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••••••••• A•••• M•••••••••

Former SEC-registered adviserWhite Plains, New YorkCRD 161662SEC 801-73597IAPD
Legal name F••••••••• A•••• M••••••••• L•
Latest filing Mar 29, 2018
First filing on the tape Feb 14, 2012 · 10 filings
RAUM
$551M
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
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$551M gross assets
History
10 filings and snapshots on the tape
RAUM$551M as of Mar 29, 2018
Apr 1, 2013$452M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Apr 1, 20130 then
Employees (5.A)8 as of Mar 29, 2018
Apr 1, 20139 then
Private funds1 as of Mar 29, 2018
Apr 1, 20132 then
RAUM -5.1% over the last fiscal year-12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2018; 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
$184MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-5.1%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
$551M, 3 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$551M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$551M for 3 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
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F••••••••• O••••••• M••••• F•••• L•••Hedge Fund$551M46Feb 14, 2012
      F••••••••• O•••••• F•••• L•••no longer reportedHedge Fund$464M59Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• F••••• A••••••• · Chief Financial Officer Of F••••••••• A•••• M••••••••• L•control
        since 01/2015 · owns less than 5%
      • B••••••••• B••••••• J••••• · Member Of F••••••••• A•••• M••••••••• G•• L••control
        since 03/2012 · owns 5% to 10%
      • C••••••• D••••• S•••••• · Limited Partner And Portfolio Manager Of F••••••••• A•••• M••••••••• L•control
        since 11/2011 · owns 25% to 50%
      • W•••••• S•• · Limited Partner And Portfolio Manager Of F••••••••• A•••• M••••••••• L•control
        since 11/2011 · owns 25% to 50%
      • C••••••• D••••• S•••••• · Managing Membercontrol
        since 07/2014 · owns 25% to 50% of F••••••••• A•••• M••••••••• G• I•• L••
      • W•••••• S•• · Managing Membercontrol
        since 07/2014 · owns 25% to 50% of F••••••••• A•••• M••••••••• G• I•• L••
      • C••••••• M••••••• D•••• · Trustee W•••• W•••• I••••••••• T••••
        since 08/2014 · owns 5% to 10%
      • C••••••• T••••• A•••• · Trustee W•••• W•••• I••••••••• T••••
        since 08/2014 · owns 5% to 10%
      Entity owners
      • F••••••••• A•••• M••••••••• G• I•• L•• · General Partner Of F••••••••• A•••• M••••••••• L•
        direct · owns less than 5%
      • W•••• W•••• I••••••••• T•••• · Limited Partner Of F••••••••• A•••• M••••••••• L•
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      • F••••••••• A•••• M••••••••• G•• L••
        investment adviserbankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 6 to 5
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 3.0
        Mar 31, 2017 to Mar 29, 2018
      • Assets in custody · $581M to $551M
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $581M to $551M
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 551496671.0
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · $581M to $551M
        Mar 31, 2017 to Mar 29, 2018
      • Assets in custody · $615M to $581M
        Mar 31, 2016 to Mar 31, 2017
      • Employees · 9 to 8
        Mar 31, 2016 to Mar 31, 2017
      • Discretionary RAUM · $615M to $581M
        Mar 31, 2016 to Mar 31, 2017
      • RAUM · $615M to $581M
        Mar 31, 2016 to Mar 31, 2017
      • Assets in custody · $823M to $615M
        Nov 17, 2015 to Mar 31, 2016
      • Discretionary RAUM · $823M to $615M
        Nov 17, 2015 to Mar 31, 2016
      • RAUM · $823M to $615M
        Nov 17, 2015 to Mar 31, 2016
      • Assets in custody · $898M to $823M
        Jul 31, 2014 to Mar 31, 2015
      • Legal name · F••••••••• A•••• M•••••••••, LLC to F••••••••• A•••• M••••••••• L•
        Jul 31, 2014 to Mar 31, 2015
      • Private funds · 2 to 1
        Jul 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $898M to $823M
        Jul 31, 2014 to Mar 31, 2015
      • RAUM · $898M to $823M
        Jul 31, 2014 to Mar 31, 2015
      • Succession · true to false
        Jul 31, 2014 to Mar 31, 2015
      • Organization form · Limited Liability Company to Limited Partnership
        Mar 31, 2014 to Jul 31, 2014
      • Succession · false to true
        Mar 31, 2014 to Jul 31, 2014
      • Assets in custody · $452M to $898M
        Apr 1, 2013 to Mar 31, 2014
      • Discretionary RAUM · $452M to $898M
        Apr 1, 2013 to Mar 31, 2014
      • RAUM · $452M to $898M
        Apr 1, 2013 to Mar 31, 2014
      • Advisory employees · unset to 6.0
        Jun 18, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        Jun 18, 2012 to Apr 1, 2013
      • Assets in custody · $168M to $452M
        Jun 18, 2012 to Apr 1, 2013
      • Employees · unset to 9.0
        Jun 18, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Jun 18, 2012 to Apr 1, 2013
      • Discretionary RAUM · $168M to $452M
        Jun 18, 2012 to Apr 1, 2013
      • RAUM · $168M to $452M
        Jun 18, 2012 to Apr 1, 2013
      • Accounts · unset to 3.0
        Feb 14, 2012 to Jun 18, 2012
      • Assets in custody · unset to 168058000.0
        Feb 14, 2012 to Jun 18, 2012
      • Custody of client assets · false to true
        Feb 14, 2012 to Jun 18, 2012
      • Financial planning clients · unset to 1-10
        Feb 14, 2012 to Jun 18, 2012
      • Discretionary RAUM · unset to 168058000.0
        Feb 14, 2012 to Jun 18, 2012
      • Non-discretionary RAUM · unset to 0.0
        Feb 14, 2012 to Jun 18, 2012
      • RAUM · unset to 168058000.0
        Feb 14, 2012 to Jun 18, 2012
      Signals
      1 dated events
      • F••••••••• A•••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Jul 31, 2014 · Succession (Item 4) · fact
      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