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•••••••• L••••• • C••

Former SEC-registered adviserNew York, New YorkCRD 162218SEC 801-77199IAPD
Latest filing Mar 18, 2015
First filing on the tape Sep 25, 2012 · 5 filings
RAUM
$41.0M
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$40.7M gross assets
History
5 filings and snapshots on the tape
RAUM$41.0M as of Mar 18, 2015
Mar 27, 2013$2.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 18, 2015
Mar 27, 20130 then
Employees (5.A)2 as of Mar 18, 2015
Mar 27, 20132 then
Private funds2 as of Mar 18, 2015
Mar 27, 20132 then
RAUM -98% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 2015; 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
$20.5MderivedRAUM 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
-98%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
$40.7M, 2 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 custody of client cash or bank accounts (9.A.1.a)
  • a related person has custody of client cash (9.B.1.a)
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$40.7M 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
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F•••••••• L••••• • C•• E••••• P••••••••• V••• L•••Private Equity Fund$25.5M50Sep 25, 2012
      F•••••••• L••••• • C•• S••••••••• D••• A•• E••••• M••••••••• B••••• P••••••••• • V•••• L•••Private Equity Fund$15.2M25Sep 25, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••••• W••••••• N•• · Partner And Ccocontrol
        since 01/1991 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $2.2B to $40.7M
        Apr 2, 2014 to Mar 18, 2015
      • Discretionary RAUM · $2.2B to $41.0M
        Apr 2, 2014 to Mar 18, 2015
      • RAUM · $2.2B to $41.0M
        Apr 2, 2014 to Mar 18, 2015
      • Assets in custody · $2.1B to $2.2B
        Mar 27, 2013 to Apr 2, 2014
      • Discretionary RAUM · $2.1B to $2.2B
        Mar 27, 2013 to Apr 2, 2014
      • RAUM · $2.1B to $2.2B
        Mar 27, 2013 to Apr 2, 2014
      • Assets in custody · $1.9B to $2.1B
        Oct 30, 2012 to Mar 27, 2013
      • Discretionary RAUM · $1.9B to $2.1B
        Oct 30, 2012 to Mar 27, 2013
      • RAUM · $1.9B to $2.1B
        Oct 30, 2012 to Mar 27, 2013
      • Advisory employees · unset to 2.0
        Sep 25, 2012 to Oct 30, 2012
      • BD registered reps · unset to 0.0
        Sep 25, 2012 to Oct 30, 2012
      • Business name · F•••••••• L••••• • C•••••• to F•••••••• L••••• • C••
        Sep 25, 2012 to Oct 30, 2012
      • Employees · unset to 2.0
        Sep 25, 2012 to Oct 30, 2012
      • State-registered IARs · unset to 0.0
        Sep 25, 2012 to Oct 30, 2012
      • Legal name · F•••••••• L••••• • C•••••• to F•••••••• L••••• • C••
        Sep 25, 2012 to Oct 30, 2012
      Signals
      1 dated events
      • F•••••••• L••••• • C•••••• filed its initial SEC registration (Form ADV)
        Sep 25, 2012 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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