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••••• L••
Latest filing Sep 30, 2019
First filing on the tape Nov 16, 2011 · 15 filings
RAUM
$238M
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
62
25 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
7
$57.4M gross assets
History
15 filings and snapshots on the tape
RAUM$238M as of Mar 29, 2019
Mar 30, 2012$73.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 30, 20120 then
Employees (5.A)62 as of Mar 29, 2019
Mar 27, 201343 then
Private funds7 as of Mar 29, 2019
Mar 27, 20131 then
RAUM +3.0% over the last fiscal year+14% a year over threeIARs 1 to 0
Practice profile
derived from the filing of Sep 30, 2019; 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
- $26.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $238M, 9 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$238M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $238M for 9 clientsreported
- Compensation
- % of AUM, fixed, 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••• C••••••••• H•••••••• R••• E••••• F•••• L••no longer reported | Real Estate Fund | $3.5M | 19 | Mar 27, 2013 |
Owners and control persons
Schedule A and B, latest filing
- D••••• J•••• D••••• · Managercontrolsince 12/2017 · owns less than 5%
- H•••••• D••••••• P•••• · Managercontrolsince 12/2017 · owns less than 5%
- H•••••• J••••••• B• · Managercontrolsince 12/2017 · owns less than 5%
- L•••• K••••••• H••••• · Managercontrolsince 12/2017 · owns less than 5%
- R••••• M•••• S• · Manager And Ccocontrolsince 12/2017 · owns less than 5%
- H•••••• D••••••• P•••• · Membercontrolsince 12/2004 · owns 25% to 50% of J•• I••••••••• A••••••••• L••
- H•••••• J••••• E• · Membercontrolsince 12/2004 · owns 25% to 50% of J•• I••••••••• A••••••••• L••
- H•••••• J••••••• B• · Membercontrolsince 12/2004 · owns 25% to 50% of J•• I••••••••• A••••••••• L••
Entity owners
- J•• I••••••••• A••••••••• L•• · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- H••••• L••investment advisernRAUM $726M
- H•••• H•• I• L••investment advisernRAUM $891M
Advisers that list F••••• L•• as a related person
- 157866 n
Offices
Schedule D 1.F, the 25 largest
- Morristown, NJ25 employees
What changed
consecutive filings, newest first
- Private funds · 8 to 7Sep 27, 2019 to Sep 30, 2019
- Private funds · 7 to 8Mar 29, 2019 to Sep 27, 2019
- Accounts · 7 to 9Mar 30, 2018 to Mar 29, 2019
- Advisory employees · 23 to 25Mar 30, 2018 to Mar 29, 2019
- Pooled vehicle clients · 7 to 9Mar 30, 2018 to Mar 29, 2019
- Assets in custody · $231M to $238MMar 30, 2018 to Mar 29, 2019
- Employees · 58 to 62Mar 30, 2018 to Mar 29, 2019
- State-registered IARs · 1 to 0Mar 30, 2018 to Mar 29, 2019
- Private funds · 5 to 7Mar 30, 2018 to Mar 29, 2019
- Discretionary RAUM · $231M to $238MMar 30, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $231M to $238MMar 30, 2018 to Mar 29, 2019
- RAUM · $231M to $238MMar 30, 2018 to Mar 29, 2019
- Accounts · 4 to 7Mar 30, 2017 to Mar 30, 2018
- Pooled vehicle clients · unset to 7.0Mar 30, 2017 to Mar 30, 2018
- Assets in custody · $205M to $231MMar 30, 2017 to Mar 30, 2018
- Employees · 65 to 58Mar 30, 2017 to Mar 30, 2018
- Other offices · unset to 1.0Mar 30, 2017 to Mar 30, 2018
- Private funds · unset to 5Mar 30, 2017 to Mar 30, 2018
- Discretionary RAUM · $205M to $231MMar 30, 2017 to Mar 30, 2018
- Pooled vehicle RAUM · unset to 230696635.0Mar 30, 2017 to Mar 30, 2018
- RAUM · $205M to $231MMar 30, 2017 to Mar 30, 2018
- Accounts · 2 to 4May 24, 2016 to Mar 30, 2017
- Advisory employees · 21 to 23May 24, 2016 to Mar 30, 2017
- Assets in custody · $159M to $205MMay 24, 2016 to Mar 30, 2017
- Employees · 69 to 65May 24, 2016 to Mar 30, 2017
- State-registered IARs · 2 to 1May 24, 2016 to Mar 30, 2017
- Discretionary RAUM · $159M to $205MMay 24, 2016 to Mar 30, 2017
- RAUM · $159M to $205MMay 24, 2016 to Mar 30, 2017
- Advisory employees · 20 to 21Jan 11, 2016 to Mar 24, 2016
- Assets in custody · $111M to $159MJan 11, 2016 to Mar 24, 2016
- Employees · 57 to 69Jan 11, 2016 to Mar 24, 2016
- State-registered IARs · 1 to 2Jan 11, 2016 to Mar 24, 2016
- Discretionary RAUM · $111M to $159MJan 11, 2016 to Mar 24, 2016
- RAUM · $111M to $159MJan 11, 2016 to Mar 24, 2016
- Accounts · 3 to 2Jun 13, 2014 to Mar 26, 2015
- Assets in custody · $106M to $111MJun 13, 2014 to Mar 26, 2015
- Employees · 53 to 57Jun 13, 2014 to Mar 26, 2015
- Private funds · 1 to unsetJun 13, 2014 to Mar 26, 2015
- Discretionary RAUM · $106M to $111MJun 13, 2014 to Mar 26, 2015
- RAUM · $106M to $111MJun 13, 2014 to Mar 26, 2015
Signals
3 dated events
- S. Mark Rosen (Manager And Cco) appeared on Schedule A of F••••• L••Sep 27, 2019 · Control person joined · fact
- D••••• J••• D•••• (Manager) appeared on Schedule A of F••••• L••Sep 27, 2019 · Control person joined · fact
- H••••• K•••••• L••• (Manager) appeared on Schedule A of F••••• L••Sep 27, 2019 · Control person joined · fact
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
Across the graphs
F••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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