning clients · unset to Jul 12, 2024 to Mar 25, 2025
- Discretionary RAUM · $1.0B to $1.2BJul 12, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $73.7M to $104MJul 12, 2024 to Mar 25, 2025
- RAUM · $1.0B to $1.2BJul 12, 2024 to Mar 25, 2025
- Advisory employees · 27 to 24Mar 31, 2023 to Mar 27, 2024
- Assets in custody · $22.7M to $73.7MMar 31, 2023 to Mar 27, 2024
- Employees · 33 to 34Mar 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $883M to $1.0BMar 31, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $22.7M to $73.7MMar 31, 2023 to Mar 27, 2024
- RAUM · $883M to $1.0BMar 31, 2023 to Mar 27, 2024
- Related adviser · false to trueMar 31, 2023 to Mar 27, 2024
- Accounts · 2 to 3Mar 25, 2022 to Mar 31, 2023
- Advisory employees · 28 to 27Mar 25, 2022 to Mar 31, 2023
- BD registered reps · 5 to 3Mar 25, 2022 to Mar 31, 2023
- Pooled vehicle clients · 1 to 2Mar 25, 2022 to Mar 31, 2023
- Assets in custody · $17.3M to $22.7MMar 25, 2022 to Mar 31, 2023
- Employees · 34 to 33Mar 25, 2022 to Mar 31, 2023
- Private funds · 1 to 2Mar 25, 2022 to Mar 31, 2023
- Discretionary RAUM · $736M to $883MMar 25, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $17.3M to $22.7MMar 25, 2022 to Mar 31, 2023
- RAUM · $736M to $883MMar 25, 2022 to Mar 31, 2023
- Advisory employees · 30 to 28Nov 1, 2021 to Mar 25, 2022
- BD registered reps · 6 to 5Nov 1, 2021 to Mar 25, 2022
- Assets in custody · $25.5M to $17.3MNov 1, 2021 to Mar 25, 2022
- Employees · 36 to 34Nov 1, 2021 to Mar 25, 2022
- Discretionary RAUM · $768M to $736MNov 1, 2021 to Mar 25, 2022
- Pooled vehicle RAUM · $25.5M to $17.3MNov 1, 2021 to Mar 25, 2022
- RAUM · $768M to $736MNov 1, 2021 to Mar 25, 2022
- Advisory employees · 31 to 30Mar 27, 2020 to Mar 29, 2021
- Assets in custody · $25.4M to $25.5MMar 27, 2020 to Mar 29, 2021
Signals
4 dated events
- J. Lee Styslinger (Manager) appeared on Schedule A of Fidus Investment Advisors, LlcJul 12, 2024 · Control person joined · fact
- C. Jon Styslinger (Manager) appeared on Schedule A of Fidus Investment Advisors, LlcJul 12, 2024 · Control person joined · fact
- J. Mark Styslinger (Manager) appeared on Schedule A of Fidus Investment Advisors, LlcJul 12, 2024 · Control person joined · fact
- Mcphail John Herring (Chief Operating Officer, Chief Legal Officer, Vice President, Assistant Secretary, Assistant Treasurer) appeared on Schedule A of Fidus Investment Advisors, LlcMar 27, 2024 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- Fidus Investment Advisors, LLC · Independent Sponsorsshared crd · capital_provider
- Fidus Investment Advisors, LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- fiduscapital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (847) 859-3940reportedpublic record, Form ADV, Mar 30, 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