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•••••••• L••

Former SEC-registered adviserSummit, New JerseyCRD 164878SEC 801-76969IAPD
Latest filing Mar 29, 2016
First filing on the tape Jul 24, 2012 · 9 filings
RAUM
$1.0B
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
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$1.0B as of Mar 29, 2016
Apr 30, 2013$13.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 29, 2016
Apr 30, 20131 then
Employees (5.A)9 as of Mar 29, 2016
Apr 30, 20134 then
Private funds: no history
RAUM n/a over the last fiscal year+323% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 29, 2016; every figure names its basis
RAUM per advisor
$341MderivedRAUM 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
$114MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••••• J•••• A••••••• · Cfocontrol
        since 03/2015 · owns less than 5%
      • K••••• B••••• · Presidentcontrol
        since 10/2015 · owns 10% to 25%
      • M••••••• S•••••• R•••• · Ceo, Cmocontrol
        since 07/2012 · owns 75% or more
      • W•••••••• D••••• H•••• · Cco, Coocontrol
        since 10/2014 · owns less than 5%
      Related persons
      Schedule D 7.A
      • S••••• M••••••• I••
        banky
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · unset to 9.0
        Apr 7, 2015 to Mar 29, 2016
      • Advisory employees · 3 to 4
        Apr 7, 2015 to Mar 29, 2016
      • Employees · 6 to 9
        Apr 7, 2015 to Mar 29, 2016
      • Discretionary RAUM · unset to 1024301286.0
        Apr 7, 2015 to Mar 29, 2016
      • Non-discretionary RAUM · unset to 0.0
        Apr 7, 2015 to Mar 29, 2016
      • RAUM · unset to 1024301286.0
        Apr 7, 2015 to Mar 29, 2016
      • Advisory employees · 1 to 3
        Apr 23, 2014 to Apr 7, 2015
      • BD registered reps · 1 to 5
        Apr 23, 2014 to Apr 7, 2015
      • Employees · 2 to 6
        Apr 23, 2014 to Apr 7, 2015
      • State-registered IARs · 1 to 3
        Apr 23, 2014 to Apr 7, 2015
      • Accounts · 3.0 to unset
        Jan 9, 2014 to Apr 23, 2014
      • Discretionary RAUM · 3357889.0 to unset
        Jan 9, 2014 to Apr 23, 2014
      • Non-discretionary RAUM · 0.0 to unset
        Jan 9, 2014 to Apr 23, 2014
      • RAUM · 3357889.0 to unset
        Jan 9, 2014 to Apr 23, 2014
      • Related adviser · true to false
        Jan 9, 2014 to Apr 23, 2014
      • Related broker-dealer · true to false
        Jan 9, 2014 to Apr 23, 2014
      • BD registered reps · 2 to 1
        Nov 27, 2013 to Jan 9, 2014
      • Employees · 4 to 2
        Nov 27, 2013 to Jan 9, 2014
      • Accounts · 8 to 3
        Apr 30, 2013 to Nov 27, 2013
      • Discretionary RAUM · $13.5M to $3.4M
        Apr 30, 2013 to Nov 27, 2013
      • RAUM · $13.5M to $3.4M
        Apr 30, 2013 to Nov 27, 2013
      • Accounts · 0 to 8
        Mar 11, 2013 to Apr 30, 2013
      • Employees · 5 to 4
        Mar 11, 2013 to Apr 30, 2013
      • Discretionary RAUM · $0 to $13.5M
        Mar 11, 2013 to Apr 30, 2013
      • RAUM · $0 to $13.5M
        Mar 11, 2013 to Apr 30, 2013
      • Related bank · false to true
        Mar 11, 2013 to Apr 30, 2013
      • HQ city · NEW YORK to SUMMIT
        Dec 5, 2012 to Mar 11, 2013
      • HQ state · NY to NJ
        Dec 5, 2012 to Mar 11, 2013
      • Advisory employees · unset to 1.0
        Jul 24, 2012 to Dec 5, 2012
      • BD registered reps · unset to 2.0
        Jul 24, 2012 to Dec 5, 2012
      • Employees · unset to 5.0
        Jul 24, 2012 to Dec 5, 2012
      • State-registered IARs · unset to 1.0
        Jul 24, 2012 to Dec 5, 2012
      Signals
      1 dated events
      • F••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Jul 24, 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.
      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