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•••• G••••• I••••••••• M•••••• L•
Latest filing Mar 28, 2023
First filing on the tape Aug 20, 2020 · 6 filings
RAUM
$58.3M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$58.3M gross assets
History
6 filings and snapshots on the tape
RAUM$58.3M as of Mar 28, 2023
Mar 25, 2021$155M then
HNW client RAUM$0 as of Mar 28, 2023
Mar 25, 2021$0 then
State-registered IARs (5.B.3)0 as of Mar 28, 2023
Mar 25, 20210 then
Employees (5.A)1 as of Mar 28, 2023
Mar 25, 20211 then
Private funds4 as of Mar 28, 2023
Mar 25, 20214 then
RAUM -63% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2023; 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
- $14.6MderivedRAUM 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
- -63%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
- 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$58.3M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- 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
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F•••• G••••• C•••••• P••••••• L• L• | Hedge Fund | $29.9M | 52 | Mar 25, 2021 |
| F•••• G••••• C•••••• P••••••• L• | Hedge Fund | $16.1M | 20 | Aug 20, 2020 |
| F•••• G••••• C•••••• P••••••• I• L• | Hedge Fund | $15.4M | 27 | Aug 20, 2020 |
| F•••• W•••••• L• | Hedge Fund | $10.2M | 1 | Aug 20, 2020 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• N••••••• B•••• · Portfolio M•••••• & Analyst & Ccocontrolsince 10/2014 · owns less than 5%
- B••••••• N••••••• B•••• · Trusteecontrolsince 09/2020 · owns F of N• B•••••• T••••
Entity owners
- F•••• G••••• I••••••••• M••••••••• G• L•• · General Partnerdirect · owns less than 5%
- N• B•••••• T•••• · Limited Partnerdirect · owns 75% or more
- N• B•••••• T•••• · Limited Partnerindirect · owns 75% or more of F•••• G••••• I••••••••• M••••••••• G• L••
Related persons
Schedule D 7.A
- F•••• G••••• C•••••• M••••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $157M to $58.3MMar 30, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $157M to $58.3MMar 30, 2022 to Mar 28, 2023
- RAUM · $157M to $58.3MMar 30, 2022 to Mar 28, 2023
- Other offices · 1 to 0Mar 25, 2021 to Mar 30, 2022
- Discretionary RAUM · $155M to $157MMar 25, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $155M to $157MMar 25, 2021 to Mar 30, 2022
- RAUM · $155M to $157MMar 25, 2021 to Mar 30, 2022
- Accounts · 3 to 4Feb 8, 2021 to Mar 25, 2021
- Business name · F•••• G••••• C•••••• M••••••••• L•• to F•••• G••••• I••••••••• M•••••• L•Feb 8, 2021 to Mar 25, 2021
- Pooled vehicle clients · 3 to 4Feb 8, 2021 to Mar 25, 2021
- HQ city · SAN FRANCISCO to unsetFeb 8, 2021 to Mar 25, 2021
- HQ state · CA to unsetFeb 8, 2021 to Mar 25, 2021
- Legal name · F•••• G••••• C•••••• M••••••••• L•• to F•••• G••••• I••••••••• M•••••• L•Feb 8, 2021 to Mar 25, 2021
- Private funds · 3 to 4Feb 8, 2021 to Mar 25, 2021
- Discretionary RAUM · $148M to $155MFeb 8, 2021 to Mar 25, 2021
- Pooled vehicle RAUM · $148M to $155MFeb 8, 2021 to Mar 25, 2021
- RAUM · $148M to $155MFeb 8, 2021 to Mar 25, 2021
- Succession · true to falseFeb 8, 2021 to Mar 25, 2021
- Assets in custody · 141635130.0 to unsetSep 4, 2020 to Feb 8, 2021
- Custody of client assets · true to falseSep 4, 2020 to Feb 8, 2021
- Organization form · Limited Liability Company to Limited PartnershipSep 4, 2020 to Feb 8, 2021
- Succession · false to trueSep 4, 2020 to Feb 8, 2021
Signals
2 dated events
- F•••• G••••• C•••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Feb 8, 2021 · Succession (Item 4) · fact
- F•••• G••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 20, 2020 · ria f•••• adv filing · 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