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••••• I••••••••• A•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Feb 14, 2012 · 23 filings
SEC status approved since Mar 30, 2012
RAUM
$3.3B
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
33
21 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
8
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$3.3B as of Mar 30, 2026
Mar 22, 2013$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 22, 20130 then
Employees (5.A)33 as of Mar 30, 2026
Mar 22, 201326 then
Private funds8 as of Mar 30, 2026
Mar 22, 20134 then
RAUM -5.9% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $234MderivedRAUM 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
- -5.9%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 pooled vehiclesreportedItem 5.G
- Custody
- $2.3B, 14 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$3.3B100%
- 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
- $2.3B for 14 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
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F••••• P•••••• C••••• O••••••••• V•• L• | Private Equity Fund | $1.8B | 60 | Mar 24, 2020 |
| F••••• S•••••••• P••••••• V• L• | Private Equity Fund | $973M | 68 | Mar 28, 2016 |
| F••••• S•••••••• P••••••• I•• L• | Private Equity Fund | $668M | 65 | Mar 22, 2013 |
| F••••• S••••••••• E••••• P•••••••• L• | Private Equity Fund | $315M | 35 | Mar 20, 2019 |
| O••• F••••• P•••••• C••••• O••••••••• V•• ••••••••• S••• | Private Equity Fund | $294M | 7 | Mar 31, 2023 |
| O••• D••••• L•••••• C••••• F•••• L•• | Private Equity Fund | $225M | 512 | Mar 31, 2022 |
| O••• F••••• P•••••• C••••• O••••••••• V••• L• | Private Equity Fund | $164M | 5 | Mar 31, 2023 |
| F••••• S•••••••• P••••••• I••• L• | Private Equity Fund | $143M | 30 | Feb 14, 2012 |
| F••••• M•••••••• P•••••••• L•no longer reported | Private Equity Fund | $23.8M | 22 | Feb 14, 2012 |
| F••••• M•••••••• P••••••• I•• L•no longer reported | Private Equity Fund | $6.6M | 26 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A•••• S••••••• D••••• · Business Headcontrolsince 06/2024 · owns less than 5%
- A••• J••••• D••••• · Chief Financial Officer And Chief Compliance Officercontrolsince 06/2024 · owns less than 5%
- G••••••••• S••••••••• K••• · Vice Presidentcontrolsince 06/2024 · owns less than 5%
- P••••• M••••••• E• · Vice Presidentcontrolsince 06/2024 · owns less than 5%
- A•••• S••••••• D••••• · Membercontrolsince 06/2024 · owns 25% to 50% of F••••• C•••••• A•••••••• L••
- G••••••••• S••••••••• K••• · Membercontrolsince 06/2024 · owns 25% to 50% of F••••• C•••••• A•••••••• L••
- P••••• M••••••• E• · Membercontrolsince 06/2024 · owns 25% to 50% of F••••• C•••••• A•••••••• L••
Entity owners
- F•••••••• M••••••••• L• · Sole Memberdirect · owns 75% or more
- F••••• C•••••• A•••••••• L•• · Limited Partnerindirect · owns 75% or more of F•••••••• M••••••••• L•
Related persons
Schedule D 7.A
- F••••• P•••••• C••••• I••••••••• G• V• ••••••••• S•••pooled vehicle sponsorn
- F••••• P•••••• C••••• I••••••••• V•• L•pooled vehicle sponsorn
- F••••• S•••••••• I••••••••• G• I•• L••pooled vehicle sponsorn
- F••••• S•••••••• I••••••••• G• V• L••pooled vehicle sponsorn
- F••••• S•••••••• I••••••••• I••• L•pooled vehicle sponsorn
- F••••• S•••••••• I••••••••• I•• L•pooled vehicle sponsorn
- F••••• S•••••••• I••••••••• V• L•pooled vehicle sponsorn
- F••••• S••••••••• E••••• I••••••••• G•• L••pooled vehicle sponsorn
- F••••• S••••••••• E••••• I••••••••• L•pooled vehicle sponsorn
- O•••• M••••••••• P••••••• L•••investment advisernRAUM $3.7B
- O••• C••••• A•••• M••••••••• I•••investment adviserbankpooled vehicle sponsornRAUM $2.2B
- O••• C••••• A••••••• L••investment advisernRAUM $418M
- O••• C••••• P•••••••• L••investment adviserbanknRAUM $30B
- O••• F••••• P•••••• C••••• O••••••••• V•• G•• L•pooled vehicle sponsorn
