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••••••• C••••••••• M••••••••• I• L••
Latest filing Apr 14, 2026
First filing on the tape Dec 7, 2011 · 23 filings
SEC status approved since Jan 3, 2012
RAUM
$140M
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
26
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$140M as of Apr 14, 2026
Mar 21, 2012$151M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 14, 2026
Mar 28, 20130 then
Employees (5.A)26 as of Apr 14, 2026
Mar 28, 201324 then
Private funds4 as of Apr 14, 2026
Mar 21, 201217 then
RAUM -28% over the last fiscal year-18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 14, 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
- $140MderivedRAUM 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
- -28%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $9.8M, 1 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$140M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $9.8M for 1 clientsreported
- Compensation
- % of AUMreported
- 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••••• F••• V• L•• | Venture Capital Fund | $540M | 2 | Mar 21, 2017 |
| F••••••• C••••••••• I• L• | Venture Capital Fund | $215M | 2 | Mar 21, 2012 |
| F••••••• C••••••••• I•• L• | Venture Capital Fund | $129M | 2 | Dec 7, 2011 |
| F••••••• C••••••••• I•• L• | Venture Capital Fund | $20.6M | 2 | Dec 7, 2011 |
| C••••••••• L••••••••• F••• L• | Venture Capital Fund | $745,105 | 1 | Dec 7, 2011 |
Owners and control persons
Schedule A and B, latest filing
- H•••••••• H•••••• A•••• · Member, F••••••• C••••••••• Management II, LLCcontrolsince 02/2005 · owns 10% to 25%
- M••••••••• A•••• I•••• · Member, Fairivew Consitution Management V, LLCcontrolsince 12/2016 · owns 10% to 25%
- M••••• L•••••••• C•••••••• · Member, F••••••• C••••••••• Management III, LLCcontrolsince 03/2007 · owns 10% to 25%
- O••••••••• K•••••••• A•••••• · Managing Partner, F••••••• C•••••• P•••••••• L••controlsince 01/2015 · owns less than 5%
- P••••• J••••• H••••• · Member, F••••••• Consitution Management V, LLCcontrolsince 12/2016 · owns 10% to 25%
- Q••••• K•••• · Officer, F••••••• C•••••• P•••••••• L••controlsince 06/2023 · owns less than 5%
- S••••••• E••••• S••••• · Senior Advisor, F••••••• C•••••• P•••••••• L••controlsince 01/2015 · owns less than 5%
- V•••••••• A••••• R• · Member, Fairivew Consitution Management V, LLCcontrolsince 12/2018 · owns 5% to 10%
- M••••• L•••••••• C•••••••• · Chief Executive Officercontrolsince 09/1994 · owns 50% to 75% of F••••••• C•••••• P•••••••• I•••
- P••••• J••••• H••••• · Presidentcontrolsince 09/1994 · owns 50% to 75% of F••••••• C•••••• P•••••••• I•••
- F••••• C••••••• D••••• · Chief Compliance Officer/Corporate Controller, F••••••• C•••••• P•••••••• L••since 01/2015 · owns less than 5%
Entity owners
- F••••••• C•••••• P•••••••• I••• · Member, F••••••• C••••••••• Management IV, LLCdirect · owns 5% to 10%
- N•• Y••• L••• I•••••••• C•••••• · Minority Ownerdirect · owns 25% to 50%
- N•• Y••• L••• I•••••••• C•••••• · Minority Ownerindirect · owns 25% to 50% of F••••••• C•••••• P•••••••• I•••
Related persons
Schedule D 7.A
- F••••••• C•••••• E• P••••••• L••pooled vehicle sponsorn
- F••••••• C•••••• P•••••••• L••investment adviserpooled vehicle sponsoryRAUM $2.5B
- F••••••• C•••• P•••••••• L••pooled vehicle sponsorn
- F••••••• E••••••••• O••••••••• M••••••••• L••pooled vehicle sponsorn
- F••••••• F••••••••• E••••••• M••••••• M••••••••• I• L••pooled vehicle sponsorn
- F••••••• F••••••••• E••••••• M••••••• M••••••••• L••pooled vehicle sponsorn
- F••••••• L•••••• F••• I• M••••••••• L••pooled vehicle sponsorn
- F••••••• L••• S••• M••••••••• I•• L••pooled vehicle sponsorn
- F••••••• L••• S••• M••••••••• I••• L••pooled vehicle sponsorn
- F••••••• L••• S••• M••••••••• L••pooled vehicle sponsorn
- F••••••• N•• E••••••• M••••••• F••• M••••••••• L••pooled vehicle sponsorn
- F••••••• O••••••••• M••••••••• L••pooled vehicle sponsorn
- F••••••• P• M••••••••• I•• L••pooled vehicle sponsorn
- F••••••• P• M••••••••• V• L••investment adviserpooled vehicle sponsorn
- F••••••• P• M••••••••• V•• L••pooled vehicle sponsorn
- F••••••• S•••••• O••••••••• M••••••••• L••pooled vehicle sponsorn
- F••••••• V• I•••••••• M••••••••• L••pooled vehicle sponsorn
- F••••••• V•••••• M••••••••• I•• L••pooled vehicle sponsorn
- F••••••• V•••••• M••••••••• L••pooled vehicle sponsorn
- F••••••• V•••••••• M••••••••• L••pooled vehicle sponsorn
