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•••••• F•••••••• A•••• M••••••••• L••
Latest filing Jun 14, 2024
First filing on the tape May 25, 2017 · 17 filings
SEC status approved since Jun 26, 2017
RAUM
$758M
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
17
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$758M gross assets
History
17 filings and snapshots on the tape
RAUM$712M as of Mar 29, 2024
Mar 27, 2018$287M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2024
Mar 27, 20180 then
Employees (5.A)17 as of Mar 29, 2024
Mar 27, 201816 then
Private funds1 as of Mar 29, 2024
Mar 27, 20182 then
RAUM +8.0% over the last fiscal year+7.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 14, 2024; 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
- $758MderivedRAUM 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
- +1.5%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
- $758M, 1 clientsreportedItem 9.A
- 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
- Pooled investment vehicles$758M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $758M for 1 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F•••••• C••••••• C••••• F•••• L•• • S••••• B• | Hedge Fund | $758M | 15 | Jul 26, 2016 |
| F•••••• C••••••• C••••• F•••• L•• • S••••• A•no longer reported | Hedge Fund | $21.1M | 6 | Jul 26, 2016 |
Owners and control persons
Schedule A and B, latest filing
- F•••••••• M••••••• H••••• · General Counselcontrolsince 07/2018 · owns less than 5%
- H••••••• A•••••• D•••••• · Ceo, Managing Membercontrolsince 10/2004 · owns less than 5%
- M••••• M••••••• E••• · Chief Compliance Officercontrolsince 04/2024 · owns less than 5%
- H••••••• A•••••• D•••••• · Membercontrolsince 07/2011 · owns 25% to 50% of P••••••• F•••••• I••
- S•••••• J••••••• S•••• · Membercontrolsince 07/2011 · owns F of P••••••• F•••••• I••
- S••••• B•••••••• G•••••• · Membercontrolsince 07/2011 · owns 25% to 50% of P••••••• F•••••• I••
Entity owners
- F•••••• F•••••••• N•••••• F••••••• L•• · Memberdirect · owns 75% or more
- P••••••• F•••••• I•• · Memberindirect · owns 75% or more of P••••••• P••••••• L••
- P••••••• P••••••• L•• · Memberindirect · owns 75% or more of F•••••• F•••••••• N•••••• F••••••• L••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Tempe, AZ
What changed
consecutive filings, newest first
- Assets in custody · $712M to $758MMar 29, 2024 to Jun 14, 2024
- Discretionary RAUM · $712M to $758MMar 29, 2024 to Jun 14, 2024
- Pooled vehicle RAUM · $712M to $758MMar 29, 2024 to Jun 14, 2024
- RAUM · $712M to $758MMar 29, 2024 to Jun 14, 2024
- Advisory employees · 2 to 1Nov 22, 2023 to Mar 29, 2024
- Assets in custody · $702M to $712MNov 22, 2023 to Mar 29, 2024
- Discretionary RAUM · $702M to $712MNov 22, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $702M to $712MNov 22, 2023 to Mar 29, 2024
- RAUM · $702M to $712MNov 22, 2023 to Mar 29, 2024
- Assets in custody · $749M to $702MOct 13, 2022 to Mar 30, 2023
- Employees · 18 to 17Oct 13, 2022 to Mar 30, 2023
- Discretionary RAUM · $749M to $702MOct 13, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $749M to $702MOct 13, 2022 to Mar 30, 2023
- RAUM · $749M to $702MOct 13, 2022 to Mar 30, 2023
- Advisory employees · 1 to 2Jan 5, 2022 to Mar 31, 2022
- Assets in custody · $605M to $749MJan 5, 2022 to Mar 31, 2022
- Employees · 17 to 18Jan 5, 2022 to Mar 31, 2022