- O••• F••••• P•••••• C••••• O••••••••• V•• L••••••••• G•pooled vehicle sponsorn
- O••• P••••••• M•••••• L•investment adviserbanknRAUM $22B
Advisers that list F••••• I••••••••• A•••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 13 to 14Mar 31, 2025 to Mar 30, 2026
- Advisory employees · 18 to 21Mar 31, 2025 to Mar 30, 2026
- Pooled vehicle clients · 13 to 14Mar 31, 2025 to Mar 30, 2026
- Assets in custody · $2.5B to $2.3BMar 31, 2025 to Mar 30, 2026
- Employees · 30 to 33Mar 31, 2025 to Mar 30, 2026
- Private funds · 7 to 8Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $3.5B to $3.3BMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $3.5B to $3.3BMar 31, 2025 to Mar 30, 2026
- RAUM · $3.5B to $3.3BMar 31, 2025 to Mar 30, 2026
- Accounts · 14 to 13Jul 12, 2024 to Mar 31, 2025
- Advisory employees · 20 to 18Jul 12, 2024 to Mar 31, 2025
- Business name · O••• F••••• I••••••••• A•••••••• L•• to F••••• I••••••••• A•••••••• L••Jul 12, 2024 to Mar 31, 2025
- Pooled vehicle clients · 14 to 13Jul 12, 2024 to Mar 31, 2025
- Assets in custody · $4.6B to $2.5BJul 12, 2024 to Mar 31, 2025
- Financial planning clients · unset to Jul 12, 2024 to Mar 31, 2025
- Other offices · 0 to 1Jul 12, 2024 to Mar 31, 2025
- Private funds · 8 to 7Jul 12, 2024 to Mar 31, 2025
- Discretionary RAUM · $4.6B to $3.5BJul 12, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $4.6B to $3.5BJul 12, 2024 to Mar 31, 2025
- RAUM · $4.6B to $3.5BJul 12, 2024 to Mar 31, 2025
- Related adviser · true to falseJul 12, 2024 to Mar 31, 2025
- Related bank · true to falseJul 12, 2024 to Mar 31, 2025
- Advisory employees · 24 to 20Jun 12, 2024 to Jul 12, 2024
- Employees · 36 to 30Jun 12, 2024 to Jul 12, 2024
- Other offices · 1 to 0Jun 12, 2024 to Jul 12, 2024
- Legal name · O••• F••••• I••••••••• A•••••••• L•• to F••••• I••••••••• A•••••••• L••Jul 12, 2024 to Jul 12, 2024
- Accounts · 16 to 14Mar 31, 2023 to Mar 28, 2024
- Advisory employees · 32 to 24Mar 31, 2023 to Mar 28, 2024
- Advisory activities · 2 to 1Mar 31, 2023 to Mar 28, 2024
- Pooled vehicle clients · 15 to 14Mar 31, 2023 to Mar 28, 2024
- Assets in custody · $4.6B to $4.6BMar 31, 2023 to Mar 28, 2024
- Employees · 51 to 36Mar 31, 2023 to Mar 28, 2024
- Financial planning clients · 0 to unsetMar 31, 2023 to Mar 28, 2024
- Private funds · 9 to 8Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $4.6B to $4.6BMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $4.1B to $4.6BMar 31, 2023 to Mar 28, 2024
- RAUM · $4.6B to $4.6BMar 31, 2023 to Mar 28, 2024
- Accounts · 13 to 16Jun 8, 2022 to Mar 31, 2023
- Advisory employees · 31 to 32Jun 8, 2022 to Mar 31, 2023
- Pooled vehicle clients · 12 to 15Jun 8, 2022 to Mar 31, 2023
Signals
29 dated events
- Kurt Sven-Ulrich Grasshoff (Vice President) appeared on Schedule A of F••••• I••••••••• A•••••••• L••Jul 12, 2024 · Control person joined · fact
- E Matthew Prout (Vice President) appeared on Schedule A of F••••• I••••••••• A•••••••• L••Jul 12, 2024 · Control person joined · fact
- Daniel Jason Ash (Chief Financial Officer And Chief Compliance Officer) appeared on Schedule A of F••••• I••••••••• A•••••••• L••Jul 12, 2024 · Control person joined · fact
- Stephen Zachary Drozd (Director, Cco And Deputy General Counsel) no longer on Schedule A of F••••• I••••••••• A•••••••• L•• (listed 2024-06-12, absent 2024-07-12)Jul 12, 2024 · Control person left · inference
- Gerald Wilfred Schwartz (Shareholder) no longer on Schedule A of F••••• I••••••••• A•••••••• L•• (listed 2024-06-12, absent 2024-07-12)Jul 12, 2024 · Control person left · inference
- Karl John Mack (Director) no longer on Schedule A of F••••• I••••••••• A•••••••• L•• (listed 2024-06-12, absent 2024-07-12)Jul 12, 2024 · Control person left · inference
- Floyd Steven Gutman (Director) no longer on Schedule A of F••••• I••••••••• A•••••••• L•• (listed 2024-03-28, absent 2024-06-12)Jun 12, 2024 · Control person left · inference
