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••••••••• A••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Feb 10, 2012 · 28 filings
SEC status approved since Mar 30, 2012
RAUM
$4.1B
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
44
27 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
7
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$4.1B as of Mar 31, 2026
Mar 28, 2013$832M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20130 then
Employees (5.A)44 as of Mar 31, 2026
Mar 28, 201326 then
Private funds7 as of Mar 31, 2026
Mar 28, 20136 then
RAUM +3.2% over the last fiscal year+1.6% 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
- $292MderivedRAUM 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
- +3.2%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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$4.1B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 14reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
13 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F••••••••• P••••••• I• L• | Hedge Fund | $1.6B | 621 | Mar 1, 2021 |
| F••••••••• P••••••• I•• L• | Hedge Fund | $1.4B | 441 | Jan 16, 2015 |
| F••••••••• S•••• F•••••• L• | Hedge Fund | $495M | 8 | Feb 12, 2018 |
| F••••••••• E••••• F••• L• | Hedge Fund | $390M | 2 | Mar 29, 2024 |
| L••• 9•• L••••••no longer reported | Hedge Fund | $156M | 1 | Jan 16, 2015 |
| F•• S•••••• O••••••••• ••• L•no longer reported | Hedge Fund | $151M | 1 | Jan 16, 2015 |
| F••••••••• 6•• C•••••• H•••• L•• | Hedge Fund | $11.4M | 4 | Mar 28, 2016 |
| F••••••••• P••••••• L•no longer reported | Private Equity Fund | $6.6M | 50 | Feb 10, 2012 |
| F••••••••• P••••••• I• L• | Hedge Fund | $2.4M | 41 | Feb 10, 2012 |
| F••••••••• P••••••• ••• E•••••• L•no longer reported | Private Equity Fund | $455,244 | 5 | Feb 10, 2012 |
| F•• L••••• S••••••••• L•no longer reported | Hedge Fund | $30,055 | 1 | Jul 9, 2013 |
| F••••••••• P••••••• I• ••••••••• L•no longer reported | Private Equity Fund | $0 | 2 | Feb 10, 2012 |
| F•• S•••••• O••••••••• ••• L•no longer reported | Hedge Fund | $0 | 1 | Mar 28, 2013 |
Owners and control persons
Schedule A and B, latest filing
- G•••••••• L•••••••• L• · Chairman And Ceocontrolsince 12/2014 · owns less than 5%
- K••••• B••••• E••• · General Counselcontrolsince 01/2020 · owns less than 5%
- K••••• R•••• S• · Managing Directorcontrolsince 01/2019 · owns less than 5%
- L••• J•••••••• M••••••• · Chief Compliance Officercontrolsince 06/2021 · owns less than 5%
- V••••• J•••••• M•••••• · Chief Operating Officercontrolsince 03/2022 · owns less than 5%
- W••••• R•••••• L•••••• · Chief Financial Officercontrolsince 03/2022 · owns less than 5%
- G•••••••• L•••••••• L• · Managing Membercontrolsince 04/2007 · owns 75% or more of F••••••••• A••••••• G•••• L••
- G•••••••• L•••••••• L• · L•••••• Partnercontrolsince 06/2007 · owns 75% or more of F••••••••• A••••••• H••••••• L•
- H•••••• R•••••• J•••• · Managing Directorsince 08/2021 · owns less than 5%
Entity owners
- F••••••••• A••••••• G•••• L•• · General Partnerdirect · owns less than 5%
- F••••••••• A••••••• H••••••• L• · L•••••• Partnerdirect · owns 75% or more
- F••••••••• A••••••• G•••• L•• · General Partnerindirect · owns F of F••••••••• A••••••• H••••••• L•
- F• I• M•••••• H••••••• L•• · L•••••• Partnerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- F• S•••• F•••••• G• L••pooled vehicle sponsorn
- F••••••••• E••••• F••• G• L••pooled vehicle sponsorn
- F••••••••• P••••••• I• G• L••pooled vehicle sponsorn
- F••••••••• P••••••• I•• G• L••pooled vehicle sponsorn
- F••••••••• P••••••• I• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Manhattan Beach, CA9 employees
What changed
consecutive filings, newest first
- Advisory employees · 28 to 27Aug 28, 2025 to Mar 31, 2026
- BD registered reps · 2 to 0Aug 28, 2025 to Mar 31, 2026
