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••••••• L•••••
Latest filing Mar 31, 2026
First filing on the tape Feb 13, 2012 · 22 filings
SEC status approved since Mar 13, 2012
RAUM
$1.1B
reported, Item 5.F
Discretionary
72%
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
8
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
12
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$1.1B as of Mar 31, 2026
Apr 1, 2013$3.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Apr 1, 20130 then
Employees (5.A)8 as of Mar 31, 2026
Apr 1, 201329 then
Private funds12 as of Mar 31, 2026
Apr 1, 201310 then
RAUM +4.2% over the last fiscal year-4.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $76.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 72%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.2%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
- 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
- Pooled investment vehicles$775M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 14reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.72 institutional_share=0.0 related_bd=false related_bank=true 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 |
|---|---|---|---|---|
| F••••••• D••••••••• L•••no longer reported | Hedge Fund | $707M | 93 | Mar 28, 2019 |
| F••••••• D••••••••• L••• | Hedge Fund | $345M | 55 | Feb 13, 2012 |
| F••••••• D••••••••• F•••• L••• | Hedge Fund | $287M | 102 | Feb 13, 2012 |
| F••••••• S•••••••• O••••••••• L••• | Hedge Fund | $239M | 127 | Mar 28, 2019 |
| F••••••• S•••••••• O••••••••• L••• | Hedge Fund | $175M | 35 | Mar 28, 2019 |
| F••••••• S•••••••• O••••••••• I•• L••• | Hedge Fund | $167M | 128 | Mar 31, 2022 |
| F••••••• P•••••••• L••• | Hedge Fund | $162M | 87 | Feb 13, 2012 |
| F••••••• O••••••••• L•••no longer reported | Hedge Fund | $152M | 24 | Apr 1, 2013 |
| F••••••• S•••••••• O••••••••• I•• L••• | Hedge Fund | $99.0M | 32 | Mar 31, 2022 |
| F• S•••••••• H•••••••• L••• | Hedge Fund | $95.1M | 1 | Mar 28, 2019 |
| F••••••• P•••••••• L•••no longer reported | Hedge Fund | $90.6M | 10 | Apr 1, 2013 |
| F••••••• O•••••••• L••• | Hedge Fund | $76.8M | 23 | Feb 13, 2012 |
| F••••••• H•••• S••••••• A••••••• L•••no longer reported | Hedge Fund | $39.7M | 7 | Feb 13, 2012 |
| A••••• S•••••••• P••••••••• L•••no longer reported | Hedge Fund | $30.6M | 3 | Mar 28, 2019 |
| F••••••• C••••••••• L••• | Hedge Fund | $9.7M | 23 | Mar 31, 2022 |
| F••••••• P••••••• I•• L••• | Hedge Fund | $6.0M | 0 | Feb 13, 2012 |
| R••••••• R•••• S•••••••• P••••••••• L•••no longer reported | Hedge Fund | $4.5M | 1 | Mar 28, 2019 |
| F••••••• H••••• L•••no longer reported | Hedge Fund | $0 | 0 | Feb 13, 2012 |
| F••••••• H••••• L•••no longer reported | Hedge Fund | $0 | 0 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••••••• T••••• A••••• · Managing Membercontrolsince 09/1999 · owns 75% or more
- D•••• M••••••• J• · Chief Financial Officer, Chief Compliance Officercontrolsince 03/2004 · owns less than 5%
Related persons
Schedule D 7.A
- F••••••• P••••••••• L•••••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 12 to 14Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 11 to 13Mar 31, 2025 to Mar 31, 2026
- Private funds · 10 to 12Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $765M to $775MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $263M to $296MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $765M to $775MMar 31, 2025 to Mar 31, 2026
- RAUM · $1.0B to $1.1BMar 31, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $875M to $765MMar 27, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $233M to $263MMar 27, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $875M to $765MMar 27, 2024 to Mar 31, 2025
- RAUM · $1.1B to $1.0BMar 27, 2024 to Mar 31, 2025
- Related adviser · false to trueMar 27, 2024 to Mar 31, 2025
- Accounts · 13 to 12Mar 30, 2023 to Mar 27, 2024
- Advisory employees · 3 to 2Mar 30, 2023 to Mar 27, 2024
- Pooled vehicle clients · 12 to 11Mar 30, 2023 to Mar 27, 2024
- Employees · 13 to 8Mar 30, 2023 to Mar 27, 2024
- Private funds · 11 to 10Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.0B to $875MMar 30, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $231M to $233MMar 30, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $1.0B to $875MMar 30, 2023 to Mar 27, 2024
- RAUM · $1.2B to $1.1BMar 30, 2023 to Mar 27, 2024
- Advisory employees · 5 to 3Jul 19, 2022 to Mar 30, 2023
- Employees · 19 to 13Jul 19, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.3B to $1.0BJul 19, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $295M to $231MJul 19, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $1.3B to $1.0BJul 19, 2022 to Mar 30, 2023
- RAUM · $1.6B to $1.2BJul 19, 2022 to Mar 30, 2023
- Accounts · 10 to 13Feb 22, 2022 to Mar 31, 2022
- Advisory employees · 2 to 5Feb 22, 2022 to Mar 31, 2022
- Pooled vehicle clients · 9 to 12Feb 22, 2022 to Mar 31, 2022
- Employees · 15 to 19Feb 22, 2022 to Mar 31, 2022
- Private funds · 8 to 11Feb 22, 2022 to Mar 31, 2022
- Discretionary RAUM · $1.5B to $1.3BFeb 22, 2022 to Mar 31, 2022
- Non-discretionary RAUM · $278M to $295MFeb 22, 2022 to Mar 31, 2022
- Pooled vehicle RAUM · $1.5B to $1.3BFeb 22, 2022 to Mar 31, 2022
- RAUM · $1.8B to $1.6BFeb 22, 2022 to Mar 31, 2022
- Accounts · 12 to 10Jul 2, 2020 to Mar 29, 2021
- Advisory employees · 4 to 2Jul 2, 2020 to Mar 29, 2021
- Pooled vehicle clients · 11 to 9Jul 2, 2020 to Mar 29, 2021
Signals
3 dated events
- P Daniel Ricciardi (Chief Compliance Officer) no longer on Schedule A of F••••••• C••••••• L••••• (listed 2022-03-31, absent 2022-05-09)May 9, 2022 · Control person left · inference
- P Daniel Ricciardi (Chief Compliance Officer) appeared on Schedule A of F••••••• C••••••• L•••••Feb 22, 2022 · Control person joined · fact
- David Matthew Saldarelli (Chief Compliance Officer, General Counsel) no longer on Schedule A of F••••••• C••••••• L••••• (listed 2021-03-29, absent 2022-02-22)Feb 22, 2022 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- F••••••• C••••••• L••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- F•••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-983-7380reportedpublic record, Form ADV, Mar 31, 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