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•••••••• C••••••
Legal name F•••••••• C••••••• L••
Latest filing Mar 31, 2023
First filing on the tape Aug 8, 2014 · 15 filings
RAUM
$496M
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
14
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$496M gross assets
History
15 filings and snapshots on the tape
RAUM$496M as of Mar 31, 2023
Mar 31, 2015$5.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 31, 20150 then
Employees (5.A)14 as of Mar 31, 2023
Mar 31, 201537 then
Private funds2 as of Mar 31, 2023
Mar 31, 201513 then
RAUM -60% over the last fiscal year-49% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2023; 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
- $248MderivedRAUM 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
- -60%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $496M, 2 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$496M100%
- 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
- $496M for 2 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
18 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F• G•• O••••••••• I••••••••• L••no longer reported | Other Private Fund | $2.0B | 21 | Aug 8, 2014 |
| E•••••• I••••••••• L•• | Real Estate Fund | $357M | 16 | Aug 8, 2014 |
| F• I•••••••• X••• L••no longer reported | Private Equity Fund | $296M | 25 | Aug 8, 2014 |
| S•••••• S••••• C••• I••••••••• P••••••••• V• L••no longer reported | Other Private Fund | $150M | 20 | Aug 8, 2014 |
| F•• L•••••• L••no longer reported | Securitized Asset Fund | $70.4M | 20 | Mar 28, 2019 |
| F• L•••••• F••• I•• L••no longer reported | Other Private Fund | $65.7M | 17 | Mar 30, 2018 |
| F•••••••• P••••••••• V•••• L•no longer reported | Real Estate Fund | $50.0M | 11 | Aug 8, 2014 |
| F• E•••••• L•no longer reported | Real Estate Fund | $28.2M | 50 | Mar 29, 2017 |
| F• P••••••••• X• L••no longer reported | Real Estate Fund | $28.0M | 4 | Aug 8, 2014 |
| F• L••••••••• L••no longer reported | Securitized Asset Fund | $14.0M | 7 | Aug 8, 2014 |
| F••• H•••••••• L••no longer reported | Private Equity Fund | $7.6M | 23 | Mar 31, 2016 |
| J•• S••••• L••••• P•••••••• I• L•no longer reported | Real Estate Fund | $7.0M | 10 | Aug 8, 2014 |
| F•••• B••••••••• I••••••••• L••no longer reported | Real Estate Fund | $5.3M | 4 | Aug 8, 2014 |
| F• L••••••• L••no longer reported | Securitized Asset Fund | $3.4M | 5 | Aug 8, 2014 |
| F•• F•••••• I•• L••no longer reported | Securitized Asset Fund | $0 | 21 | Mar 31, 2016 |
| F• H•••••••• I••••••••• L••no longer reported | Real Estate Fund | $0 | 6 | Aug 8, 2014 |
| F•• F•••••• I••• L••no longer reported | Securitized Asset Fund | $0 | 21 | Mar 29, 2017 |
| F•• F••••••• L••no longer reported | Securitized Asset Fund | $0 | 21 | Mar 31, 2016 |
Owners and control persons
Schedule A and B, latest filing
- H•••••• S•••••••• · Managing Director, Investmentscontrolsince 12/2020 · owns less than 5%
- M••••••••• J•••••• P•••••• · Chief Financial Officercontrolsince 06/2021 · owns less than 5%
- P•••••• N••• · Chief Compliance Officer, Svpcontrolsince 12/2020 · owns less than 5%
- R•••• D••••• M•••••• · Chief Executive Officercontrolsince 12/2020 · owns less than 5%
- W••••••• A•••••• M•••• · Chairman, Board Membercontrolsince 01/1999 · owns less than 5%
- W••••••• A•••••• M•••• · Ownercontrolsince 01/1999 · owns 75% or more of H••• M••••••••• G••••• I•••
Entity owners
- H••• M••••••••• G••••• I••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- F• D••••• G•••••• P••••••• L••pooled vehicle sponsory
- F• E•••••• I••••••••• L••pooled vehicle sponsory
- F•••••••• C•••••• A•••• M••••••••• I••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Atlanta, GA3 employees
What changed
consecutive filings, newest first
- Assets in custody · $1.2B to $496MMar 31, 2022 to Mar 31, 2023
- Employees · 15 to 14Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.2B to $496MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.2B to $496MMar 31, 2022 to Mar 31, 2023
- RAUM · $1.2B to $496MMar 31, 2022 to Mar 31, 2023
- Accounts · 5 to 2Mar 31, 2021 to Mar 31, 2022
- Advisory employees · 18 to 12Mar 31, 2021 to Mar 31, 2022
