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•••• M•••••••• C•

Former SEC-registered adviserNew York, New YorkCRD 1845SEC 801-12411IAPD
Legal name F•••• M•••••••• C•• L••
Latest filing Jan 31, 2023
First filing on the tape Mar 27, 2012 · 63 filings
RAUM
$30B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$26B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
114
45 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
14
$1.5B gross assets
History
63 filings and snapshots on the tape
RAUM$30B as of Mar 31, 2022
Mar 27, 2012$15B then
HNW client RAUM$26B as of Mar 31, 2022
Apr 2, 2018$19B then
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 27, 20120 then
Employees (5.A)114 as of Mar 31, 2022
Mar 7, 2013130 then
Private funds14 as of Mar 31, 2022
Mar 27, 201211 then
RAUM +21% over the last fiscal year+14% a year over threeIARs 0 to 45offices 0 to 1
Practice profile
derived from the filing of Jan 31, 2023; every figure names its basis
RAUM per advisor
$663MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
113derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$7.8MderivedHNW RAUM over HNW clients
Average account
$5.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
7.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
22.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+3.0%derived
Compensation
percentage of assets, performance-basedreportedItem 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
Custody
$27B, 5,232 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$26B86%
  • Pooled investment vehicles$1.5B5.0%
  • Pension and profit-sharing plans$1.3B4.2%
  • Charitable organizations$1.0B3.4%
  • Individuals$557M1.9%
Individual clients
1,815reported
HNW clients
3,273reported
Pension plan clients
106reported
Charitable clients
99reported
Accounts
5,308reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$27B for 5,232 clientsreported
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
Every departureEvery arrival
Private funds
4 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
F•••• D• N•••• L•••no longer reportedOther Private Fund$7.0M38Mar 27, 2012
N••••••• C••••••• L•no longer reportedOther Private Fund$3.6M11Jun 28, 2018
F• F•••••••• A••••••••• L•••no longer reportedOther Private Fund$142,00028Mar 27, 2012
F• O•••••• I••••••••• A••••••••• L•••no longer reportedOther Private Fund$13,00012Mar 27, 2012
Owners and control persons
Schedule A and B, latest filing
  • A••••• A••••• J••••• · Chief Legal Officercontrol
    since 05/2020 · owns less than 5%
  • C••••• S••••• F••• · Limited Partnercontrol
    since 01/2020 · owns 5% to 10%
  • F••••••••• A••••• M•••••• · Limited Partnercontrol
    since 01/2020 · owns 5% to 10%
  • G••••••••• R••••• W•••••• · Executive Chairmancontrol
    since 01/2006 · owns 25% to 50%
  • G••••• T••• W•••••• · Limited Partnercontrol
    since 01/2016 · owns 5% to 10%
  • G•••••••• B•••••• C•••••• · Limited Partnercontrol
    since 01/2003 · owns 10% to 25%
  • M•••••• T•••••• C••••• · Limited Partnercontrol
    since 01/2021 · owns 5% to 10%
  • P••••• A••••• S•••••• · Chief Financial Officercontrol
    since 05/2017 · owns less than 5%
  • V••••• J••• H•••• · Limited Partnercontrol
    since 01/2020 · owns 5% to 10%
  • W••••• Z•••••• A• · Chief Executive Officercontrol
    since 09/2016 · owns 5% to 10%
  • A••••• A••••• J••••• · Managing Member (For 5f Below "General Partner" = "Member")control
    since 01/2022 · owns F of F•••• M•••••••• L••
  • B•••••• L•••••• C•••••• · Managing Member (For 5f Below "General Partner" = "Member")control
    since 07/2017 · owns F of F•••• M•••••••• L••
  • C••••• S••••• F••• · Managing Member (For 5f Below "General Partner" = "Member")control
