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•••••• C•••••• P••••••• L••
Latest filing Jul 18, 2022
First filing on the tape May 1, 2012 · 24 filings
RAUM
$119M
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
9
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
20
$119M gross assets
History
24 filings and snapshots on the tape
RAUM$119M as of Mar 29, 2022
Mar 28, 2013$93.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2022
Mar 28, 20130 then
Employees (5.A)9 as of Mar 29, 2022
Mar 28, 201310 then
Private funds20 as of Mar 29, 2022
Mar 28, 20139 then
RAUM -50% over the last fiscal year-26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 18, 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
- $6.0MderivedRAUM 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
- -50%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
- 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)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$119M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 20reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
25 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F•••••• C•••••• P••••••• I•• L• | Private Equity Fund | $17.0M | 2 | Aug 8, 2017 |
| F•••••• C•••••• A• L• | Private Equity Fund | $16.9M | 17 | Mar 29, 2019 |
| F•••••• C•••••• G•• C•••••••• L• | Private Equity Fund | $10.5M | 1 | Mar 29, 2020 |
| F•••••• C•••••• P••••••• E••••••• C••••••••• L• | Private Equity Fund | $7.1M | 10 | Mar 30, 2015 |
| F• H••••• L•no longer reported | Private Equity Fund | $4.1M | 4 | May 1, 2012 |
| F•••••• C•••••• P••••••• I•• L• | Private Equity Fund | $3.3M | 77 | Mar 28, 2013 |
| B••••••• C••••• C•••••••• L• | Private Equity Fund | $829,445 | 46 | Mar 28, 2014 |
| C••••• C•••••••• L• | Private Equity Fund | $449,508 | 40 | Jun 25, 2014 |
| F•••••• C•••••• P••••••• I•• C•••••••• L• | Private Equity Fund | $170,000 | 0 | Mar 29, 2018 |
| F•••••• C•••••• C•• H••••• C•••••••• L• | Private Equity Fund | $111,867 | 29 | May 1, 2012 |
| F•••••• C•••••• P••••••• I• Q•• L• | Private Equity Fund | $16,310 | 11 | Mar 28, 2013 |
| F•••••• C•••••• I• S• L• | Private Equity Fund | $0 | 14 | Mar 28, 2014 |
| S••• C•••••••• L••• | Private Equity Fund | $0 | 22 | Mar 28, 2014 |
| F•••••• B•••••• H••••••• L• | Private Equity Fund | $0 | 92 | Jul 27, 2015 |
| F•••••• C•••••• S• L• | Private Equity Fund | $0 | 18 | Mar 28, 2014 |
| F•••••• B•••••• H••••••• I•• L• | Private Equity Fund | $0 | 33 | Mar 29, 2020 |
| I•••••••• V••••••• I• L• | Private Equity Fund | $0 | 37 | May 1, 2012 |
| I•••••••• V••••••• L• | Private Equity Fund | $0 | 46 | Mar 28, 2013 |
| F•••••• C•••••• S• C•••••••• L• | Private Equity Fund | $0 | 6 | Mar 28, 2014 |
| F•••••• C•••••• D•• L• | Private Equity Fund | $0 | 3 | Mar 29, 2019 |
| F•••••• B•••••• H••••••• I••• L• | Private Equity Fund | $0 | 27 | Mar 29, 2019 |
| F•••••• C•••••• P••••••• C•••••••• S•••••••• L• | Private Equity Fund | $0 | 11 | Mar 28, 2013 |
| I•••••••• V••••••• I•• L• | Private Equity Fund | $0 | 71 | May 1, 2012 |
| F•••••• B•••••• H••••••• I•• L• | Private Equity Fund | $0 | 62 | Aug 5, 2016 |
| F•••••• C•••••• C•• N• L•no longer reported | Private Equity Fund | $0 | 81 | May 1, 2012 |
Owners and control persons
Schedule A and B, latest filing
- F••••••• D•••••• M•• · Chief Executive Officercontrolsince 11/2008 · owns less than 5%
