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••••• L•••• C••••••• L••
Latest filing Mar 16, 2026
First filing on the tape Feb 14, 2012 · 19 filings
SEC status approved since Mar 30, 2012
RAUM
$9.5B
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
24
11 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
12
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$9.5B as of Mar 16, 2026
Jan 28, 2013$2.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 16, 2026
Jan 28, 20130 then
Employees (5.A)24 as of Mar 16, 2026
Jan 28, 201322 then
Private funds12 as of Mar 16, 2026
Jan 28, 201310 then
RAUM n/a over the last fiscal year+25% a year over three
Practice profile
derived from the filing of Mar 16, 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
- $793MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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
- Custody
- $9.5B, 12 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
- buys or sells securities as principal to or from clients (8.A.2)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$9.5B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 12reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $9.5B for 12 clientsreported
- Compensation
- % of AUM, performancereported
- 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
19 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E•••••••• P••• I••••••••• F•••• L••• | Private Equity Fund | $3.4B | 1 | Mar 8, 2022 |
| F••••• L•••• C••••••••• P••••••••• I•• L••• | Private Equity Fund | $1.1B | 1 | Feb 28, 2020 |
| F••••• L•••• C••••••••• P••••••••• I••• L••• | Private Equity Fund | $971M | 1 | Feb 15, 2017 |
| F••••• L•••• C••••••••• P••••••••• I•• L••• | Private Equity Fund | $583M | 2 | Feb 14, 2012 |
| F••••• D••••• F••• L• | Private Equity Fund | $151M | 1 | Mar 15, 2024 |
| F••••• L•••• C••••••••• P••••••••• L••• | Private Equity Fund | $101M | 20 | Feb 14, 2012 |
| F••••• I••••••••• F••• V• L• | Private Equity Fund | $80.7M | 2 | Mar 22, 2023 |
| F••••••••• F••• V• L• | Private Equity Fund | $50.3M | 1 | Mar 22, 2023 |
| F••••• L•••• V•••••• P••••••••• I•••• L••• | Venture Capital Fund | $40.6M | 35 | Feb 14, 2012 |
| F••••• L•••• V•••••• P••••••••• L•••no longer reported | Venture Capital Fund | $37.2M | 37 | Feb 14, 2012 |
| F••••• L•••• V•••••• P••••••••• I•• L••• | Venture Capital Fund | $32.7M | 16 | Feb 14, 2012 |
| F••••• L•••• B••••• P••••••••• I•• L•••no longer reported | Private Equity Fund | $30.7M | 17 | Feb 14, 2012 |
| F••••• L•••• V•••••• F••• I••• L••• | Venture Capital Fund | $26.4M | 22 | Feb 14, 2012 |
| F••••• D••••• F••• L• | Private Equity Fund | $25.2M | 1 | Mar 15, 2024 |
| F••••• L•••• B••••• P••••••••• L•••no longer reported | Private Equity Fund | $14.9M | 36 | Feb 14, 2012 |
| F••••• L•••• S• B••••• P••••••••• L•••no longer reported | Private Equity Fund | $5.3M | 1 | Feb 14, 2012 |
| F••••• L•••• •••••••• F••••• P••••••••• L•••no longer reported | Venture Capital Fund | $4.2M | 22 | Feb 14, 2012 |
| F••••• L•••• ••••••• F••••• P••••••••• L•••no longer reported | Private Equity Fund | $2.5M | 21 | Feb 14, 2012 |
| F••••• L•••• ••••••••• F••••• P••••••••• L••• | Private Equity Fund | $571,999 | 17 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• M•••••••• A••••••• · Managing D•••••Orcontrolsince 11/2006 · owns less than 5%
- F•••••• B••••• K•••• · Managing D•••••Orcontrolsince 09/2004 · owns 75% or more
- K•••• L•••• N•• · Managing D•••••Orcontrolsince 12/2004 · owns less than 5%
- W•••• M•••••• J•••• · Managing D•••••Orcontrolsince 11/2011 · owns less than 5%
- H•••••••• M•••••• O•••••• · Corporate Controllersince 07/2005 · owns less than 5%
- M••••••••• C••••••••• P••• · Chief Financial Officer And Chief Compliance Officersince 11/2015 · owns less than 5%
- S••• A••••••• N•• · Fund Controllersince 10/2013 · owns less than 5%
Related persons
Schedule D 7.A