    since 07/2002 · owns F of F•••• M•••••••• L••
  • F••••••••• A••••• M•••••• · Managing Member (For 5f Below "General Partner" = "Member")control
    since 01/2010 · owns F of F•••• M•••••••• L••
  • G••••••••• R••••• W•••••• · Managing Member (For 5f Below "General Partner" = "Member")control
    since 07/2002 · owns 25% to 50% of F•••• M•••••••• L••
  • G••••• T••• W•••••• · Managing Member (For 5f Below "General Partner" = "Member")control
    since 07/2002 · owns F of F•••• M•••••••• L••
  • G•••••••• B•••••• C•••••• · Managing Member (For 5f Below "General Partner" = "Member")control
    since 07/2002 · owns F of F•••• M•••••••• L••
  • M•••••• T•••••• C••••• · Managing Member (For 5f Below "General Partner" = "Member")control
    since 01/2008 · owns F of F•••• M•••••••• L••
  • P••••• A••••• S•••••• · Managing Member (For 5f Below "General Partner" = "Member"control
    since 01/2020 · owns F of F•••• M•••••••• L••
  • P•••• H••••••• · Managing Member (For 5f Below "General Partner"="Member")control
    since 01/2020 · owns F of F•••• M•••••••• L••
  • S•••••••• A••• H••••• · Managing Member (For 5f Below "General Partner" = "Member")control
    since 01/2014 · owns F of F•••• M•••••••• L••
  • V••••• J••• H•••• · Managing Member (For 5f Below "General Partner" = "Member")control
    since 07/2002 · owns F of F•••• M•••••••• L••
  • V•••••••• J•• L••••••• · Managing Member (For 5f Below "General Partner" = "Member")control
    since 07/2002 · owns F of F•••• M•••••••• L••
  • W••••• Z•••••• A• · Managing Member (For 5f Below "General Partner" = "Member")control
    since 09/2016 · owns F of F•••• M•••••••• L••
  • K••••••• T••••• G••••• · Chief Compliance Officer (For Purposes Of The Investment Advisers Act Rule 206(4)-7(C) And Finra Rule 3130)
    since 11/2020 · owns less than 5%
  • S•••••••• J••••• A•••••• · Co-Director Of Operations; Head Of Supervision
    since 03/2022 · owns less than 5%
  • T••••••• A••••• M•••••• J•• · Co-Director Of Operations
    since 03/2022 · owns less than 5%
Entity owners
  • F•••• M•••••••• L•• · General Partner
    direct · owns 10% to 25%
Related persons
Schedule D 7.A
  • F•••• M•••••••• C••• I•••••••••
    pooled vehicle sponsory
  • F•••• M•••••••• S••••••••• L••
    broker-dealern
  • F• R••• E••••• M••••••••• C•••••••••
    pooled vehicle sponsory
Advisers that list F•••• M•••••••• C• as a related person
Offices
Schedule D 1.F, the 25 largest
  • G••••Wich, CT5 employees
What changed
consecutive filings, newest first
  • Legal name · F•••• M•••••••• C• to F•••• M•••••••• C•• L••
    Jan 23, 2023 to Jan 31, 2023
  • Succession · true to false
    Jan 23, 2023 to Jan 31, 2023
  • Commission compensation · true to false
    Nov 28, 2022 to Jan 23, 2023
  • State-registered IARs · 0 to 45
    Nov 28, 2022 to Jan 23, 2023
  • Organization form · Limited Partnership to Limited Liability Company
    Nov 28, 2022 to Jan 23, 2023
  • Related broker-dealer · false to true
    Nov 28, 2022 to Jan 23, 2023
  • Succession · false to true
    Nov 28, 2022 to Jan 23, 2023
  • Accounts · 7,220 to 5,308
    Mar 3, 2022 to Mar 31, 2022
  • Advisory employees · 43 to 45
    Mar 3, 2022 to Mar 31, 2022
  • Advisory activities · 3 to 4
    Mar 3, 2022 to Mar 31, 2022
  • BD registered reps · 75 to 91
    Mar 3, 2022 to Mar 31, 2022
  • Charity clients · 103 to 99
    Mar 3, 2022 to Mar 31, 2022
  • HNW clients · 2,974 to 3,273
    Mar 3, 2022 to Mar 31, 2022
  • Individual clients · 1,968 to 1,815
    Mar 3, 2022 to Mar 31, 2022
  • Pension plan clients · 91 to 106
    Mar 3, 2022 to Mar 31, 2022
  • Pooled vehicle clients · 11 to 14
    Mar 3, 2022 to Mar 31, 2022
