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••• I• A••••••• L••

Former SEC-registered adviserPhiladelphia, PennsylvaniaCRD 170698SEC 801-80248IAPD
Latest filing Mar 29, 2016
First filing on the tape Aug 18, 2014 · 7 filings
RAUM
$200,000
reported, Item 5.F
Discretionary
0.0%
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
156
14 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$200,000 as of Mar 29, 2016
Mar 30, 2015$200,000 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2016
Mar 30, 20150 then
Employees (5.A)156 as of Mar 29, 2016
Mar 30, 2015137 then
Private funds: no history
RAUM +0.0% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2016; 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
$200,000derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
+0.0%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 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)
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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••• M••••••• C•••• · Chief Executive Officercontrol
        since 02/2014 · owns less than 5%
      • A••••••• D••••• J• · Membercontrol
        since 05/2007 · owns 50% to 75% of F••••••• S••••• H••••••• G•••• L••
      • F•••••• M••••••• C•••• · Managing Membercontrol
        since 05/2007 · owns 50% to 75% of F••••••• S••••• H••••••• G•••• L••
      • D•••••••• E••••••••• C• · Svp, Cco
        since 05/2015 · owns less than 5%
      • H•••••• M••••••• J•• · Trustee
        since 01/2012 · owns F of T•• 2••• F••••• I••••••••• T••••
      Entity owners
      • F••••••• S••••• H•••••••• L••• · Member, Class C
        direct · owns 75% or more
      • F••••••• S••••• H••••••• G•••• L•• · General Partner
        indirect · owns F of F••••••• S••••• H•••••••• L•••
      • T•• 2••• F••••• I••••••••• T•••• · Member
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      Advisers that list F••• I• A••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 27 to 14
        Jun 17, 2015 to Mar 29, 2016
      • BD registered reps · 11 to 18
        Jun 17, 2015 to Mar 29, 2016
      • Employees · 137 to 156
        Jun 17, 2015 to Mar 29, 2016
      • Advisory employees · 12 to 27
        Feb 13, 2015 to Mar 30, 2015
      • BD registered reps · 2 to 11
        Feb 13, 2015 to Mar 30, 2015
      • Employees · 29 to 137
        Feb 13, 2015 to Mar 30, 2015
      • Business name · F••• I• A•••••• L•• to F••• I• A••••••• L••
        Aug 18, 2014 to Feb 13, 2015
      Signals
      1 dated events
      • F••• I• A•••••• L•• filed its initial SEC registration (Form ADV)
        Aug 18, 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