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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
F•••••• 3• C•••••• L••
Legal name F•••••• 3• C••••••• L••
Latest filing Mar 25, 2026
First filing on the tape May 9, 2014 · 29 filings
SEC status approved since May 23, 2014
RAUM
$1.1B
reported, Item 5.F
Discretionary
95%
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
19
13 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
18
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$1.1B as of Mar 25, 2026
Feb 16, 2015$53.1M then
HNW client RAUM$0 as of Mar 25, 2026
Feb 16, 2022$1.0M then
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Feb 16, 20150 then
Employees (5.A)19 as of Mar 25, 2026
Feb 16, 20154 then
Private funds18 as of Mar 25, 2026
Feb 16, 20151 then
RAUM +13% over the last fiscal year-2.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2026; 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
- $39.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.4%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
- +13%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$988M100%
- Insurance companies$3.7M0.4%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 27reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.94 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
19 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F•••••• 3• I••••••••• I•• L• | Other Private Fund | $316M | 13 | Feb 7, 2020 |
| F•• P••••• L••no longer reported | Private Equity Fund | $268M | 6 | Feb 16, 2022 |
| F• I••••••••• I• R•••• F•••••••• L•• | Other Private Fund | $220M | 13 | Feb 7, 2020 |
| F•••••• 3• I••••••••• I•• L• | Other Private Fund | $121M | 55 | Feb 8, 2017 |
| F•••••• 3• I••••••••• V• L• | Other Private Fund | $102M | 11 | Feb 16, 2022 |
| F• I••••••••• V• R•••• F•••••• L•• | Other Private Fund | $102M | 85 | Feb 16, 2022 |
| F• S••••• F••••••• L•• | Other Private Fund | $96.9M | 16 | Feb 16, 2022 |
| F•••••• 3• I••••••••• R••••• L•• | Other Private Fund | $64.7M | 2 | Oct 27, 2017 |
| F•• A•• L•• | Private Equity Fund | $57.8M | 7 | Feb 16, 2022 |
| F• I••••••••• I• R•••• F•••••••• L•• | Other Private Fund | $46.5M | 42 | Feb 7, 2020 |
| F• 2••• F•••••• L•• | Other Private Fund | $26.6M | 30 | Jan 23, 2019 |
| F•• F••••• L•• | Private Equity Fund | $23.5M | 3 | Feb 16, 2022 |
| F•••••• 3• I••••••••• I• L• | Other Private Fund | $17.7M | 29 | Feb 27, 2016 |
| F•••••• 3• L•••••••• F•••• L• | Other Private Fund | $16.6M | 40 | Feb 11, 2021 |
| F•• 2••• S••• L•• | Other Private Fund | $14.4M | 10 | Feb 7, 2020 |
| F•• W•••• L•• | Private Equity Fund | $11.1M | 3 | Mar 22, 2024 |
| F• B•••••••• L•• | Private Equity Fund | $8.0M | 6 | Mar 16, 2023 |
| F•••••• I•• I••••••••• I• L•no longer reported | Other Private Fund | $2.7M | 27 | May 9, 2014 |
| F•• D•••••• L•• | Private Equity Fund | $1.6M | 6 | Feb 16, 2022 |
Owners and control persons
Schedule A and B, latest filing
- B••••• J••••• M•••••• · Founding Partner And Ciocontrolsince 04/2013 · owns 25% to 50%
- G•••••• E•••• M•••••• · Partner And Membercontrolsince 04/2013 · owns 10% to 25%
- T•••••• D•••••• S••• · Partner, Coo, Cco And Membercontrolsince 04/2013 · owns 10% to 25%
- A••••• D•••• · Manager Of D•• V•••••• P•••••••• L••controlsince 01/2020 · owns F of D•• V•••••• P•••••••• L••
- A••••• D•••• · Director Of D•• V•••••• C••••controlsince 01/2020 · owns F of D•• V•••••• C••••
- A••••• D•••• · Manager D•••••• F••• I•• L••controlsince 01/2020 · owns F of D•••••• F••• I•• L••
- A••••• D•••• · Manager Of D•••••• M••••••••• L••controlsince 01/2020 · owns F of D•••••• M••••••••• L••
- A••••• D•••• · Manager D••••••• L••controlsince 01/2020 · owns F of D••••••• L••
- R••••• E•••••• W•••••• · Manager Of D•• V•••••• P•••••••• L••controlsince 01/2020 · owns F of D•• V•••••• P•••••••• L••
- R••••• E•••••• W•••••• · Manager D•••••• F••• I•• L••controlsince 01/2020 · owns F of D•••••• F••• I•• L••
- R••••• E•••••• W•••••• · Manager Of D•••••• M••••••••• L••controlsince 01/2020 · owns F of D•••••• M••••••••• L••
- R••••• E•••••• W•••••• · Manager Of D••••••• L••controlsince 11/2015 · owns F of D••••••• L••
- R••••• E•••••• W•••••• · Director Of D•• V•••••• C••••controlsince 01/2016 · owns F of D•• V•••••• C••••
- B••••• W••••• B•••••• · Membersince 04/2013 · owns less than 5%
Entity owners
- D•••••• M••••••••• L•• · Memberdirect · owns 10% to 25%