  • Assets in custody · $23B to $27B
    Mar 3, 2022 to Mar 31, 2022
  • Employees · 116 to 114
    Mar 3, 2022 to Mar 31, 2022
  • Other offices · 0 to 1
    Mar 3, 2022 to Mar 31, 2022
  • Discretionary RAUM · $25B to $30B
    Mar 3, 2022 to Mar 31, 2022
  • HNW RAUM · $21B to $26B
    Mar 3, 2022 to Mar 31, 2022
  • Individual RAUM · $608M to $557M
    Mar 3, 2022 to Mar 31, 2022
  • Pension RAUM · $1.0B to $1.3B
    Mar 3, 2022 to Mar 31, 2022
  • Pooled vehicle RAUM · $1.4B to $1.5B
    Mar 3, 2022 to Mar 31, 2022
  • RAUM · $25B to $30B
    Mar 3, 2022 to Mar 31, 2022
  • Accounts · 7,010 to 7,220
    Jan 25, 2021 to Mar 31, 2021
  • Advisory employees · 45 to 43
    Jan 25, 2021 to Mar 31, 2021
  • BD registered reps · 74 to 75
    Jan 25, 2021 to Mar 31, 2021
  • Charity clients · 125 to 103
    Jan 25, 2021 to Mar 31, 2021
  • HNW clients · 3,451 to 2,974
    Jan 25, 2021 to Mar 31, 2021
  • Individual clients · 3,288 to 1,968
    Jan 25, 2021 to Mar 31, 2021
  • Pension plan clients · 137 to 91
    Jan 25, 2021 to Mar 31, 2021
  • Pooled vehicle clients · 9 to 11
    Jan 25, 2021 to Mar 31, 2021
  • Assets in custody · $20B to $23B
    Jan 25, 2021 to Mar 31, 2021
  • Employees · 119 to 116
    Jan 25, 2021 to Mar 31, 2021
  • Private funds · 10 to 14
    Jan 25, 2021 to Mar 31, 2021
  • Discretionary RAUM · $22B to $25B
    Jan 25, 2021 to Mar 31, 2021
  • HNW RAUM · $19B to $21B
    Jan 25, 2021 to Mar 31, 2021
  • Individual RAUM · $1.0B to $608M
    Jan 25, 2021 to Mar 31, 2021
  • Non-discretionary RAUM · $23.0M to $0
    Jan 25, 2021 to Mar 31, 2021
Signals
10 dated events
  • F•••• M•••••••• C• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Jan 23, 2023 · Succession (Item 4) · fact
  • F•••• M•••••••• C• reported 45 state-registered advisory representatives, up from 0 (2022-11-28 to 2023-01-23)
    Jan 23, 2023 · Advisor headcount change · derived
  • David Sanford Gottesman (Managing Member (For 5F Below "General Partner" = "Member")) no longer on Schedule A of F•••• M•••••••• C• (listed 2022-09-15, absent 2022-11-28)
    Nov 28, 2022 · Control person left · inference
  • Himayani Puri (Managing Member (For 5F Below "General Partner"="Member")) appeared on Schedule A of F•••• M•••••••• C•
    Sep 15, 2022 · Control person joined · fact
  • Allen Saul Zwickler (Managing Member (For 5F Below "General Parnter" = "Member")) no longer on Schedule A of F•••• M•••••••• C• (listed 2022-02-02, absent 2022-03-03)
    Mar 3, 2022 · Control person left · inference
  • Neal Kravit Stearns (Managing Member (For 5F Below "General Partner" = "Member")) no longer on Schedule A of F•••• M•••••••• C• (listed 2021-07-01, absent 2021-07-15)
    Jul 15, 2021 · Control person left · inference
  • Keith Benjamin Josephson (Managing Member (For 5F Below "General Partner" = "Member")) no longer on Schedule A of F•••• M•••••••• C• (listed 2020-11-02, absent 2021-01-25)
    Jan 25, 2021 · Control person left · inference
  • Arthur Joel Stainman (Managing Member (For 5F Below "General Partner" = "Member")) no longer on Schedule A of F•••• M•••••••• C• (listed 2020-11-02, absent 2021-01-25)
    Jan 25, 2021 · Control person left · inference
  • Allan Howard Glick (Managing Member (For 5F Below "General Partner" = "Member")) no longer on Schedule A of F•••• M•••••••• C• (listed 2019-01-16, absent 2019-01-31)
    Jan 31, 2019 · Control person left · inference
  • Daniel Rosenbloom (Managing Member (For 5F Below "General Partner" = "Member")) no longer on Schedule A of F•••• M•••••••• C• (listed 2018-06-28, absent 2019-01-16)
    Jan 16, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
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