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Former SEC-registered adviser

F•••••••• C•••••• A•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 168458SEC 801-79943IAPD

Latest filing May 22, 2018

First filing on the tape Jun 13, 2014 · 10 filings

RAUM

$8.5M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

10 filings and snapshots on the tape

RAUM$8.5M as of May 22, 2018

Mar 27, 2015$100,000 then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of May 22, 2018

Mar 27, 20150 then

Employees (5.A)3 as of May 22, 2018

Mar 27, 20158 then

Private funds: no history

RAUM -18% over the last fiscal year+340% a year over threeIARs 0 to 0

Practice profile

derived from the filing of May 22, 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: $8.5MderivedRAUM 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: unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year: -18%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: otherreportedItem 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

Also answered yes on Form ADV

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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Investment companies$8.5M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1reported
Financial planning clients: 1-10reported
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

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

F••••••• M••••••• P•••• · Chief Compliance Officercontrol
since 10/2017 · owns less than 5%
R••••••• B••••••• C••• · Ceocontrol
since 10/2017 · owns less than 5%
R••••••• C•••• A••••• · Ceocontrol
since 01/2017 · owns less than 5%
L••••• R•••••• M• · Trustee Of N•• B••••••••• T••••control
since 10/2014 · owns 75% or more of N•• B••••••••• T••••

Entity owners

N•• B••••••••• T•••• · Owner
direct · owns 75% or more

Related persons

Schedule D 7.A

M••••• C••••••• L••
broker-dealern

Advisers that list F•••••••• C•••••• A•••••••• L•• as a related person

151812 n

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 5 to 3
Oct 6, 2017 to May 22, 2018
BD registered reps · 5 to 0
Oct 6, 2017 to May 22, 2018
Employees · 10 to 3
Oct 6, 2017 to May 22, 2018
Discretionary RAUM · $10.5M to $8.5M
Oct 6, 2017 to May 22, 2018
RAUM · $10.5M to $8.5M
Oct 6, 2017 to May 22, 2018
Other offices · unset to 1.0
Jun 30, 2017 to Oct 6, 2017
Advisory employees · 6 to 5
Nov 29, 2016 to Mar 15, 2017
BD registered reps · 6 to 5
Nov 29, 2016 to Mar 15, 2017
Financial planning clients · unset to 1-10
Nov 29, 2016 to Mar 15, 2017
Discretionary RAUM · $11.7M to $10.5M
Nov 29, 2016 to Mar 15, 2017
RAUM · $11.7M to $10.5M
Nov 29, 2016 to Mar 15, 2017
Discretionary RAUM · $10.7M to $11.7M
Mar 30, 2016 to Nov 29, 2016
RAUM · $10.7M to $11.7M
Mar 30, 2016 to Nov 29, 2016
Advisory employees · 2 to 6
Mar 27, 2015 to Mar 30, 2016
BD registered reps · 7 to 6
Mar 27, 2015 to Mar 30, 2016
Employees · 8 to 10
Mar 27, 2015 to Mar 30, 2016
Discretionary RAUM · $100,000 to $10.7M
Mar 27, 2015 to Mar 30, 2016
RAUM · $100,000 to $10.7M
Mar 27, 2015 to Mar 30, 2016
Related adviser · true to false
Mar 27, 2015 to Mar 30, 2016
Accounts · 0 to 1
Sep 4, 2014 to Mar 27, 2015
BD registered reps · 3 to 7
Sep 4, 2014 to Mar 27, 2015
Employees · 6 to 8
Sep 4, 2014 to Mar 27, 2015
Discretionary RAUM · $0 to $100,000
Sep 4, 2014 to Mar 27, 2015
RAUM · $0 to $100,000
Sep 4, 2014 to Mar 27, 2015

Signals

1 dated events

F•••••••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
Jun 13, 2014 · 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