- Other offices · 0 to 1Jan 5, 2022 to Mar 31, 2022
- Discretionary RAUM · $605M to $749MJan 5, 2022 to Mar 31, 2022
- Pooled vehicle RAUM · $605M to $749MJan 5, 2022 to Mar 31, 2022
- RAUM · $605M to $749MJan 5, 2022 to Mar 31, 2022
- Assets in custody · $397M to $605MMar 31, 2020 to Mar 31, 2021
- Discretionary RAUM · $397M to $605MMar 31, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $397M to $605MMar 31, 2020 to Mar 31, 2021
- RAUM · $397M to $605MMar 31, 2020 to Mar 31, 2021
- Assets in custody · $431M to $397MApr 1, 2019 to Mar 30, 2020
- Employees · 16 to 17Apr 1, 2019 to Mar 30, 2020
- Discretionary RAUM · $431M to $397MApr 1, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $431M to $397MApr 1, 2019 to Mar 30, 2020
- RAUM · $431M to $397MApr 1, 2019 to Mar 30, 2020
- Accounts · 2 to 1Dec 7, 2018 to Apr 1, 2019
- Pooled vehicle clients · 2 to 1Dec 7, 2018 to Apr 1, 2019
- Assets in custody · $287M to $431MDec 7, 2018 to Apr 1, 2019
- Private funds · 2 to 1Dec 7, 2018 to Apr 1, 2019
- Discretionary RAUM · $287M to $431MDec 7, 2018 to Apr 1, 2019
- Pooled vehicle RAUM · $287M to $431MDec 7, 2018 to Apr 1, 2019
- RAUM · $287M to $431MDec 7, 2018 to Apr 1, 2019
- Pooled vehicle clients · unset to 2.0Jun 27, 2017 to Mar 27, 2018
- Assets in custody · $236M to $287MJun 27, 2017 to Mar 27, 2018
- Employees · 200 to 16Jun 27, 2017 to Mar 27, 2018
Signals
12 dated events
- F•••••• F•••••••• A•••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $758.0M)May 2, 2025 · Left the SEC roster · derived
- Eric Matthew Mason (Chief Compliance Officer) appeared on Schedule A of F•••••• F•••••••• A•••• M••••••••• L••Jun 14, 2024 · Control person joined · fact
- James C••• C•••• (Chief Compliance Officer) no longer on Schedule A of F•••••• F•••••••• A•••• M••••••••• L•• (listed 2024-03-29, absent 2024-06-14)Jun 14, 2024 · Control person left · inference
- Lok Fu Ralph Leung (Chief Financial Officer) no longer on Schedule A of F•••••• F•••••••• A•••• M••••••••• L•• (listed 2024-03-29, absent 2024-06-14)Jun 14, 2024 · Control person left · inference
- Lok Fu Ralph Leung (Chief Financial Officer) appeared on Schedule A of F•••••• F•••••••• A•••• M••••••••• L••Mar 29, 2024 · Control person joined · fact
- Joseph Toms (President & Chief Investment Officer) no longer on Schedule A of F•••••• F•••••••• A•••• M••••••••• L•• (listed 2022-01-05, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- F•••••• F•••••••• A•••• M••••••••• L•• reported RAUM $604.6M, up 52% from $397.2M (2020-03-31 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Chris Capozzi (Chief Financial Officer) no longer on Schedule A of F•••••• F•••••••• A•••• M••••••••• L•• (listed 2020-03-31, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Mary Meaghan Bever (Chief Compliance Officer) no longer on Schedule A of F•••••• F•••••••• A•••• M••••••••• L•• (listed 2020-03-31, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- C••• C•••• (Chief Compliance Officer) appeared on Schedule A of F•••••• F•••••••• A•••• M••••••••• L••Mar 31, 2021 · Control person joined · fact
- F•••••• F•••••••• A•••• M••••••••• L•• reported RAUM $430.5M, up 50% from $287.5M (2018-12-07 to 2019-04-01)Apr 1, 2019 · RAUM change · derived
- F•••••• F•••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 25, 2017 · 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