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•••• L••• I••••• I••••••••• L••
Latest filing Oct 18, 2012
First filing on the tape Mar 30, 2012 · 2 filings
RAUM
$553M
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
12
$285M gross assets
History
2 filings and snapshots on the tape
RAUM$553M as of Oct 18, 2012
Mar 30, 2012$553M then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds12 as of Oct 18, 2012
Mar 30, 201212 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Oct 18, 2012; 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
- $2.4MderivedRAUM 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
- unknownderived1 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
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Custody
- $280M, 12 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
- is a broker-dealer (6.A.1)
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.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
- 226reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $280M for 12 clientsreported
- Compensation
- % of AUM, fixed, 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••••• R•••• F•••••• · President And Chief Operating Officer, Greater Than 5% Ownercontrolsince 06/1999 · owns 25% to 50%
- R••••••••• R••••• D••••• · Chairman & Chief Executive Officer, Greater Than 5% Ownercontrolsince 08/1998 · owns 50% to 75%
- J•••••• S•••••• J••••• · Chief Financial Officer & Senior Vice Presidentsince 01/2001 · owns less than 5%
- S•••••• B•••• A••• · Executive Vice Pres. & General Counsel, Chief Compliance Officer, 5% Ownersince 08/1998 · owns 5% to 10%
Related persons
Schedule D 7.A
- F•••• L••• I••••• I••••••••• L••broker-dealerreal estatenRAUM $553M
- F•• F•••• M••••••••• C•• I•• L•pooled vehicle sponsorn
- F•• F•••• M••••••••• C•• I••• L•pooled vehicle sponsorn
- F•• F•••• M••••••••• C•• V• L•pooled vehicle sponsorn
- F•• F•••• M••••••••• C•• V•• L•pooled vehicle sponsorn
- F•• F•••• M••••••••• C••• L•pooled vehicle sponsorn
Advisers that list F•••• L••• I••••• I••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Related broker-dealer · false to trueMar 30, 2012 to Oct 18, 2012
- Succession · false to trueMar 30, 2012 to Oct 18, 2012
Signals
1 dated events
- F•••• L••• I••••• I••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Oct 18, 2012 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- F•••• L••• I••••• I••••••••• L•• · Private Equityshared crd · organization
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
Across the graphs
F•••• L••• I••••• I••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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