- K••••••• L••••• M••••••••• L••pooled vehicle sponsorn
- N• H••• P•••• V• F••• M••••••••• L••pooled vehicle sponsorn
- N• L••••• V• M••••••••• L••pooled vehicle sponsorn
Advisers that list F••••••• C••••••••• M••••••••• I• L•• as a related person
- 161258 y
Offices
Schedule D 1.F, the 25 largest
- San Francisco, CA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Apr 14, 2026RAUM (Item 5.F) moved from $193,223,290 to $139,819,172 (-28.0%) between the annual amendments of 2025-03-31 and 2026-04-14; the peer median change was +4.0% (1148 comparable advisers, 9.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 9.4% percentile
What changed
consecutive filings, newest first
- Advisory employees · 11 to 12Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $9.8M to $9.8MMar 31, 2025 to Mar 31, 2026
- Employees · 25 to 26Mar 31, 2025 to Mar 31, 2026
- Private funds · 5 to 4Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $193M to $140MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $193M to $140MMar 31, 2025 to Mar 31, 2026
- RAUM · $193M to $140MMar 31, 2025 to Mar 31, 2026
- Advisory employees · 12 to 11Apr 24, 2024 to Mar 31, 2025
- Assets in custody · $1.9M to $9.8MApr 24, 2024 to Mar 31, 2025
- Employees · 27 to 25Apr 24, 2024 to Mar 31, 2025
- Financial planning clients · unset to Apr 24, 2024 to Mar 31, 2025
- Discretionary RAUM · $215M to $193MApr 24, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $215M to $193MApr 24, 2024 to Mar 31, 2025
- RAUM · $215M to $193MApr 24, 2024 to Mar 31, 2025
- Advisory employees · 10 to 12May 31, 2023 to Mar 29, 2024
- Assets in custody · $4.5M to $1.9MMay 31, 2023 to Mar 29, 2024
- Employees · 25 to 27May 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $254M to $215MMay 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $254M to $215MMay 31, 2023 to Mar 29, 2024
- RAUM · $254M to $215MMay 31, 2023 to Mar 29, 2024
- Advisory employees · 11 to 10Mar 30, 2023 to May 31, 2023
- Employees · 26 to 25Mar 30, 2023 to May 31, 2023
- Advisory employees · 12 to 11Mar 31, 2022 to Mar 30, 2023
- Assets in custody · $21.6M to $4.5MMar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $361M to $254MMar 31, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $361M to $254MMar 31, 2022 to Mar 30, 2023
- RAUM · $361M to $254MMar 31, 2022 to Mar 30, 2023
- Assets in custody · $6.0M to $21.6MMar 22, 2021 to Mar 31, 2022
- Discretionary RAUM · $224M to $361MMar 22, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $224M to $361MMar 22, 2021 to Mar 31, 2022
- RAUM · $224M to $361MMar 22, 2021 to Mar 31, 2022
- Advisory employees · 13 to 12Mar 30, 2020 to Mar 22, 2021
- Assets in custody · $4.9M to $6.0MMar 30, 2020 to Mar 22, 2021
- Employees · 27 to 26Mar 30, 2020 to Mar 22, 2021
- Discretionary RAUM · $200M to $224MMar 30, 2020 to Mar 22, 2021
- Pooled vehicle RAUM · $200M to $224MMar 30, 2020 to Mar 22, 2021
- RAUM · $200M to $224MMar 30, 2020 to Mar 22, 2021
- Assets in custody · $3.8M to $4.9MMar 28, 2019 to Mar 30, 2020
- Employees · 26 to 27Mar 28, 2019 to Mar 30, 2020
- Discretionary RAUM · $151M to $200MMar 28, 2019 to Mar 30, 2020
Signals
5 dated events
- K•••• Q•••• (Officer, F••••••• C•••••• P•••••••• I•••) appeared on Schedule A of F••••••• C••••••••• M••••••••• I• L••Mar 29, 2024 · Control person joined · fact
- Hsun Hui Cynthia Tseng (Officer, Fairview Capital Partners, Inc) no longer on Schedule A of F••••••• C••••••••• M••••••••• I• L•• (listed 2023-03-30, absent 2023-05-31)May 31, 2023 · Control person left · inference
- F••••••• C••••••••• M••••••••• I• L•• reported RAUM $253.5M, down 30% from $360.6M (2022-03-31 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- F••••••• C••••••••• M••••••••• I• L•• reported RAUM $360.6M, up 61% from $223.7M (2021-03-22 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- George Douglas Boains (Member, Fairview Consitution Management V, Llc) no longer on Schedule A of F••••••• C••••••••• M••••••••• I• L•• (listed 2019-03-28, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- F••••••• C••••••••• M••••••••• I• L•• · Private Equityshared crd · organization
- F••••••• C••••••••• M••••••••• I• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/fairview-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- F•••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 860-674-8066reportedpublic record, Form ADV, Apr 14, 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