- Employees · 43 to 44Aug 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $4.1B to $4.1BAug 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $4.1B to $4.1BAug 28, 2025 to Mar 31, 2026
- RAUM · $4.1B to $4.1BAug 28, 2025 to Mar 31, 2026
- Related adviser · false to trueAug 28, 2025 to Mar 31, 2026
- Accounts · 9 to 14Mar 31, 2025 to Aug 28, 2025
- Pooled vehicle clients · 9 to 14Mar 31, 2025 to Aug 28, 2025
- Private funds · 5 to 7Mar 31, 2025 to Aug 28, 2025
- Discretionary RAUM · $4.0B to $4.1BMar 31, 2025 to Aug 28, 2025
- Pooled vehicle RAUM · $4.0B to $4.1BMar 31, 2025 to Aug 28, 2025
- RAUM · $4.0B to $4.1BMar 31, 2025 to Aug 28, 2025
- Advisory employees · 23 to 28Mar 29, 2024 to Mar 31, 2025
- BD registered reps · 0 to 2Mar 29, 2024 to Mar 31, 2025
- Employees · 38 to 43Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Private funds · 6 to 5Mar 29, 2024 to Mar 31, 2025
- Accounts · 8 to 9Mar 31, 2023 to Mar 29, 2024
- Advisory employees · 21 to 23Mar 31, 2023 to Mar 29, 2024
- Pooled vehicle clients · 8 to 9Mar 31, 2023 to Mar 29, 2024
- Employees · 37 to 38Mar 31, 2023 to Mar 29, 2024
- Private funds · 5 to 6Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $3.9B to $4.0BMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $3.9B to $4.0BMar 31, 2023 to Mar 29, 2024
- RAUM · $3.9B to $4.0BMar 31, 2023 to Mar 29, 2024
- Accounts · 7 to 8Oct 31, 2022 to Mar 31, 2023
- Advisory employees · 20 to 21Oct 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 7 to 8Oct 31, 2022 to Mar 31, 2023
- Employees · 36 to 37Oct 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $3.3B to $3.9BOct 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $3.3B to $3.9BOct 31, 2022 to Mar 31, 2023
- RAUM · $3.3B to $3.9BOct 31, 2022 to Mar 31, 2023
- Advisory employees · 13 to 20Jun 22, 2021 to Mar 31, 2022
- Employees · 28 to 36Jun 22, 2021 to Mar 31, 2022
- Other offices · 0 to 1Jun 22, 2021 to Mar 31, 2022
- Discretionary RAUM · $1.4B to $3.3BJun 22, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $1.4B to $3.3BJun 22, 2021 to Mar 31, 2022
- RAUM · $1.4B to $3.3BJun 22, 2021 to Mar 31, 2022
- Related bank · true to falseJun 22, 2021 to Mar 31, 2022
Signals
9 dated events
- D. Jon Stern (Managing Director) no longer on Schedule A of F••••••••• A••••••• L• (listed 2022-03-31, absent 2022-10-31)Oct 31, 2022 · Control person left · inference
- Keith Robert Jacobsen (Managing Director) no longer on Schedule A of F••••••••• A••••••• L• (listed 2022-03-31, absent 2022-10-31)Oct 31, 2022 · Control person left · inference
- F••••••••• A••••••• L• reported RAUM $3.3B, up 135% from $1.4B (2021-06-22 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- S Ryan Keane (Managing Director) appeared on Schedule A of F••••••••• A••••••• L•Mar 31, 2022 · Control person joined · fact
- Leonard Robert Weiss (Chief Financial Officer) appeared on Schedule A of F••••••••• A••••••• L•Mar 31, 2022 · Control person joined · fact
- Arlene Robyn Huffman (Chief Compliance Officer & Senior Legal Advisor) no longer on Schedule A of F••••••••• A••••••• L• (listed 2021-03-31, absent 2021-06-22)Jun 22, 2021 · Control person left · inference
- Michelle Jennifer Lin (Chief Compliance Officer) appeared on Schedule A of F••••••••• A••••••• L•Jun 22, 2021 · Control person joined · fact
- Leigh Dana Scarbrough Fusaris (Managing Director) no longer on Schedule A of F••••••••• A••••••• L• (listed 2018-03-29, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- F••••••••• A••••••• L• reported RAUM $1.8B, down 43% from $3.1B (2017-05-17 to 2018-02-12)Feb 12, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- F••••••••• A••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/F•••••••••-ADVISORS-LPreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-205-5000reportedpublic 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