- Karl John Mack (Director) appeared on Schedule A of F••••• I••••••••• A•••••••• L••Mar 28, 2024 · Control person joined · fact
- Hasan Ronnie Jaber (Co-Head) no longer on Schedule A of F••••• I••••••••• A•••••••• L•• (listed 2023-03-31, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Joseph William Kennedy (Chief Operations Officer) no longer on Schedule A of F••••• I••••••••• A•••••••• L•• (listed 2023-03-31, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Tara Amy Dempsey (Chief Compliance Officer) no longer on Schedule A of F••••• I••••••••• A•••••••• L•• (listed 2022-06-08, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Joseph Matthew Hurley (Managing Director And Chief Financial Officer) no longer on Schedule A of F••••• I••••••••• A•••••••• L•• (listed 2022-06-08, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Hasan Ronnie Jaber (Co-Head) appeared on Schedule A of F••••• I••••••••• A•••••••• L••Mar 31, 2023 · Control person joined · fact
- Stephen Zachary Drozd (Chief Compliance Officer And Deputy General Counsel) appeared on Schedule A of F••••• I••••••••• A•••••••• L••Mar 31, 2023 · Control person joined · fact
- Joseph William Kennedy (Chief Operations Officer) appeared on Schedule A of F••••• I••••••••• A•••••••• L••Mar 31, 2023 · Control person joined · fact
- Tara Amy Dempsey (Chief Compliance Officer) appeared on Schedule A of F••••• I••••••••• A•••••••• L••Mar 31, 2022 · Control person joined · fact
- Joseph William Kennedy (Managing Director And Chief Compliance Officer) no longer on Schedule A of F••••• I••••••••• A•••••••• L•• (listed 2021-03-30, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Griffen Jason New (Director) no longer on Schedule A of F••••• I••••••••• A•••••••• L•• (listed 2021-03-30, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Blair Fleming (Managing Director And Co-Business Head) no longer on Schedule A of F••••• I••••••••• A•••••••• L•• (listed 2021-03-30, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Yale Eric Rogoff (Partner) no longer on Schedule A of F••••• I••••••••• A•••••••• L•• (listed 2020-03-24, absent 2021-01-28)Jan 28, 2021 · Control person left · inference
- Stephan John Schnabel (Managing Partner) no longer on Schedule A of F••••• I••••••••• A•••••••• L•• (listed 2020-03-24, absent 2021-01-28)Jan 28, 2021 · Control person left · inference
- Kurt Svewvirich Grasshoff (Partner) no longer on Schedule A of F••••• I••••••••• A•••••••• L•• (listed 2020-03-24, absent 2021-01-28)Jan 28, 2021 · Control person left · inference
- E Matthew Prout (Partner) no longer on Schedule A of F••••• I••••••••• A•••••••• L•• (listed 2020-03-24, absent 2021-01-28)Jan 28, 2021 · Control person left · inference
- Griffen Jason New (Director) appeared on Schedule A of F••••• I••••••••• A•••••••• L••Jan 28, 2021 · Control person joined · fact
- Steven Gutman (Director) appeared on Schedule A of F••••• I••••••••• A•••••••• L••Jan 28, 2021 · Control person joined · fact
- Gerald Wilfred Schwartz (Shareholder) appeared on Schedule A of F••••• I••••••••• A•••••••• L••Jan 28, 2021 · Control person joined · fact
- Blair Fleming (Managing Director And Co-Business Head) appeared on Schedule A of F••••• I••••••••• A•••••••• L••Jan 28, 2021 · Control person joined · fact
- F••••• I••••••••• A•••••••• L•• reported RAUM $4.5B, up 50% from $3.0B (2019-03-20 to 2020-03-24)Mar 24, 2020 · RAUM change · derived
- E Matthew Prout (Partner) appeared on Schedule A of F••••• I••••••••• A•••••••• L••Mar 24, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- F••••• I••••••••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- O••• F••••• I••••••••• A•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- falconinvestments.com/teamreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (617) 412-2700reportedpublic record, Form ADV, Mar 30, 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