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•••••••• A•••••• S••••• L••

Former SEC-registered adviserCRD 164738SEC 801-77538IAPD
Latest filing Mar 20, 2018
First filing on the tape Jan 2, 2013 · 11 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 20, 2018
Mar 31, 20144 then
Employees (5.A)2 as of Mar 20, 2018
Mar 31, 20144 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 3 to 2
Practice profile
derived from the filing of Mar 20, 2018; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
selection of other advisers, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B••••• J•••• J•••• · Managing Membercontrol
    since 06/2012 · owns 75% or more
  • A••••••••• J•••••• N••• · Chief Compliance Officer
    since 10/2012 · owns less than 5%
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
  • BD registered reps · 0 to 1
    Mar 29, 2017 to Mar 20, 2018
  • Employees · 7 to 2
    Mar 29, 2017 to Mar 20, 2018
  • State-registered IARs · 3 to 2
    Mar 29, 2017 to Mar 20, 2018
  • Other offices · unset to 0.0
    Mar 29, 2017 to Mar 20, 2018
  • Employees · 5 to 7
    Mar 28, 2016 to Mar 29, 2017
  • Advisory employees · 3 to 0
    Apr 27, 2015 to Mar 28, 2016
  • Advisory employees · 4 to 3
    Nov 5, 2014 to Mar 30, 2015
  • BD registered reps · 1 to 0
    Nov 5, 2014 to Mar 30, 2015
  • Employees · 4 to 5
    Nov 5, 2014 to Mar 30, 2015
  • HQ city · SAN MARTIN to unset
    Nov 5, 2014 to Mar 30, 2015
  • HQ state · CA to unset
    Nov 5, 2014 to Mar 30, 2015
  • State-registered IARs · 4 to 3
    Nov 5, 2014 to Mar 30, 2015
  • Advisory employees · 1 to 4
    Dec 4, 2013 to Mar 31, 2014
  • Advisory activities · 3 to 2
    Dec 4, 2013 to Mar 31, 2014
  • BD registered reps · 0 to 1
    Dec 4, 2013 to Mar 31, 2014
  • Employees · 1 to 4
    Dec 4, 2013 to Mar 31, 2014
  • State-registered IARs · 1 to 4
    Dec 4, 2013 to Mar 31, 2014
  • Business name · F•••••••• A••••••• S••••• L•• to F•••••••• A•••••• S••••• L••
    Jan 2, 2013 to Aug 28, 2013
Signals
1 dated events
  • F•••••••• A••••••• S••••• L•• filed its initial SEC registration (Form ADV)
    Jan 2, 2013 · 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.
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