- K••••••• R••••••• E••••• · Vice President, Controller And Chief Compliance Officercontrolsince 08/2015 · owns less than 5%
- F••••••• D•••••• M•• · Ownercontrolsince 01/2008 · owns 75% or more of D• C•••••• L••
Entity owners
- D• C•••••• L•• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- D••• C••••••• G••••• L••investment advisery
- F•• I• C•••••••• G• L••pooled vehicle sponsory
- F•••••• C•••••• C•• G• I• L••pooled vehicle sponsory
- F•••••• C•••••• P••••••• C• L••pooled vehicle sponsory
- F•••••• C•••••• P••••••• G• I• L••pooled vehicle sponsory
- F•••••• C•••••• P••••••• G• I•• L••pooled vehicle sponsory
- W••••••• A••••••• L••investment adviseryRAUM $2.7B
Advisers that list F•••••• C•••••• P••••••• L•• as a related person
- 152145 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 23 to 20Jun 15, 2021 to Mar 29, 2022
- Pooled vehicle clients · 23 to 20Jun 15, 2021 to Mar 29, 2022
- Employees · 8 to 9Jun 15, 2021 to Mar 29, 2022
- Private funds · 23 to 20Jun 15, 2021 to Mar 29, 2022
- Discretionary RAUM · $241M to $119MJun 15, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $241M to $119MJun 15, 2021 to Mar 29, 2022
- RAUM · $241M to $119MJun 15, 2021 to Mar 29, 2022
- Employees · 9 to 8Mar 29, 2020 to Mar 31, 2021
- Discretionary RAUM · $254M to $241MMar 29, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $254M to $241MMar 29, 2020 to Mar 31, 2021
- RAUM · $254M to $241MMar 29, 2020 to Mar 31, 2021
- Accounts · 21 to 23Sep 16, 2019 to Mar 29, 2020
- Advisory employees · 6 to 4Sep 16, 2019 to Mar 29, 2020
- Pooled vehicle clients · 21 to 23Sep 16, 2019 to Mar 29, 2020
- Employees · 12 to 9Sep 16, 2019 to Mar 29, 2020
- Private funds · 21 to 23Sep 16, 2019 to Mar 29, 2020
- Discretionary RAUM · $234M to $254MSep 16, 2019 to Mar 29, 2020
- Pooled vehicle RAUM · $234M to $254MSep 16, 2019 to Mar 29, 2020
- RAUM · $234M to $254MSep 16, 2019 to Mar 29, 2020
- Discretionary RAUM · $299M to $234MMar 29, 2019 to May 14, 2019
- Pooled vehicle RAUM · $299M to $234MMar 29, 2019 to May 14, 2019
- RAUM · $299M to $234MMar 29, 2019 to May 14, 2019
- Accounts · 18 to 21Mar 29, 2018 to Mar 29, 2019
- Pooled vehicle clients · 18 to 21Mar 29, 2018 to Mar 29, 2019
- Employees · 10 to 12Mar 29, 2018 to Mar 29, 2019
- Private funds · 18 to 21Mar 29, 2018 to Mar 29, 2019
- Discretionary RAUM · $285M to $299MMar 29, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $285M to $299MMar 29, 2018 to Mar 29, 2019
- RAUM · $285M to $299MMar 29, 2018 to Mar 29, 2019
- Pooled vehicle clients · unset to 18.0Aug 8, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Aug 8, 2017 to Mar 29, 2018
- Discretionary RAUM · $351M to $285MAug 8, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 284948056.0Aug 8, 2017 to Mar 29, 2018
- RAUM · $351M to $285MAug 8, 2017 to Mar 29, 2018
- Accounts · 17 to 18Mar 30, 2017 to Aug 8, 2017
- Private funds · 17 to 18Mar 30, 2017 to Aug 8, 2017
- Discretionary RAUM · $257M to $351MMar 30, 2017 to Aug 8, 2017
- RAUM · $257M to $351MMar 30, 2017 to Aug 8, 2017
- Employees · 11 to 10Aug 5, 2016 to Mar 30, 2017
- Discretionary RAUM · $276M to $257MAug 5, 2016 to Mar 30, 2017
Signals
1 dated events
- F•••••• C•••••• P••••••• L•• reported RAUM $119.4M, down 50% from $240.8M (2021-06-15 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- F•••••• C•••••• P••••••• L•• · Private Equityshared crd · organization
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