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•• R•••• A•••••••• L••

Former SEC-registered adviserHermosa Beach, CaliforniaCRD 159794SEC 801-79477IAPD
Latest filing Jul 19, 2016
First filing on the tape Mar 25, 2014 · 12 filings
RAUM
$155M
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
9
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$155M gross assets
History
12 filings and snapshots on the tape
RAUM$155M as of Mar 7, 2016
Mar 19, 2015$198M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 7, 2016
Mar 19, 20150 then
Employees (5.A)10 as of Mar 7, 2016
Mar 19, 201511 then
Private funds2 as of Mar 7, 2016
Mar 19, 20152 then
RAUM -22% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 19, 2016; 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
$77.4MderivedRAUM 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
-22%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)
  • 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
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F••• I• • G•• C•••••••• L••Private Equity Fund$8.0M21Mar 30, 2017
      A••••• D•••••••• L•Private Equity Fund$5.2M33Mar 22, 2013
      F••• • P•••••• L••• L••Private Equity Fund$4.0M14Mar 25, 2021
      F••• V• L•••••Private Equity Fund$3.8M24Mar 30, 2017
      F••• • M••••••••• H••••••• L••Private Equity Fund$2.9M14Mar 30, 2022
      F••• • G•• C•••••••• I• L••Private Equity Fund$2.9M6Mar 30, 2020
      S•••••• P••••••• L•Other Private Fund$1.7M30Mar 9, 2012
      F••• I•• • S•••••• A••••• I•• L••Private Equity Fund$162,03324Mar 30, 2017
      F••• I• • L••• C••••••••• P••••• L••Private Equity Fund$18,58421Mar 30, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••• N•••• S•••••••• · Chief Compliance Officercontrol
        since 07/2016 · owns less than 5%
      • R••••••• J•••••• J•• · Principalcontrol
        since 03/2010 · owns less than 5%
      • R••••••• N•••• J•••• · Managing Directorcontrol
        since 03/2010 · owns less than 5%
      • R••••••• J•••••• J•• · Managing Membercontrol
        since 06/2010 · owns 75% or more of F•• R•••• P••••••• G•• L••
      • D••••••• K••••• K•••••• · Portfolio Manager
        since 12/2012 · owns less than 5%
      Entity owners
      • F•• R•••• P••••••• G•• L•• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • F•• R•••• A••••• G• L••
        pooled vehicle sponsorn
      • F•• R•••• P••••••• G•• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Naperville, IL
      What changed
      consecutive filings, newest first
      • Employees · 10 to 9
        May 6, 2016 to Jul 19, 2016
      • HQ city · NAPERVILLE to HERMOSA BEACH
        May 6, 2016 to Jul 19, 2016
      • HQ state · IL to CA
        May 6, 2016 to Jul 19, 2016
      • Business name · F•• R•••• P••••••• to F•• R•••• A•••••••• L••
        Mar 7, 2016 to May 6, 2016
      • Advisory employees · 7 to 6
        Aug 11, 2015 to Mar 7, 2016
      • Employees · 11 to 10
        Aug 11, 2015 to Mar 7, 2016
      • Discretionary RAUM · $198M to $155M
        Aug 11, 2015 to Mar 7, 2016
      • RAUM · $198M to $155M
        Aug 11, 2015 to Mar 7, 2016
      • Advisory employees · 8 to 7
        Nov 24, 2014 to Mar 19, 2015
      • Employees · 12 to 11
        Nov 24, 2014 to Mar 19, 2015
      • Discretionary RAUM · $174M to $198M
        Nov 24, 2014 to Mar 19, 2015
      • RAUM · $174M to $198M
        Nov 24, 2014 to Mar 19, 2015
      • Private funds · 4 to 2
        Mar 25, 2014 to Aug 13, 2014
      Signals
      1 dated events
      • F•• R•••• P••••••• filed its initial SEC registration (Form ADV)
        Mar 25, 2014 · First SEC registration · fact
      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