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••••••••• A••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Feb 8, 2013 · 29 filings
SEC status approved since Feb 27, 2013
RAUM
$544M
reported, Item 5.F
Discretionary
18%
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
0
beyond the principal office
Private funds
7
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$544M as of Mar 31, 2026
Mar 27, 2014$250M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 27, 20140 then
Employees (5.A)5 as of Mar 31, 2026
Mar 27, 20142 then
Private funds7 as of Mar 31, 2026
Mar 27, 20141 then
RAUM -8.2% over the last fiscal year+6.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- $77.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 18%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
- -8.2%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 vehicles, otherreportedItem 5.G
- Custody
- yesreportedItem 9.A
- 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$544M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N••••• P•••••• C••••••••• F•••• L••• • 2••• S••••• | Private Equity Fund | $192M | 2 | Mar 28, 2017 |
| N••••• P•••••• C••••••••• F••• I•• L••• • 2••• S••••• | Private Equity Fund | $128M | 2 | Mar 29, 2022 |
| F•••• F••• I•• L• | Private Equity Fund | $72.2M | 9 | Mar 28, 2017 |
| F•••• F••• I•• L• | Private Equity Fund | $24.3M | 7 | Mar 31, 2023 |
| N••••• P•••••• C••••••••• F•••• L••• • 2••• S••••• | Private Equity Fund | $5.5M | 2 | Dec 12, 2013 |
Owners and control persons
Schedule A and B, latest filing
- A••••• R•••••• S••••• · Managing Partner, Chief Compliance Officercontrolsince 02/2013 · owns less than 5%
- K••••• D••••••• A••••• · Partner (Officer)controlsince 09/2015 · owns less than 5%
- A••••• R•••••• S••••• · Managing Membercontrolsince 02/2012 · owns 75% or more of F•••• G• L••
Entity owners
- F•••• G• L•• · General Partner And Owner Of F•••• I••••••••• A••••••• L•direct · owns 75% or more
Related persons
Schedule D 7.A
- F•••• C•• C•••••••• G• L•pooled vehicle sponsorn
- F•••• C•• C•••••••• I• G• L•pooled vehicle sponsorn
- F•••• F••• G• I•• L••n
- F•••• F••• G• I•• L•pooled vehicle sponsorn
- F•••• F••• G• I•• L••n
- F•••• F••• G• I••• L•pooled vehicle sponsorn
- F•••• G• L••n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 6 to 7May 7, 2025 to Mar 31, 2026
- Pooled vehicle clients · 6 to 7May 7, 2025 to Mar 31, 2026
- Private funds · 6 to 7May 7, 2025 to Mar 31, 2026
- Discretionary RAUM · $101M to $96.2MMay 7, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $492M to $447MMay 7, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $592M to $544MMay 7, 2025 to Mar 31, 2026
- RAUM · $592M to $544MMay 7, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to May 7, 2025
- Accounts · 5 to 6May 13, 2024 to Mar 31, 2025
- Advisory employees · 3 to 5May 13, 2024 to Mar 31, 2025
- Pooled vehicle clients · 5 to 6May 13, 2024 to Mar 31, 2025
- Employees · 3 to 5May 13, 2024 to Mar 31, 2025
- Private funds · 5 to 6May 13, 2024 to Mar 31, 2025
- Discretionary RAUM · $96.6M to $101MMay 13, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $326M to $492MMay 13, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $423M to $592MMay 13, 2024 to Mar 31, 2025
- RAUM · $423M to $592MMay 13, 2024 to Mar 31, 2025
- Related adviser · false to trueMay 13, 2024 to Mar 31, 2025
- Discretionary RAUM · $108M to $96.6MJun 8, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $346M to $326MJun 8, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $455M to $423MJun 8, 2023 to Mar 29, 2024
- RAUM · $455M to $423MJun 8, 2023 to Mar 29, 2024
- Accounts · 4 to 5Jul 15, 2022 to Mar 31, 2023
- Pooled vehicle clients · 4 to 5Jul 15, 2022 to Mar 31, 2023
- Private funds · 4 to 5Jul 15, 2022 to Mar 31, 2023
- Discretionary RAUM · $69.2M to $108MJul 15, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $315M to $346MJul 15, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $384M to $455MJul 15, 2022 to Mar 31, 2023
- RAUM · $384M to $455MJul 15, 2022 to Mar 31, 2023
- Accounts · 3 to 4Mar 25, 2021 to Mar 29, 2022
- Pooled vehicle clients · 3 to 4Mar 25, 2021 to Mar 29, 2022
- Private funds · 3 to 4Mar 25, 2021 to Mar 29, 2022
- Discretionary RAUM · $46.0M to $69.2MMar 25, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $132M to $315MMar 25, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $178M to $384MMar 25, 2021 to Mar 29, 2022
- RAUM · $178M to $384MMar 25, 2021 to Mar 29, 2022
- Advisory employees · 4 to 3May 8, 2020 to Mar 25, 2021
- Employees · 4 to 3May 8, 2020 to Mar 25, 2021
- Discretionary RAUM · $27.5M to $46.0MMay 8, 2020 to Mar 25, 2021
- Non-discretionary RAUM · $156M to $132MMay 8, 2020 to Mar 25, 2021
Signals
4 dated events
- F•••• I••••••••• A••••••• L• reported RAUM $592.4M, up 40% from $422.6M (2024-05-13 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- F•••• I••••••••• A••••••• L• reported RAUM $384.2M, up 116% from $178.0M (2021-03-25 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- F•••• I••••••••• A••••••• L• reported RAUM $314.5M, up 63% from $193.4M (2018-03-29 to 2018-05-08)May 8, 2018 · RAUM change · derived
- F•••• I••••••••• A••••••• L• filed its initial SEC registration (Form ADV)Feb 8, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- F•••• I••••••••• A••••••• L• · Independent Sponsorsshared crd · capital_provider
- F•••• I••••••••• A••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- F••••AM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646-722-2941reportedpublic record, Form ADV, Mar 31, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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