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•••••• C•••••• P•••••••

Former SEC-registered adviserPalm Beach, FloridaCRD 170768SEC 801-79661IAPD
Legal name F•••••• C•••••• P••••••• G• L••
Latest filing Mar 26, 2015
First filing on the tape Apr 17, 2014 · 4 filings
RAUM
$184M
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
15
15 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$184M gross assets
History
4 filings and snapshots on the tape
RAUM$184M as of Mar 26, 2015
Apr 17, 2014$2 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2015
Apr 17, 20140 then
Employees (5.A)15 as of Mar 26, 2015
Apr 17, 201414 then
Private funds1 as of Mar 26, 2015
Apr 17, 20141 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 26, 2015; 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
$184MderivedRAUM 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$184M, 1 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
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
$184M for 1 clientsreported
Compensation
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
      • A••••••••• B••••• W••••• · Member, Boardcontrol
        since 05/2014 · owns less than 5%
      • B•••••• R•••••• L•• · Member, Board; Capital Membercontrol
        since 05/2014 · owns 10% to 25%
      • H••••• M•••• W•••••• B•••• · Chief Compliance Officer; Member, Board; Capital Membercontrol
        since 02/2014 · owns 10% to 25%
      • N••••••••• F••••• J••••• · Capital Membercontrol
        since 05/2014 · owns 25% to 50%
      • S••••• M•••• N••••••• · Capital Membercontrol
        since 05/2014 · owns 25% to 50%
      • B••••••• M•••• H• · Membercontrol
        since 08/2011 · owns 25% to 50% of D••• B•••••• O•••••• L••
      • D•••• G•••••• G••• · Membercontrol
        since 08/2011 · owns 25% to 50% of D••• B•••••• O•••••• L••
      • H••••• L••••••• N••••••• · Membercontrol
        since 04/2004 · owns 75% or more of G••••• L•••••• P••••••• L••
      • H••••• M•••• W•••••• B•••• · Membercontrol
        since 04/2004 · owns 75% or more of G••••• L•••••• P••••••• L••
      • O••••••• N•••••••• D•••••• · Membercontrol
        since 04/2012 · owns 25% to 50% of D••• B•••••• O•••••• L••
      • H••••• L••••••• N••••••• · Member, Board
        since 05/2014 · owns less than 5%
      Entity owners
      • D•• A••••••• L•• · Member
        direct · owns less than 5%
      • G••• F•••••• L•• · Member
        direct · owns less than 5%
      • D••• B•••••• O•••••• L•• · Member
        indirect · owns 75% or more of D•• A••••••• L••
      • G••••• L•••••• C•••••• P••••••• L•• · Member
        indirect · owns 75% or more of G••• F•••••• L••
      • G••••• L•••••• P••••••• L•• · Member
        indirect · owns 75% or more of G••••• L•••••• C•••••• P••••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • London, United Kingdom
      • San Francisco, CA
      What changed
      consecutive filings, newest first
      • Advisory employees · 14 to 15
        Sep 9, 2014 to Mar 26, 2015
      • BD registered reps · 7 to 11
        Sep 9, 2014 to Mar 26, 2015
      • Assets in custody · $182M to $184M
        Sep 9, 2014 to Mar 26, 2015
      • Employees · 14 to 15
        Sep 9, 2014 to Mar 26, 2015
      • Discretionary RAUM · $182M to $184M
        Sep 9, 2014 to Mar 26, 2015
      • RAUM · $182M to $184M
        Sep 9, 2014 to Mar 26, 2015
      • Assets in custody · $0 to $182M
        Apr 17, 2014 to Aug 22, 2014
      • Discretionary RAUM · $2 to $182M
        Apr 17, 2014 to Aug 22, 2014
      • RAUM · $2 to $182M
        Apr 17, 2014 to Aug 22, 2014
      Signals
      1 dated events
      • F•••••• C•••••• P••••••• filed its initial SEC registration (Form ADV)
        Apr 17, 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