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

W••• F••••• S••••••• I••••••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 159727SEC 801-72932IAPD
Legal name F••••• S••••••• I••••••••• M••••••••• L••
Latest filing Mar 28, 2013
First filing on the tape Nov 30, 2011 · 12 filings
RAUM
$1.3B
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
12
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$1.3B gross assets
History
12 filings and snapshots on the tape
RAUM$1.3B as of Mar 27, 2013
Mar 23, 2012$4.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 12
Private funds3 as of Mar 27, 2013
Mar 23, 20121 then
RAUM -69% over the last fiscal year
Practice profile
derived from the filing of Mar 28, 2013; 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
$433MderivedRAUM 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
-69%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 vehiclesreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
3reported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F••••• S••••••• C•• V• L•••Securitized Asset Fund$393M0Nov 2, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• G•••• •••• · Chief Financial Officercontrol
        since 08/2009 · owns less than 5%
      • C••••• F••••••• J••••• · Portfolio Managercontrol
        since 09/2011 · owns less than 5%
      • E•••••• D••••• S•••• · Member & Portfolio Managercontrol
        since 10/2007 · owns less than 5%
      • F•••••• J•••• W•••••• · Managing Partner & Chief Investment Officercontrol
        since 10/2007 · owns 10% to 25%
      • M••••••• P••••••• B•••• · G•••Ral Counsel & Chief Compliance Officercontrol
        since 10/2011 · owns less than 5%
      • N•••••• D••••• A••••• · Member & Portfolio Managercontrol
        since 10/2007 · owns less than 5%
      • S••••••• M••••••• A•••••• · Member & Portfolio Managercontrol
        since 10/2007 · owns less than 5%
      • F•••••• J•••• W•••••• · Managing Membercontrol
        since 08/2005 · owns 50% to 75% of F••••• S••••••• • C•• L••
      • R•••••• J•••••••• M• •• O•••• · Managing Membercontrol
        since 11/2007 · owns F of W••• Fsim Co-Investors LLC
      • S•••••••• E••••• O• T••••• P•••• · Managing Membercontrol
        since 08/2005 · owns 25% to 50% of F••••• S••••••• • C•• L••
      Entity owners
      • F••••• S••••••• • C•• L•• · Managing Member
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • Investcorp Credit Management US LLC
        investment advisernRAUM $12B
      • F•••• S••••••• C•• I• I••••••••• L••
        pooled vehicle sponsorn
      • F••••• S••••••• C•• I• I••••••••• L••
        pooled vehicle sponsorn
      • F• C•• I•••••••• M••••••••• L••
        n
      • F• C•• M••••••••• L••
        investment advisernRAUM $1.1B
      • F•• P••••••• L••
        n
      • W••• F••••• S••••••• I••••••••• M••••••••• ••• L••
        investment advisern
      • W••• F••••• S••••••• U• H••••• L••
        y
      Advisers that list W••• F••••• S••••••• I••••••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Darien, CT
      What changed
      consecutive filings, newest first
      • Legal name · W••• F••••• S••••••• I••••••••• M••••••••• L•• to F••••• S••••••• I••••••••• M••••••••• L••
        Nov 2, 2012 to Mar 27, 2013
      • Discretionary RAUM · $1.4B to $1.3B
        Nov 2, 2012 to Mar 27, 2013
      • RAUM · $1.4B to $1.3B
        Nov 2, 2012 to Mar 27, 2013
      • Accounts · 5 to 3
        Apr 17, 2012 to Nov 2, 2012
      • Advisory employees · unset to 6.0
        Apr 17, 2012 to Nov 2, 2012
      • Advisory activities · 2 to 1
        Apr 17, 2012 to Nov 2, 2012
      • BD registered reps · unset to 0.0
        Apr 17, 2012 to Nov 2, 2012
      • Employees · unset to 12.0
        Apr 17, 2012 to Nov 2, 2012
      • State-registered IARs · unset to 0.0
        Apr 17, 2012 to Nov 2, 2012
      • Private funds · 1 to 3
        Apr 17, 2012 to Nov 2, 2012
      • Discretionary RAUM · $4.2B to $1.4B
        Apr 17, 2012 to Nov 2, 2012
      • RAUM · $4.2B to $1.4B
        Apr 17, 2012 to Nov 2, 2012
      • Accounts · 4 to 5
        Dec 21, 2011 to Mar 23, 2012
      • Private funds · unset to 1
        Dec 21, 2011 to Mar 23, 2012
      • Discretionary RAUM · $5.1B to $4.2B
        Dec 21, 2011 to Mar 23, 2012
      • RAUM · $5.1B to $4.2B
        Dec 21, 2011 to Mar 23, 2012
      Signals
      No event on the tape.
      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