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••••••••• I••••••••• M••••••• S••••
Latest filing Apr 1, 2024
First filing on the tape Jun 21, 2012 · 20 filings
SEC status approved since May 30, 2012
RAUM
$490M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
47%
$229M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$490M as of Apr 1, 2024
Mar 28, 2013$1.0B then
HNW client RAUM$116M as of Apr 1, 2024
Mar 29, 2019$34.4M then
State-registered IARs (5.B.3)0 as of Apr 1, 2024
Mar 28, 20130 then
Employees (5.A)12 as of Apr 1, 2024
Mar 28, 201320 then
Private funds: no history
RAUM +28% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 2024; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM 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
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.8%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, otherreportedItem 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
- 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)
- 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$261M53%
- High-net-worth individuals$116M24%
- Individuals$114M23%
- Charitable organizations$185,3080.0%
- Individual clients
- 408reported
- HNW clients
- 46reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 467reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.47 fund_share=0.53 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••••• P•••••• · Directorcontrolsince 09/2017 · owns less than 5%
- M••••• P•••••• N••••••• · Chief Executive Officercontrolsince 09/2017 · owns less than 5%
- P•••••••• F••••••• · President, Chief Compliance Officercontrolsince 09/2017 · owns less than 5%
- P••••••• M••••• · Directorcontrolsince 09/2017 · owns less than 5%
- G•••••••• P•••••• · Shareholdercontrolsince 07/2014 · owns 50% to 75% of V•••••••• F•••••• A•••• H•••• S••••••••
Entity owners
- V•••••••• F•••••• A•••• H•••• S•••••••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Advisers that list F••••••••• I••••••••• M••••••• S•••• as a related person
- 110150 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 443 to 467Mar 30, 2023 to Apr 1, 2024
- HNW clients · 48 to 46Mar 30, 2023 to Apr 1, 2024
- Individual clients · 385 to 408Mar 30, 2023 to Apr 1, 2024
- Pooled vehicle clients · 9 to 12Mar 30, 2023 to Apr 1, 2024
- Discretionary RAUM · $382M to $490MMar 30, 2023 to Apr 1, 2024
- HNW RAUM · $104M to $116MMar 30, 2023 to Apr 1, 2024
- Individual RAUM · $100M to $114MMar 30, 2023 to Apr 1, 2024
- Pooled vehicle RAUM · $177M to $261MMar 30, 2023 to Apr 1, 2024
- RAUM · $382M to $490MMar 30, 2023 to Apr 1, 2024
- Accounts · 336 to 443Mar 25, 2022 to Mar 30, 2023
- HNW clients · 47 to 48Mar 25, 2022 to Mar 30, 2023
- Individual clients · 281 to 385Mar 25, 2022 to Mar 30, 2023
- Pooled vehicle clients · 7 to 9Mar 25, 2022 to Mar 30, 2023
- Discretionary RAUM · $391M to $382MMar 25, 2022 to Mar 30, 2023
- HNW RAUM · $111M to $104MMar 25, 2022 to Mar 30, 2023
- Individual RAUM · $81.7M to $100MMar 25, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $198M to $177MMar 25, 2022 to Mar 30, 2023
- RAUM · $391M to $382MMar 25, 2022 to Mar 30, 2023
- Accounts · 256 to 336Mar 31, 2021 to Mar 25, 2022
- HNW clients · 35 to 47Mar 31, 2021 to Mar 25, 2022
- Individual clients · 214 to 281Mar 31, 2021 to Mar 25, 2022
- Pooled vehicle clients · 6 to 7Mar 31, 2021 to Mar 25, 2022
- Discretionary RAUM · $332M to $391MMar 31, 2021 to Mar 25, 2022
- HNW RAUM · $89.4M to $111MMar 31, 2021 to Mar 25, 2022
- Individual RAUM · $60.7M to $81.7MMar 31, 2021 to Mar 25, 2022
- Pooled vehicle RAUM · $182M to $198MMar 31, 2021 to Mar 25, 2022
- RAUM · $332M to $391MMar 31, 2021 to Mar 25, 2022
- Accounts · 170 to 256Mar 31, 2020 to Mar 31, 2021
- Advisory employees · 8 to 7Mar 31, 2020 to Mar 31, 2021
- Advisory activities · 2 to 3Mar 31, 2020 to Mar 31, 2021
- HNW clients · 27 to 35Mar 31, 2020 to Mar 31, 2021
- Individual clients · 137 to 214Mar 31, 2020 to Mar 31, 2021
- Pooled vehicle clients · 5 to 6Mar 31, 2020 to Mar 31, 2021
- Employees · 11 to 12Mar 31, 2020 to Mar 31, 2021
- Discretionary RAUM · $283M to $332MMar 31, 2020 to Mar 31, 2021
- HNW RAUM · $66.0M to $89.4MMar 31, 2020 to Mar 31, 2021
- Individual RAUM · $33.4M to $60.7MMar 31, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $184M to $182MMar 31, 2020 to Mar 31, 2021
- RAUM · $283M to $332MMar 31, 2020 to Mar 31, 2021
- Related adviser · true to falseMar 31, 2020 to Mar 31, 2021
Signals
4 dated events
- F••••••••• I••••••••• M••••••• S•••• reported RAUM $490.2M, up 28% from $381.7M (2023-03-30 to 2024-04-01)Apr 1, 2024 · RAUM change · derived
- F••••••••• I••••••••• M••••••• S•••• reported RAUM $219.7M, up 120% from $100.0M (2018-03-23 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- F••••••••• I••••••••• M••••••• S•••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jun 21, 2012 · Succession (Item 4) · fact
- F••••••••• I••••••••• M••••••• S•••• filed its initial SEC registration (Form ADV)Jun 21, 2012 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 656-226-0589reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 656-235-2379reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 656-238-0903reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/F•••••••••-INVESTMENT-MANAGreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 011.331.8669.6065reportedpublic record, Form ADV, Apr 1, 2024
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
- Wealth manager with institutional or fund businessderiveda 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