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 31, 2026
First filing on the tape Feb 16, 2012 · 27 filings
SEC status approved since Apr 4, 2012
RAUM
$442M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$442M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$442M as of Mar 31, 2026
Mar 28, 2013$352M then
HNW client RAUM$6.1M as of Mar 26, 2020
Mar 30, 2018$123M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20130 then
Employees (5.A)5 as of Mar 31, 2026
Mar 28, 20135 then
Private funds4 as of Mar 31, 2026
Mar 28, 20131 then
RAUM +226% over the last fiscal year+118% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $442MderivedRAUM 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
- $88.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +226%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 vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $442M, 5 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$327M74%
- Pooled investment vehicles$115M26%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $442M for 5 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••• T••••• P••••••••• | San Francisco, Ca | Jan 2, 2026 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••• L•••no longer reported | Hedge Fund | $80.4M | 18 | Feb 16, 2012 |
| C•••••• Q•••• M••••• N•••••• F•••• L•••no longer reported | Hedge Fund | $10.9M | 5 | Feb 16, 2012 |
| F••••• H•••• A••••• F•••• L•• | Other Private Fund | $8.1M | 8 | Mar 29, 2024 |
| F••••• W•••• E••••• F•••• L• | Hedge Fund | $0 | 11 | Mar 31, 2021 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• M••••••• A•••••• · Chief Executive Officercontrolsince 12/2023 · owns less than 5%
- R••••• J••••• A••••• · Chief Compliance Officercontrolsince 10/2023 · owns less than 5%
Entity owners
- F••••• A•••• M••••••••• L•• · Memberdirect · owns 75% or more
- F••••• T••••••••• I••• · Memberindirect · owns 75% or more of F••••• A•••• M••••••••• L••
Related persons
Schedule D 7.A
- F•• G• 1• L••pooled vehicle sponsorn
- F••••• S••••••••• I•••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $135,697,861 to $442,237,196 (+226.0%) between the annual amendments of 2025-03-25 and 2026-03-31; the peer median change was +4.0% (1147 comparable advisers, 99.0th percentile of changes)peers: asset managers, $100M to $500M (1,147) · 99% percentile
What changed
consecutive filings, newest first
- BD registered reps · 4 to 3Oct 3, 2025 to Mar 31, 2026
- Assets in custody · $136M to $442MOct 3, 2025 to Mar 31, 2026
- Employees · 7 to 5Oct 3, 2025 to Mar 31, 2026
- Discretionary RAUM · $136M to $442MOct 3, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $136M to $115MOct 3, 2025 to Mar 31, 2026
- RAUM · $136M to $442MOct 3, 2025 to Mar 31, 2026
- Private funds · 5 to 4Jun 5, 2025 to Oct 3, 2025
- Financial planning clients · unset to Mar 25, 2025 to Jun 5, 2025
- Accounts · 1 to 5Mar 29, 2024 to Mar 25, 2025
- Advisory employees · 1 to 2Mar 29, 2024 to Mar 25, 2025
- BD registered reps · 1 to 4Mar 29, 2024 to Mar 25, 2025
- Pooled vehicle clients · 1 to 4Mar 29, 2024 to Mar 25, 2025
- Assets in custody · $70.8M to $136MMar 29, 2024 to Mar 25, 2025
- Employees · 4 to 7Mar 29, 2024 to Mar 25, 2025
- Private funds · 2 to 5Mar 29, 2024 to Mar 25, 2025
- Discretionary RAUM · $70.8M to $136MMar 29, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $70.8M to $136MMar 29, 2024 to Mar 25, 2025
- RAUM · $70.8M to $136MMar 29, 2024 to Mar 25, 2025
- Accounts · 2 to 1Nov 9, 2023 to Mar 29, 2024
- Advisory employees · 2 to 1Nov 9, 2023 to Mar 29, 2024
- Advisory activities · 1 to 2Nov 9, 2023 to Mar 29, 2024
- BD registered reps · 2 to 1Nov 9, 2023 to Mar 29, 2024
- Pooled vehicle clients · 2 to 1Nov 9, 2023 to Mar 29, 2024
- Assets in custody · $18.2M to $70.8MNov 9, 2023 to Mar 29, 2024
- Employees · 7 to 4Nov 9, 2023 to Mar 29, 2024
- Private funds · 1 to 2Nov 9, 2023 to Mar 29, 2024
- Discretionary RAUM · $42.7M to $70.8MNov 9, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $42.7M to $70.8MNov 9, 2023 to Mar 29, 2024
- RAUM · $42.7M to $70.8MNov 9, 2023 to Mar 29, 2024
- Related adviser · true to falseNov 9, 2023 to Mar 29, 2024
- Related bank · true to falseNov 9, 2023 to Mar 29, 2024
- Assets in custody · $11.9M to $18.2MNov 23, 2022 to Mar 29, 2023
- Discretionary RAUM · $47.6M to $42.7MNov 23, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $47.6M to $42.7MNov 23, 2022 to Mar 29, 2023
- RAUM · $47.6M to $42.7MNov 23, 2022 to Mar 29, 2023
- BD registered reps · 1 to 2Apr 15, 2021 to Mar 28, 2022
- Assets in custody · $28.0M to $11.9MApr 15, 2021 to Mar 28, 2022
- Employees · 6 to 7Apr 15, 2021 to Mar 28, 2022
- Discretionary RAUM · $34.1M to $47.6MApr 15, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $34.1M to $47.6MApr 15, 2021 to Mar 28, 2022
Signals
8 dated events
- F••••• I••••••••• A•••••••• L•• reported RAUM $442.2M, up 226% from $135.7M (2025-10-03 to 2026-03-31)Mar 31, 2026 · ria raum c•••ge · derived
- Gregg William White (Ceo And President) no longer on Schedule A of F••••• I••••••••• A•••••••• L•• (listed 2023-11-09, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- Anthony Michael Abbate (Chief Executive Officer) appeared on Schedule A of F••••• I••••••••• A•••••••• L••Mar 29, 2024 · Control person joined · fact
- Asbury Jason Rives (Chief Compliance Officer) appeared on Schedule A of F••••• I••••••••• A•••••••• L••Nov 9, 2023 · Control person joined · fact
- G••••• R••• A••••• M•••• (Chief Compliance Officer) no longer on Schedule A of F••••• I••••••••• A•••••••• L•• (listed 2022-08-26, absent 2022-11-23)Nov 23, 2022 · Control person left · inference
- G••••• R••• A••••• M•••• (Chief Compliance Officer) appeared on Schedule A of F••••• I••••••••• A•••••••• L••Aug 26, 2022 · Control person joined · fact
- (Nmn) Kenneth Chan (Cco / Cfo / Secretary And Treasurer) no longer on Schedule A of F••••• I••••••••• A•••••••• L•• (listed 2022-03-28, absent 2022-08-26)Aug 26, 2022 · Control person left · inference
- Scott Michael Cagney (Member) no longer on Schedule A of F••••• I••••••••• A•••••••• L•• (listed 2019-03-28, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/figure-marketsreportedpublic record, Form ADV, Sep 19, 2026
- Website
- f•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 628-236-5851reportedpublic 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
- $442Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026