DFX Intelligence
RIA Intelligence
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Former SEC-registered adviser
F•••••••• C•••••• M••••••••• L••
Latest filing Mar 27, 2025
First filing on the tape Oct 2, 2013 · 16 filings
SEC status approved since Nov 1, 2013
RAUM
$337M
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
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
4
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$337M as of Mar 27, 2025
Feb 25, 2014$356M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2025
Feb 25, 20140 then
Employees (5.A)3 as of Mar 27, 2025
Feb 25, 20146 then
Private funds4 as of Mar 27, 2025
Feb 25, 20142 then
RAUM -16% over the last fiscal year-17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2025; 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
- $56.1MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -16%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 vehiclesreportedItem 5.G
- Custody
- $204M, 5 clientsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$337M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $204M for 5 clientsreported
- Compensation
- % of AUM, performancereported
- 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
Private funds
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F•••••••• M••••• F•••• L••• | Hedge Fund | $184M | 33 | Oct 2, 2013 |
| B••••••• 5•• T• H••••••• | Hedge Fund | $66.3M | 1 | Mar 30, 2023 |
| B••••••• 5•• O••••••• F•••• L••• | Hedge Fund | $61.5M | 1 | Mar 28, 2018 |
| F•••••••• T• H••••••• L•• | Hedge Fund | $33.6M | 5 | Mar 30, 2023 |
| O• 5•• T• H••••••• L•• | Hedge Fund | $31.0M | 10 | Mar 30, 2023 |
| O• 5•• O••••••• F•••• L••• | Hedge Fund | $24.5M | 10 | Feb 25, 2014 |
| A• 5•• O••••••• F•••• L•••no longer reported | Hedge Fund | $1.1M | 1 | Mar 30, 2021 |
| F•••••••• M••••• H••••••• L•• | Hedge Fund | $1.1M | 6 | Mar 30, 2023 |
Owners and control persons
Schedule A and B, latest filing
- Q••••••• G•••••• J••• · Chief Financial Officer & Chief Compliance Officercontrolsince 08/2013 · owns less than 5%
- R••••• A•••••• D•••••• · Partner & Chief Investment Officercontrolsince 08/2013 · owns less than 5%
- S••••• M••••••• C••••• · Partner & Head Of Researchcontrolsince 08/2013 · owns less than 5%
- R••••• A•••••• D•••••• · Managing Membercontrolsince 09/2016 · owns 50% to 75% of F•••••••• G•• L••
- R••••• A•••••• D•••••• · Limited Partnercontrolsince 09/2016 · owns 50% to 75% of F•••••••• L•
- S••••• M••••••• C••••• · Limited Partnercontrolsince 09/2016 · owns 50% to 75% of F•••••••• L•
- S••••• M••••••• C••••• · Managing Membercontrolsince 09/2016 · owns 50% to 75% of F•••••••• G•• L••
Entity owners
- F•••••••• L• · Memberdirect · owns 75% or more
- F•••••••• G•• L•• · General Partnerindirect · owns F of F•••••••• L•
Related persons
Schedule D 7.A
- F•••••••• C•••••• G•• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Ridgewood, NJ3 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 9 to 6Mar 29, 2024 to Mar 27, 2025
- Pooled vehicle clients · 9 to 6Mar 29, 2024 to Mar 27, 2025
- Assets in custody · $271M to $204MMar 29, 2024 to Mar 27, 2025
- Employees · 4 to 3Mar 29, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 27, 2025
- HQ city · unset to Mar 29, 2024 to Mar 27, 2025
- HQ state · unset to Mar 29, 2024 to Mar 27, 2025
- Private funds · 7 to 4Mar 29, 2024 to Mar 27, 2025
- Discretionary RAUM · $402M to $337MMar 29, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $402M to $337MMar 29, 2024 to Mar 27, 2025
- RAUM · $402M to $337MMar 29, 2024 to Mar 27, 2025
- Advisory employees · 3 to 2Mar 30, 2023 to Mar 29, 2024
- Assets in custody · $194M to $271MMar 30, 2023 to Mar 29, 2024
- Employees · 5 to 4Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $211M to $402MMar 30, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $211M to $402MMar 30, 2023 to Mar 29, 2024
- RAUM · $211M to $402MMar 30, 2023 to Mar 29, 2024
- Accounts · 6 to 9Mar 30, 2022 to Mar 30, 2023
- Advisory employees · 5 to 3Mar 30, 2022 to Mar 30, 2023
- Pooled vehicle clients · 6 to 9Mar 30, 2022 to Mar 30, 2023
- Assets in custody · $555M to $194MMar 30, 2022 to Mar 30, 2023
- Employees · 7 to 5Mar 30, 2022 to Mar 30, 2023
- Private funds · 4 to 7Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $582M to $211MMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $582M to $211MMar 30, 2022 to Mar 30, 2023
- RAUM · $582M to $211MMar 30, 2022 to Mar 30, 2023
- Assets in custody · $526M to $555MDec 17, 2021 to Mar 30, 2022
- Discretionary RAUM · $562M to $582MDec 17, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $562M to $582MDec 17, 2021 to Mar 30, 2022
- RAUM · $562M to $582MDec 17, 2021 to Mar 30, 2022
- HQ city · RIDGEWOOD to unsetMar 30, 2021 to Dec 17, 2021
- HQ state · NJ to unsetMar 30, 2021 to Dec 17, 2021
- Other offices · 0 to 2Mar 30, 2021 to Dec 17, 2021
- Accounts · 5 to 6Mar 23, 2020 to Mar 30, 2021
- Advisory employees · 7 to 5Mar 23, 2020 to Mar 30, 2021
- Pooled vehicle clients · 5 to 6Mar 23, 2020 to Mar 30, 2021
- Assets in custody · $577M to $526MMar 23, 2020 to Mar 30, 2021
- Employees · 10 to 7Mar 23, 2020 to Mar 30, 2021
- Private funds · 3 to 4Mar 23, 2020 to Mar 30, 2021
- Discretionary RAUM · $716M to $562MMar 23, 2020 to Mar 30, 2021
Signals
4 dated events
- F•••••••• C•••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-08-01, RAUM $336.5M)Sep 2, 2025 · Left the SEC roster · derived
- F•••••••• C•••••• M••••••••• L•• reported RAUM $402.2M, up 91% from $210.6M (2023-03-30 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- F•••••••• C•••••• M••••••••• L•• reported RAUM $210.6M, down 64% from $581.6M (2022-03-30 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- F•••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 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