- D•• V•••••• C•••• · Member Of D•••••• F••• I•• L••indirect · owns 75% or more of D•••••• F••• I•• L••
- D•• V•••••• C•••• · Member D••••••• L••indirect · owns 75% or more of D••••••• L••
- D•• V•••••• P•••••••• L•• · Member Of D••••••• L••indirect · owns 75% or more of D•• V•••••• C••••
- D•••••• F••• I•• L•• · Member D•••••• M••••••••• L••indirect · owns 25% to 50% of D•••••• M••••••••• L••
- D••••••• L•• · Member Of D•••••• M••••••••• L••indirect · owns 25% to 50% of D•••••• M••••••••• L••
Related persons
Schedule D 7.A
- F• 2••• G•• L••pooled vehicle sponsory
- F• S••••• F•••••• M•• L••pooled vehicle sponsory
- F•••••• 3• G• I• L••pooled vehicle sponsory
- F•••••• 3• G• I•• L••pooled vehicle sponsory
- F•••••• 3• G• I•• L••pooled vehicle sponsory
- F•••••• 3• G• V• L••pooled vehicle sponsory
- F•••••• 3• L• G•• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Rye, NY5 employees
- Kansas City, MO3 employees
What changed
consecutive filings, newest first
- Accounts · 30 to 27Mar 10, 2025 to Mar 25, 2026
- Advisory employees · 12 to 13Mar 10, 2025 to Mar 25, 2026
- Pooled vehicle clients · 19 to 17Mar 10, 2025 to Mar 25, 2026
- Employees · 18 to 19Mar 10, 2025 to Mar 25, 2026
- Discretionary RAUM · $930M to $1.0BMar 10, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $0 to $53.0MMar 10, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $792M to $988MMar 10, 2025 to Mar 25, 2026
- RAUM · $930M to $1.1BMar 10, 2025 to Mar 25, 2026
- Accounts · 36 to 30Sep 12, 2024 to Mar 10, 2025
- Advisory employees · 11 to 12Sep 12, 2024 to Mar 10, 2025
- Pooled vehicle clients · 18 to 19Sep 12, 2024 to Mar 10, 2025
- Employees · 17 to 18Sep 12, 2024 to Mar 10, 2025
- Financial planning clients · 0 to 0Sep 12, 2024 to Mar 10, 2025
- Private funds · 17 to 18Sep 12, 2024 to Mar 10, 2025
- Discretionary RAUM · $1.1B to $930MSep 12, 2024 to Mar 10, 2025
- Pooled vehicle RAUM · $886M to $792MSep 12, 2024 to Mar 10, 2025
- RAUM · $1.1B to $930MSep 12, 2024 to Mar 10, 2025
- Accounts · 27 to 36Oct 10, 2023 to Mar 22, 2024
- Advisory employees · 12 to 11Oct 10, 2023 to Mar 22, 2024
- Pooled vehicle clients · 16 to 18Oct 10, 2023 to Mar 22, 2024
- Employees · 16 to 17Oct 10, 2023 to Mar 22, 2024
- Other offices · 3 to 2Oct 10, 2023 to Mar 22, 2024
- Private funds · 16 to 17Oct 10, 2023 to Mar 22, 2024
- Discretionary RAUM · $1.2B to $1.1BOct 10, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $935M to $886MOct 10, 2023 to Mar 22, 2024
- RAUM · $1.2B to $1.1BOct 10, 2023 to Mar 22, 2024
- Accounts · 23 to 27Dec 19, 2022 to Mar 16, 2023
- Advisory employees · 9 to 12Dec 19, 2022 to Mar 16, 2023
- Pooled vehicle clients · 17 to 16Dec 19, 2022 to Mar 16, 2023
- Employees · 11 to 16Dec 19, 2022 to Mar 16, 2023
- Private funds · 17 to 16Dec 19, 2022 to Mar 16, 2023
- Discretionary RAUM · $1.0B to $1.2BDec 19, 2022 to Mar 16, 2023
- HNW RAUM · $1.0M to $0Dec 19, 2022 to Mar 16, 2023
- Pooled vehicle RAUM · $841M to $935MDec 19, 2022 to Mar 16, 2023
- RAUM · $1.0B to $1.2BDec 19, 2022 to Mar 16, 2023
- Accounts · 16 to 23Sep 20, 2021 to Feb 16, 2022
- Advisory employees · 10 to 9Sep 20, 2021 to Feb 16, 2022
- Advisory activities · 2 to 3Sep 20, 2021 to Feb 16, 2022
- Pooled vehicle clients · 10 to 17Sep 20, 2021 to Feb 16, 2022
- Employees · 12 to 11Sep 20, 2021 to Feb 16, 2022
Signals
5 dated events
- D•••• A•••• (Manager Of D•• V•••••• P•••••••• L••) appeared on Schedule A of F•••••• 3• C•••••• L••Mar 16, 2023 · Control person joined · fact
- D••••• P•••••• D•••••• (Manager Of D••••••• L••) no longer on Schedule A of F•••••• 3• C•••••• L•• (listed 2022-12-19, absent 2023-03-16)Mar 16, 2023 · Control person left · inference
- F•••••• 3• C•••••• L•• reported RAUM $1.0B, up 46% from $687.2M (2021-09-20 to 2022-02-16)Feb 16, 2022 · RAUM change · derived
- F•••••• 3• C•••••• L•• reported RAUM $575.6M, up 71% from $337.6M (2019-01-23 to 2020-02-07)Feb 7, 2020 · RAUM change · derived
- F•••••• I•• C•••••• L•• filed its initial SEC registration (Form ADV)May 9, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- F•••••• 3• C•••••• L•• · Independent Sponsorsshared crd · capital_provider
- F•••••• 3• C•••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/5220689reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (212) 235-2160reportedpublic record, Form ADV, Mar 25, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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