- F••••• L•••• C••••••••• G••• I•• L•••pooled vehicle sponsorn
- F••••• L•••• C••••••••• G••• I••• L•••pooled vehicle sponsorn
- F••••• L•••• C••••••••• G• I•• L•••pooled vehicle sponsorn
- F••••• L•••• E•••••••• P•••• L•••pooled vehicle sponsorn
- F••••• L•••• G••• I•• L•••pooled vehicle sponsorn
- F••••• L•••• G••• I••• L•••pooled vehicle sponsorn
- F•• C••••••••• G• V• L•pooled vehicle sponsorn
- F••••• D••••• G•• L•pooled vehicle sponsorn
- F••••• D••••• G•• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Boston, MA3 employees
- London, United Kingdom1 employees
What changed
consecutive filings, newest first
- Assets in custody · $8.1B to $9.5BMay 1, 2025 to Mar 16, 2026
- Employees · 20 to 24May 1, 2025 to Mar 16, 2026
- Discretionary RAUM · $8.1B to $9.5BMay 1, 2025 to Mar 16, 2026
- Pooled vehicle RAUM · $8.1B to $9.5BMay 1, 2025 to Mar 16, 2026
- RAUM · $8.1B to $9.5BMay 1, 2025 to Mar 16, 2026
- Accounts · 11 to 12Apr 23, 2024 to May 1, 2025
- Pooled vehicle clients · 11 to 12Apr 23, 2024 to May 1, 2025
- Assets in custody · $4.9B to $8.1BApr 23, 2024 to May 1, 2025
- Employees · 22 to 20Apr 23, 2024 to May 1, 2025
- Financial planning clients · 11-25 to 11-25Apr 23, 2024 to May 1, 2025
- HQ city · SAN MATEO to BURLINGAMEApr 23, 2024 to May 1, 2025
- Private funds · 11 to 12Apr 23, 2024 to May 1, 2025
- Discretionary RAUM · $6.4B to $8.1BApr 23, 2024 to May 1, 2025
- Pooled vehicle RAUM · $6.4B to $8.1BApr 23, 2024 to May 1, 2025
- RAUM · $6.4B to $8.1BApr 23, 2024 to May 1, 2025
- Advisory employees · 9 to 11Jun 23, 2023 to Mar 15, 2024
- Employees · 18 to 22Jun 23, 2023 to Mar 15, 2024
- Discretionary RAUM · $4.9B to $6.4BJun 23, 2023 to Mar 15, 2024
- Pooled vehicle RAUM · $4.9B to $6.4BJun 23, 2023 to Mar 15, 2024
- RAUM · $4.9B to $6.4BJun 23, 2023 to Mar 15, 2024
- Advisory employees · 7 to 9Mar 8, 2022 to Mar 22, 2023
- Assets in custody · $3.3B to $4.9BMar 8, 2022 to Mar 22, 2023
- Employees · 17 to 18Mar 8, 2022 to Mar 22, 2023
- Discretionary RAUM · $6.0B to $4.9BMar 8, 2022 to Mar 22, 2023
- Pooled vehicle RAUM · $6.0B to $4.9BMar 8, 2022 to Mar 22, 2023
- RAUM · $6.0B to $4.9BMar 8, 2022 to Mar 22, 2023
- Accounts · 10 to 11Feb 11, 2021 to Mar 8, 2022
- Advisory employees · 8 to 7Feb 11, 2021 to Mar 8, 2022
- Pooled vehicle clients · 10 to 11Feb 11, 2021 to Mar 8, 2022
- Financial planning clients · 1-10 to 11-25Feb 11, 2021 to Mar 8, 2022
- Private funds · 10 to 11Feb 11, 2021 to Mar 8, 2022
- Discretionary RAUM · $3.3B to $6.0BFeb 11, 2021 to Mar 8, 2022
- Pooled vehicle RAUM · $3.3B to $6.0BFeb 11, 2021 to Mar 8, 2022
- RAUM · $3.3B to $6.0BFeb 11, 2021 to Mar 8, 2022
- Advisory employees · 9 to 8Feb 28, 2020 to Feb 11, 2021
- Assets in custody · $2.9B to $3.3BFeb 28, 2020 to Feb 11, 2021
- Employees · 18 to 17Feb 28, 2020 to Feb 11, 2021
- Discretionary RAUM · $2.9B to $3.3BFeb 28, 2020 to Feb 11, 2021
- Pooled vehicle RAUM · $2.9B to $3.3BFeb 28, 2020 to Feb 11, 2021
- RAUM · $2.9B to $3.3BFeb 28, 2020 to Feb 11, 2021
Signals
4 dated events
- F••••• L•••• C••••••• L•• reported RAUM $8.1B, up 25% from $6.4B (2024-04-23 to 2025-05-01)May 1, 2025 · RAUM change · derived
- F••••• L•••• C••••••• L•• reported RAUM $6.4B, up 31% from $4.9B (2023-06-23 to 2024-03-15)Mar 15, 2024 · RAUM change · derived
- F••••• L•••• C••••••• L•• reported RAUM $6.0B, up 82% from $3.3B (2021-02-11 to 2022-03-08)Mar 8, 2022 · RAUM change · derived
- F••••• L•••• C••••••• L•• reported RAUM $2.9B, up 39% from $2.1B (2019-02-20 to 2020-02-28)Feb 28, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- F••••• L•••• C••••••• L•• · Independent Sponsorsshared crd · capital_provider
- F••••• L•••• C••••••• L•• · Private Equityshared crd · organization
- F••••• L•••• C••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- F•••••L••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 617-406-3124reportedpublic record, Form ADV, Mar 16, 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