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•••• E••••• I••••••••• M••••••••• L•••
Latest filing Jul 3, 2013
First filing on the tape Feb 15, 2012 · 3 filings
RAUM
$445M
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
0
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$470M gross assets
History
3 filings and snapshots on the tape
RAUM$445M as of Jul 3, 2013
Feb 15, 2012$470M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 0
Private funds1 as of Jul 3, 2013
Feb 15, 20121 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 3, 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
- $445MderivedRAUM 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
- $245M, 1 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
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
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $245M for 1 clientsreported
- 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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••• M••••••• F•••• L••• | Private Equity Fund | $1.0B | 22 | Mar 27, 2014 |
| C•••• M••••••• F•••• L••• | Private Equity Fund | $181M | 22 | Mar 31, 2017 |
| P•••••••• • F•••• C•••• O••••••••• F•••• L••• | Private Equity Fund | $1.5M | 2 | Feb 15, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D•••• G•••• · Investment Committee Membercontrolsince 02/2011 · owns less than 5%
- F••• W•• · Investment Committee Membercontrolsince 02/2011 · owns less than 5%
- G••• G••••••••• · Investment Committee Membercontrolsince 02/2011 · owns less than 5%
- L••••• X••••• · Investment Committee Membercontrolsince 02/2011 · owns less than 5%
- Q••• X•••••• · Investment Committee Member And Chief Compliance Officercontrolsince 02/2011 · owns less than 5%
- W•••• Q••••• · Investment Committee Membercontrolsince 02/2011 · owns less than 5%
- W•• P••• · Investment Committee Membercontrolsince 02/2011 · owns less than 5%
- G••• G••••••••• · Shareholdercontrolsince 09/2004 · owns 50% to 75% of F•••• I••••••••• H••••••• L•••
Entity owners
- F•••• I••••••••• H••••••• L•••••• · Shareholderdirect · owns 75% or more
- F•••• H••••••• L•••••• · Shareholderindirect · owns 75% or more of F•••• I••••••••• L••••••
- F•••• I••••••••• H••••••• L••• · Shareholderindirect · owns 75% or more of F•••• H••••••• L••••••
- F•••• I••••••••• L•••••• · Shareholderindirect · owns 75% or more of F•••• I••••••••• H••••••• L••••••
Related persons
Schedule D 7.A
No related person reported.
Advisers that list F•••• E••••• I••••••••• M••••••••• L••• as a related person
- 170015 n
Offices
Schedule D 1.F, the 25 largest
- Hong Kong, China
- New York, NY
What changed
consecutive filings, newest first
- Advisory employees · unset to 0.0Feb 17, 2012 to Jul 3, 2013
- BD registered reps · unset to 0.0Feb 17, 2012 to Jul 3, 2013
- Assets in custody · $92.7M to $245MFeb 17, 2012 to Jul 3, 2013
- Employees · unset to 0.0Feb 17, 2012 to Jul 3, 2013
- State-registered IARs · unset to 0.0Feb 17, 2012 to Jul 3, 2013
- Discretionary RAUM · $470M to $445MFeb 17, 2012 to Jul 3, 2013
- RAUM · $470M to $445MFeb 17, 2012 to Jul 3, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- F•••• E••••• I••••••••• M••••••••• L••• · 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