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•••••• M••••••••• L••

Former SEC-registered adviserChicago, IllinoisCRD 175071SEC 801-100411IAPD
Latest filing Dec 15, 2016
First filing on the tape Jun 16, 2015 · 10 filings
RAUM
$1.2M
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
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$1.2M as of Dec 15, 2016
Jun 16, 2015$1.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Dec 15, 2016
Jun 16, 20151 then
Employees (5.A)2 as of Dec 15, 2016
Jun 16, 20153 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Dec 15, 2016; every figure names its basis
RAUM per advisor
$1.2MderivedRAUM 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
$133,266derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, 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
  • 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)
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
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • S••••••••• K••••• E••••• · Manager, Chief Executive Officer, Chief Investment Officer, Chief Compliance Officer (2015/09)control
    since 02/2015 · owns 10% to 25%
  • P•••••• K••••••• E••••• · Ceocontrol
    since 01/2000 · owns 75% or more of Monniger Road, L.C.
  • S••••••••• K••••• E••••• · Membercontrol
    since 10/1998 · owns 75% or more of Madison Partners Lc
Entity owners
  • M••••••• R•••• L••• · Part Owner, Member
    direct · owns 25% to 50%
  • M•••••• P••••••• L• · Member
    direct · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory employees · 3 to 1
    Dec 11, 2015 to Mar 17, 2016
  • Employees · 4 to 2
    Dec 11, 2015 to Mar 17, 2016
  • Financial planning clients · 1-10 to unset
    Dec 11, 2015 to Mar 17, 2016
  • Discretionary RAUM · $1.5M to $1.2M
    Dec 11, 2015 to Mar 17, 2016
  • RAUM · $1.5M to $1.2M
    Dec 11, 2015 to Mar 17, 2016
  • Employees · 3 to 4
    Jun 16, 2015 to Jul 9, 2015
Signals
1 dated events
  • Falcon Capital Management, Llc filed its initial SEC registration (Form ADV)
    Jun 16, 2015 · 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