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•••••••• C•••••• L••
Latest filing Mar 26, 2026
First filing on the tape May 28, 2014 · 8 filings
SEC status approved since Aug 1, 2025
RAUM
$257M
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
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$257M as of Mar 26, 2026
Mar 27, 2015$167M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 27, 20150 then
Employees (5.A)4 as of Mar 26, 2026
Mar 27, 20155 then
Private funds2 as of Mar 26, 2026
Mar 27, 20152 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 26, 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
- $128MderivedRAUM 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
- 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
- $257M, 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
- 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$257M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $257M for 2 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F•••••••• G••••• F••••••• F••• L•• | Hedge Fund | $139M | 86 | Mar 7, 2012 |
| F•••••••• G••••• F••••••• F••• O••••••• L•••••• | Hedge Fund | $19.7M | 16 | Mar 7, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M•••• S••••••• C•••••• P•••• · Member And Chief Compliance Officercontrolsince 07/2007 · owns 50% to 75%
- P••••••• L••••• N••••••• · Membercontrolsince 07/2007 · owns 50% to 75%
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 · $225M to $257MJun 30, 2025 to Mar 26, 2026
- Discretionary RAUM · $225M to $257MJun 30, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $225M to $257MJun 30, 2025 to Mar 26, 2026
- RAUM · $225M to $257MJun 30, 2025 to Mar 26, 2026
- Accounts · 22 to 2Feb 1, 2018 to Jun 30, 2025
- Advisory employees · 5 to 4Feb 1, 2018 to Jun 30, 2025
- Assets in custody · $137M to $225MFeb 1, 2018 to Jun 30, 2025
- Employees · 5 to 4Feb 1, 2018 to Jun 30, 2025
- Financial planning clients · unset to Feb 1, 2018 to Jun 30, 2025
- Discretionary RAUM · $137M to $225MFeb 1, 2018 to Jun 30, 2025
- Pooled vehicle RAUM · $137M to $225MFeb 1, 2018 to Jun 30, 2025
- RAUM · $137M to $225MFeb 1, 2018 to Jun 30, 2025
- Accounts · 23 to 22Feb 1, 2017 to Feb 1, 2018
- Advisory employees · 6 to 5Feb 1, 2017 to Feb 1, 2018
- Pooled vehicle clients · unset to 2.0Feb 1, 2017 to Feb 1, 2018
- Assets in custody · $123M to $137MFeb 1, 2017 to Feb 1, 2018
- Employees · 6 to 5Feb 1, 2017 to Feb 1, 2018
- Other offices · unset to 0.0Feb 1, 2017 to Feb 1, 2018
- Discretionary RAUM · $123M to $137MFeb 1, 2017 to Feb 1, 2018
- Pooled vehicle RAUM · unset to 136627419.0Feb 1, 2017 to Feb 1, 2018
- RAUM · $123M to $137MFeb 1, 2017 to Feb 1, 2018
- Accounts · 21 to 23Mar 3, 2016 to Feb 1, 2017
- Advisory employees · 5 to 6Mar 3, 2016 to Feb 1, 2017
- Assets in custody · $141M to $123MMar 3, 2016 to Feb 1, 2017
- Employees · 5 to 6Mar 3, 2016 to Feb 1, 2017
- Discretionary RAUM · $141M to $123MMar 3, 2016 to Feb 1, 2017
- RAUM · $141M to $123MMar 3, 2016 to Feb 1, 2017
- Accounts · 18 to 21Mar 27, 2015 to Mar 3, 2016
- Assets in custody · $167M to $141MMar 27, 2015 to Mar 3, 2016
- Discretionary RAUM · $167M to $141MMar 27, 2015 to Mar 3, 2016
- RAUM · $167M to $141MMar 27, 2015 to Mar 3, 2016
- Accounts · 2 to 18Jun 27, 2014 to Mar 27, 2015
- Assets in custody · $169M to $167MJun 27, 2014 to Mar 27, 2015
- Discretionary RAUM · $169M to $167MJun 27, 2014 to Mar 27, 2015
- RAUM · $169M to $167MJun 27, 2014 to Mar 27, 2015
- Private funds · 4 to 2May 28, 2014 to Jun 27, 2014
Signals
1 dated events
- F•••••••• C•••••• L•• filed its initial SEC registration (Form ADV)May 28, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- F•••••••• C•••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- F••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 312-777-1500reportedpublic record, Form ADV, Mar 26, 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