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•••• C•••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 157118SEC 801-73299IAPD
Latest filing Mar 26, 2020
First filing on the tape Feb 10, 2012 · 18 filings
RAUM
$25.8M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$25.8M gross assets
History
18 filings and snapshots on the tape
RAUM$25.8M as of Mar 26, 2020
Mar 26, 2013$746M then
HNW client RAUM$0 as of Mar 26, 2020
Mar 19, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 26, 2020
Mar 26, 20130 then
Employees (5.A)3 as of Mar 26, 2020
Mar 26, 20139 then
Private funds3 as of Mar 26, 2020
Mar 26, 20133 then
RAUM -44% over the last fiscal year-45% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2020; 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
$8.6MderivedRAUM 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
-44%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 pooled vehiclesreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$25.8M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
3reported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F•• P•••• F••• L•Hedge Fund$13.6M21Feb 10, 2012
      F•• P•••• Q• F••• L•Hedge Fund$8.6M4Feb 10, 2012
      F•• P•••• G••• C••••••••• O••••••••• F••• L••Hedge Fund$3.6M61Mar 10, 2017
      F•• P•••• O••••••• L••no longer reportedHedge Fund$00Feb 10, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••••• C••••••• S••••• · Foundercontrol
        since 08/2006 · owns less than 5%
      • A•••••• M••••••• H••••• · Chief Operating Officer And Chief Compliance Officercontrol
        since 04/2015 · owns less than 5%
      • A•••••••• C••••••• S••••• · Membercontrol
        since 01/2016 · owns 75% or more of F•• P•••• I••••••••• M••••••••• G•• L••
      • A•••••••• C••••••• S••••• · Limited Partnercontrol
        since 01/2016 · owns 75% or more of F•• P•••• I••••••••• M••••••••• L•
      Entity owners
      • F•• P•••• I••••••••• M••••••••• L• · Sole Managing Member
        direct · owns 75% or more
      • F•• P•••• I••••••••• M••••••••• G•• L•• · General Partner
        indirect · owns F of F•• P•••• I••••••••• M••••••••• L•
      Related persons
      Schedule D 7.A
      • F•• P•••• P••••••••• L•
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 4 to 3
        Sep 9, 2019 to Mar 26, 2020
      • Discretionary RAUM · $45.9M to $25.8M
        Sep 9, 2019 to Mar 26, 2020
      • Pooled vehicle RAUM · $45.9M to $25.8M
        Sep 9, 2019 to Mar 26, 2020
      • RAUM · $45.9M to $25.8M
        Sep 9, 2019 to Mar 26, 2020
      • Advisory employees · 4 to 2
        May 21, 2018 to Mar 29, 2019
      • Employees · 6 to 4
        May 21, 2018 to Mar 29, 2019
      • Discretionary RAUM · $104M to $45.9M
        May 21, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $104M to $45.9M
        May 21, 2018 to Mar 29, 2019
      • RAUM · $104M to $45.9M
        May 21, 2018 to Mar 29, 2019
      • Charity clients · unset to 0.0
        May 12, 2017 to Mar 19, 2018
      • Corporate clients · unset to 0.0
        May 12, 2017 to Mar 19, 2018
      • HNW clients · unset to 0.0
        May 12, 2017 to Mar 19, 2018
      • Individual clients · unset to 0.0
        May 12, 2017 to Mar 19, 2018
      • Pension plan clients · unset to 0.0
        May 12, 2017 to Mar 19, 2018
      • Pooled vehicle clients · unset to 3.0
        May 12, 2017 to Mar 19, 2018
      • Other offices · unset to 0.0
        May 12, 2017 to Mar 19, 2018
      • Discretionary RAUM · $120M to $104M
        May 12, 2017 to Mar 19, 2018
      • HNW RAUM · unset to 0.0
        May 12, 2017 to Mar 19, 2018
      • Individual RAUM · unset to 0.0
        May 12, 2017 to Mar 19, 2018
      • Pension RAUM · unset to 0.0
        May 12, 2017 to Mar 19, 2018
      • Pooled vehicle RAUM · unset to 103633273.0
        May 12, 2017 to Mar 19, 2018
      • RAUM · $120M to $104M
        May 12, 2017 to Mar 19, 2018
      • Private funds · 4 to 3
        Apr 3, 2017 to May 12, 2017
      • Discretionary RAUM · $157M to $120M
        Apr 3, 2017 to May 12, 2017
      • RAUM · $157M to $120M
        Apr 3, 2017 to May 12, 2017
      • Private funds · 3 to 4
        Aug 10, 2016 to Mar 10, 2017
      • Discretionary RAUM · $381M to $157M
        Aug 10, 2016 to Mar 10, 2017
      • RAUM · $381M to $157M
        Aug 10, 2016 to Mar 10, 2017
      • Employees · 7 to 6
        Mar 30, 2016 to Aug 10, 2016
      • Advisory employees · 3 to 4
        Apr 9, 2015 to Mar 30, 2016
      • Assets in custody · 337668830.0 to unset
        Apr 9, 2015 to Mar 30, 2016
      • Custody of client assets · true to false
        Apr 9, 2015 to Mar 30, 2016
      • Discretionary RAUM · $269M to $381M
        Apr 9, 2015 to Mar 30, 2016
      • RAUM · $269M to $381M
        Apr 9, 2015 to Mar 30, 2016
      • Employees · 8 to 7
        Apr 29, 2014 to Feb 13, 2015
      • Discretionary RAUM · $338M to $269M
        Apr 29, 2014 to Feb 13, 2015
      • RAUM · $338M to $269M
        Apr 29, 2014 to Feb 13, 2015
      • Assets in custody · $387M to $338M
        Nov 15, 2013 to Mar 26, 2014
      • Discretionary RAUM · $387M to $338M
        Nov 15, 2013 to Mar 26, 2014
      • RAUM · $387M to $338M
        Nov 15, 2013 to Mar 26, 2014
      Signals
      1 dated events
      • Allison Albanese (Managing Director) no longer on Schedule A of F•• P•••• C•••••• M••••••••• L•• (listed 2019-09-09, absent 2020-03-26)
        Mar 26, 2020 · Control person left · inference
      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