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•• P•••••••• L••
Legal name F••••• A• C••••••••
Latest filing Nov 12, 2014
First filing on the tape Apr 30, 2012 · 14 filings
RAUM
$1.0M
reported, Item 5.F
Discretionary
50%
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
5
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$3.8B gross assets
History
14 filings and snapshots on the tape
RAUM$1.0M as of Nov 12, 2014
Apr 30, 2012$7.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3): 5
Employees (5.A): 5
Private funds1 as of Nov 12, 2014
Apr 30, 20121 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Nov 12, 2014; every figure names its basis
- RAUM per advisor
- $200,000derivedRAUM 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
- $200,000derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 50%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 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, hourly, fixed fees, subscription, performance-based, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Custody
- $1.0M, 5 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- the adviser acts as qualified custodian (9.D.1)
- a related person acts as qualified custodian (9.D.2)
- controlled by a public reporting company (10.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
- 5reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.0M for 5 clientsreported
- Compensation
- % of AUM, fixed, hourly, performance, commissionsreported
- 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••• S•••• | Real Estate Fund | $3.8B | 0 | Apr 30, 2012 |
| F•• P•••••••• L•• | Real Estate Fund | $3.8B | 0 | Oct 20, 2014 |
Owners and control persons
Schedule A and B, latest filing
- C••••••••• F•••••• A• · Chief Compliance Officercontrolsince 05/2011 · owns 75% or more
- C••••••••• F•••••• A• · Econtrolsince 11/2010 · owns 75% or more of E
Entity owners
- F•• P•••••••• L•• · Eindirect · owns 75% or more of 1329 Needham Avenue · public reporting company
Related persons
Schedule D 7.A
- F••••• A• C••••••••broker-dealerinvestment advisercustodiany
Offices
Schedule D 1.F, the 25 largest
- ,
What changed
consecutive filings, newest first
- Advisory activities · 10 to 11Nov 5, 2014 to Nov 12, 2014
- Assets in custody · $3.8B to $1.0MNov 5, 2014 to Nov 12, 2014
- Legal name · F•• P•••••••• L•• to F••••• A• C••••••••Nov 5, 2014 to Nov 12, 2014
- Discretionary RAUM · $1.9M to $500,000Nov 5, 2014 to Nov 12, 2014
- Non-discretionary RAUM · $1.9M to $500,000Nov 5, 2014 to Nov 12, 2014
- RAUM · $3.8M to $1.0MNov 5, 2014 to Nov 12, 2014
- Accounts · 3 to 5Oct 20, 2014 to Nov 5, 2014
- Advisory employees · 1 to 5Oct 20, 2014 to Nov 5, 2014
- Advisory activities · 7 to 10Oct 20, 2014 to Nov 5, 2014
- BD registered reps · 1 to 5Oct 20, 2014 to Nov 5, 2014
- Assets in custody · unset to 3844000000.0Oct 20, 2014 to Nov 5, 2014
- Custody of client assets · false to trueOct 20, 2014 to Nov 5, 2014
- Employees · 1 to 5Oct 20, 2014 to Nov 5, 2014
- Insurance-licensed employees · 1 to 5Oct 20, 2014 to Nov 5, 2014
- State-registered IARs · 1 to 5Oct 20, 2014 to Nov 5, 2014
- Private funds · 2 to 1Oct 20, 2014 to Nov 5, 2014
- Discretionary RAUM · $7.5B to $1.9MOct 20, 2014 to Nov 5, 2014
- Non-discretionary RAUM · $0 to $1.9MOct 20, 2014 to Nov 5, 2014
- RAUM · $7.5B to $3.8MOct 20, 2014 to Nov 5, 2014
- Related bank · true to falseOct 20, 2014 to Nov 5, 2014
- Related insurance company · true to falseOct 20, 2014 to Nov 5, 2014
- Succession · false to trueFeb 12, 2013 to Oct 20, 2014
- Advisory activities · 11 to 7Oct 20, 2014 to Oct 20, 2014
- Private funds · 1 to 2Oct 20, 2014 to Oct 20, 2014
- Succession · true to falseJan 17, 2013 to Feb 5, 2013
- Advisory employees · unset to 1.0May 31, 2012 to Jan 17, 2013
- BD registered reps · unset to 1.0May 31, 2012 to Jan 17, 2013
- Employees · unset to 1.0May 31, 2012 to Jan 17, 2013
- State-registered IARs · unset to 1.0May 31, 2012 to Jan 17, 2013
- Succession · false to trueMay 31, 2012 to Jan 17, 2013
- Succession · true to falseMay 11, 2012 to May 31, 2012
- Succession · false to trueMay 1, 2012 to May 11, 2012
- Succession · true to falseApr 30, 2012 to May 1, 2012
Signals
1 dated events
- F•• P•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Apr 30, 2012 · 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
Across the graphs
F•• P•••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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