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•••• A••••••••• C•••••• B••• I•••
Latest filing Aug 30, 2022
First filing on the tape Feb 13, 2012 · 34 filings
RAUM
$3.1M
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
128
63 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
1
$2.9M gross assets
History
34 filings and snapshots on the tape
RAUM$3.1M as of Mar 30, 2022
Mar 28, 2013$116M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2022
Mar 28, 20130 then
Employees (5.A)128 as of Mar 30, 2022
Mar 28, 20130 then
Private funds1 as of Mar 30, 2022
Mar 28, 20132 then
RAUM -80% over the last fiscal year-63% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 30, 2022; 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
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- -80%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $3.1M, 2 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.9M94%
- Insurance companies$183,0805.9%
- 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
- $3.1M for 2 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• C••••• S•••• L•no longer reported | Other Private Fund | $20.0M | 1 | Feb 13, 2012 |
| F•••• E•••• G••••••• F••• L••no longer reported | Other Private Fund | $2.5M | 4 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- F••••• C••••••••• J••• · Chief Executive Officercontrolsince 07/2014 · owns less than 5%
- R••••••••• S•••••• · General Counsel & Interim Chief Compliance Officercontrolsince 02/2018 · owns less than 5%
- W•••••• J••••••• · Chief A••••••Ing Officersince 10/2020 · owns less than 5%
Related persons
Schedule D 7.A
- B••••••••• L••••• C••••• A••••••• I• L••investment adviserbanknRAUM $52B
- B••••••••• M••••••••• P••••••• L•••••investment adviserbankyRAUM $146B
- C•••••• A••••••• L••broker-dealern
- C•••••• I••••••••• L•••investment advisern
- C•••••• P••••••• M••••• M••••••••• L•••investment adviserpooled vehicle sponsorn
- F•• D••••••••• L••broker-dealern
- F•••• E•••• A••••••••• C•••••• L••investment adviserbankpooled vehicle sponsoryRAUM $13B
- F•••• E•••• D••••• L•••••• F••• I• G• L••pooled vehicle sponsorn
- F•••• E•••• F••• G•• L••investment adviserpooled vehicle sponsorn
- F•••• E•••• I••••••••• M••••••••• L••investment adviseryRAUM $136B
- F•••• E•••• L•••• J• L••pooled vehicle sponsory
- F•••• E•••• S••••••• A•••••• M••••••••• L••investment advisernRAUM $908M
Advisers that list F•••• E•••• A••••••••• C•••••• B••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL37 employees
- New York, NY5 employees
- Los Angeles, CA2 employees
- Dallas, TX1 employees
What changed
consecutive filings, newest first
- Advisory employees · 62 to 63Feb 11, 2022 to Mar 30, 2022
- BD registered reps · 5 to 6Feb 11, 2022 to Mar 30, 2022
- Assets in custody · $15.3M to $3.1MFeb 11, 2022 to Mar 30, 2022
- Employees · 114 to 128Feb 11, 2022 to Mar 30, 2022
- Discretionary RAUM · $15.3M to $3.1MFeb 11, 2022 to Mar 30, 2022
- Pooled vehicle RAUM · $14.9M to $2.9MFeb 11, 2022 to Mar 30, 2022
- RAUM · $15.3M to $3.1MFeb 11, 2022 to Mar 30, 2022
- Accounts · 3 to 2Oct 8, 2020 to Mar 31, 2021
- Advisory employees · 5 to 62Oct 8, 2020 to Mar 31, 2021
- BD registered reps · 0 to 5Oct 8, 2020 to Mar 31, 2021
- Business name · T•• C•••••• I••• to F•••• E•••• A••••••••• C•••••• B••• I•••Oct 8, 2020 to Mar 31, 2021
- Pooled vehicle clients · 2 to 1Oct 8, 2020 to Mar 31, 2021
- Assets in custody · $22.4M to $15.3MOct 8, 2020 to Mar 31, 2021
- Employees · 22 to 114Oct 8, 2020 to Mar 31, 2021
- Legal name · T•• C•••••• I••• to F•••• E•••• A••••••••• C•••••• B••• I•••Oct 8, 2020 to Mar 31, 2021
- Private funds · 2 to 1Oct 8, 2020 to Mar 31, 2021
- Discretionary RAUM · $22.4M to $15.3MOct 8, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $21.6M to $14.9MOct 8, 2020 to Mar 31, 2021
- RAUM · $22.4M to $15.3MOct 8, 2020 to Mar 31, 2021
- Assets in custody · $63.1M to $22.4MFeb 28, 2020 to Mar 30, 2020
- Discretionary RAUM · $63.1M to $22.4MFeb 28, 2020 to Mar 30, 2020
- Pooled vehicle RAUM · $60.9M to $21.6MFeb 28, 2020 to Mar 30, 2020
- RAUM · $63.1M to $22.4MFeb 28, 2020 to Mar 30, 2020
- Related broker-dealer · false to trueFeb 28, 2020 to Mar 30, 2020
- Assets in custody · $101M to $63.1MJan 22, 2019 to Mar 29, 2019
- Discretionary RAUM · $101M to $63.1MJan 22, 2019 to Mar 29, 2019
- Pooled vehicle RAUM · $94.8M to $60.9MJan 22, 2019 to Mar 29, 2019
- RAUM · $101M to $63.1MJan 22, 2019 to Mar 29, 2019
- Advisory employees · 0 to 5Feb 16, 2018 to Mar 28, 2018
- Assets in custody · $8.8M to $101MFeb 16, 2018 to Mar 28, 2018
- Employees · 0 to 22Feb 16, 2018 to Mar 28, 2018
- Discretionary RAUM · $126M to $101MFeb 16, 2018 to Mar 28, 2018
- Pooled vehicle RAUM · unset to 94833231.0Feb 16, 2018 to Mar 28, 2018
- RAUM · $126M to $101MFeb 16, 2018 to Mar 28, 2018
- Pooled vehicle clients · unset to 2.0Mar 31, 2017 to Dec 4, 2017
- Other offices · unset to 4.0Mar 31, 2017 to Dec 4, 2017
- Assets in custody · $13.6M to $8.8MMar 29, 2016 to Mar 31, 2017
- Discretionary RAUM · $173M to $126MMar 29, 2016 to Mar 31, 2017
- RAUM · $173M to $126MMar 29, 2016 to Mar 31, 2017
- Assets in custody · $19.7M to $13.6MJan 14, 2016 to Mar 29, 2016
Signals
1 dated events
- William Terrence Olson (Chief Financial Officer & Chief Operating Officer) no longer on Schedule A of F•••• E•••• A••••••••• C•••••• B••• I••• (listed 2021-03-31, absent 2021-07-26)Jul 26, 2021 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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