- Pooled vehicle clients · 5 to 2Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $3.0B to $1.2BMar 31, 2021 to Mar 31, 2022
- Employees · 19 to 15Mar 31, 2021 to Mar 31, 2022
- Private funds · 5 to 2Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $3.0B to $1.2BMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $3.0B to $1.2BMar 31, 2021 to Mar 31, 2022
- RAUM · $3.0B to $1.2BMar 31, 2021 to Mar 31, 2022
- Accounts · 15 to 5Dec 1, 2020 to Mar 31, 2021
- Advisory employees · 19 to 18Dec 1, 2020 to Mar 31, 2021
- Pooled vehicle clients · 15 to 5Dec 1, 2020 to Mar 31, 2021
- Assets in custody · $3.8B to $3.0BDec 1, 2020 to Mar 31, 2021
- Employees · 44 to 19Dec 1, 2020 to Mar 31, 2021
- Private funds · 15 to 5Dec 1, 2020 to Mar 31, 2021
- Discretionary RAUM · $3.8B to $3.0BDec 1, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $3.8B to $3.0BDec 1, 2020 to Mar 31, 2021
- RAUM · $3.8B to $3.0BDec 1, 2020 to Mar 31, 2021
- Assets in custody · $6.1B to $3.8BFeb 10, 2020 to Mar 31, 2020
- Discretionary RAUM · $5.5B to $3.8BFeb 10, 2020 to Mar 31, 2020
- Pooled vehicle RAUM · $5.5B to $3.8BFeb 10, 2020 to Mar 31, 2020
- RAUM · $5.5B to $3.8BFeb 10, 2020 to Mar 31, 2020
- Accounts · 18 to 15Aug 21, 2018 to Mar 28, 2019
- Advisory employees · 25 to 19Aug 21, 2018 to Mar 28, 2019
- Pooled vehicle clients · 18 to 15Aug 21, 2018 to Mar 28, 2019
- Employees · 52 to 44Aug 21, 2018 to Mar 28, 2019
- Private funds · 18 to 15Aug 21, 2018 to Mar 28, 2019
- Discretionary RAUM · $6.1B to $5.5BAug 21, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $6.1B to $5.5BAug 21, 2018 to Mar 28, 2019
- RAUM · $6.1B to $5.5BAug 21, 2018 to Mar 28, 2019
- Accounts · 19 to 18Mar 29, 2017 to Mar 30, 2018
- Pooled vehicle clients · unset to 18.0Mar 29, 2017 to Mar 30, 2018
- Assets in custody · $6.0B to $6.1BMar 29, 2017 to Mar 30, 2018
- Employees · 53 to 52Mar 29, 2017 to Mar 30, 2018
- Other offices · unset to 1.0Mar 29, 2017 to Mar 30, 2018
Signals
14 dated events
- F•••••••• C•••••• reported RAUM $496.4M, down 60% from $1.2B (2022-03-31 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- F•••••••• C•••••• reported RAUM $1.2B, down 58% from $3.0B (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- A Katherine Boelte (Chief Financial Officer) no longer on Schedule A of F•••••••• C•••••• (listed 2021-03-31, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Michael David Russ (Chief Executive Officer) appeared on Schedule A of F•••••••• C••••••Mar 31, 2021 · Control person joined · fact
- Patrick Joseph Mcdurmont (Chief Accounting Officer) appeared on Schedule A of F•••••••• C••••••Mar 31, 2021 · Control person joined · fact
- A Katherine Boelte (Chief Financial Officer) appeared on Schedule A of F•••••••• C••••••Mar 31, 2021 · Control person joined · fact
- Nela Powell (Chief Compliance Officer, Svp) appeared on Schedule A of F•••••••• C••••••Mar 31, 2021 · Control person joined · fact
- Stephanie Hamner (Managing Director, Investments) appeared on Schedule A of F•••••••• C••••••Mar 31, 2021 · Control person joined · fact
- Brian Beckwith (Chief Executive Officer, Board Member) no longer on Schedule A of F•••••••• C•••••• (listed 2020-12-01, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- E Scott Brown (Chief Compliance Officer, Treasurer, Board Member) no longer on Schedule A of F•••••••• C•••••• (listed 2020-12-01, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- F•••••••• C•••••• reported RAUM $3.8B, down 31% from $5.5B (2020-02-10 to 2020-03-31)Mar 31, 2020 · RAUM change · derived
- Steven Fishman (Owner) no longer on Schedule A of F•••••••• C•••••• (listed 2018-08-21, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- Kelly Pamela Rosen (General Counsel) no longer on Schedule A of F•••••••• C•••••• (listed 2018-08-21, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- F•••••••• C•••••• filed its initial SEC registration (Form ADV)Aug 8, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- F•••••••• C•••••• · Private Equityshared crd · organization
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•••••••• C•••••• 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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