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•• A•••••••••

Former SEC-registered adviserNew York, New YorkCRD 158250SEC 801-73908IAPD
Legal name F•• A••••••••• L•
Latest filing Apr 3, 2017
First filing on the tape Feb 14, 2012 · 7 filings
RAUM
$114M
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
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$59.0M gross assets
History
7 filings and snapshots on the tape
RAUM$114M as of Apr 3, 2017
Mar 28, 2013$302M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 3, 2017
Mar 28, 20130 then
Employees (5.A)2 as of Apr 3, 2017
Mar 28, 20134 then
Private funds2 as of Apr 3, 2017
Mar 28, 20132 then
RAUM -8.8% over the last fiscal year-25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 3, 2017; 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
$57.0MderivedRAUM 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
-8.8%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)
  • 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
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
2reported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F•• C•••••• P••••••• L••Private Equity Fund$39.0M10Feb 14, 2012
      F•• C•••••• P••••••• I• L•Private Equity Fund$20.0M34Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••• D••••• S••••• · Managing Directorcontrol
        since 01/1996 · owns less than 5%
      • G••••••• D••••• S••••• · Shareholdercontrol
        since 12/2009 · owns 75% or more of Cgns Holdings Inc.
      • G••••••• D••••• S••••• · Elected Managercontrol
        since 12/2008 · owns F of F•• A••••••••• M••••••••• L••
      • O••••• A•••••• M•••••• · Chief Compliance Officer
        since 06/2011 · owns less than 5%
      Entity owners
      • F•• A••••••••• M••••••••• L•• · General Partner
        direct · owns less than 5%
      • C••• H••••••• I••• · Member
        indirect · owns 25% to 50% of F•• A••••••••• M••••••••• L••
      Related persons
      Schedule D 7.A
      • F•• A••••••••• F••• I• I••••••• L••
        investment advisern
      • F•• C•••••• A••••••••• I• L••
        pooled vehicle sponsorn
      • F•• C•••••• A••••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $125M to $114M
        Mar 29, 2016 to Apr 3, 2017
      • RAUM · $125M to $114M
        Mar 29, 2016 to Apr 3, 2017
      • Advisory employees · 2 to 1
        Mar 30, 2015 to Mar 29, 2016
      • Employees · 4 to 2
        Mar 30, 2015 to Mar 29, 2016
      • Discretionary RAUM · $139M to $125M
        Mar 30, 2015 to Mar 29, 2016
      • RAUM · $139M to $125M
        Mar 30, 2015 to Mar 29, 2016
      • Discretionary RAUM · $273M to $139M
        Mar 31, 2014 to Mar 30, 2015
      • RAUM · $273M to $139M
        Mar 31, 2014 to Mar 30, 2015
      • Discretionary RAUM · $302M to $273M
        Mar 28, 2013 to Mar 31, 2014
      • RAUM · $302M to $273M
        Mar 28, 2013 to Mar 31, 2014
      • Advisory employees · unset to 2.0
        May 30, 2012 to Mar 28, 2013
      • Advisory activities · 1 to 2
        May 30, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        May 30, 2012 to Mar 28, 2013
      • Employees · unset to 4.0
        May 30, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        May 30, 2012 to Mar 28, 2013
      • Discretionary RAUM · $308M to $302M
        May 30, 2012 to Mar 28, 2013
      • RAUM · $308M to $302M
        May 30, 2012 to Mar 28, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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