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.
Former SEC-registered adviser
F••••• F•••••• C••••
Legal name F••••• F•••••• C•••• O• A••••••• L••
Latest filing Nov 1, 2018
First filing on the tape Apr 6, 2017 · 11 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$262,139 as of Jul 13, 2017
Apr 6, 2017$262,139 then
HNW client RAUM$0 as of Nov 1, 2018
Aug 16, 2018$0 then
State-registered IARs (5.B.3)4 as of Nov 1, 2018
Apr 6, 20173 then
Employees (5.A)4 as of Nov 1, 2018
Apr 6, 20173 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Nov 1, 2018; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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
- hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, publications, educational seminars, otherreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- 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
- 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
- 200reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- n/areported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourlyreported
- 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
- M••• A••••• S•••••••• to S••• W•••••• S••• W••••• M••••••••• S••• W••••• A•••••••Nov 11, 2019 · Other
- A••••• B• C•••••• to O• I••••••••• M••••••••• C•Dec 18, 2018 · Other
- C••••••• M•••• F••••••••• to T••••• F•••••••• A•••••••Oct 24, 2017 · Other
Joined, latest
- M••• A••••• S•••••••• from S••• W•••••• S••• W••••• M••••••••• S••• W••••• A•••••••Jan 30, 2019 · Other
- A••••• B• C•••••• from R•• C•••••• M••••••••• L••Apr 1, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• C••••• S•• · Managing Member & Ccocontrolsince 02/2009 · owns 50% to 75%
- F••••••••• C•••••••• M•••• · Managing Membercontrolsince 06/2015 · 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
- Organization form · Limited Liability Company to Limited Liability PartnershipSep 17, 2018 to Oct 15, 2018
- Insurance-licensed employees · 3 to 2Aug 27, 2018 to Sep 17, 2018
- Advisory employees · 2 to 4Jan 31, 2018 to Aug 16, 2018
- Advisory activities · 3 to 4Jan 31, 2018 to Aug 16, 2018
- Charity clients · unset to 0.0Jan 31, 2018 to Aug 16, 2018
- Corporate clients · unset to 0.0Jan 31, 2018 to Aug 16, 2018
- HNW clients · unset to 0.0Jan 31, 2018 to Aug 16, 2018
- Individual clients · unset to 200.0Jan 31, 2018 to Aug 16, 2018
- Pension plan clients · unset to 0.0Jan 31, 2018 to Aug 16, 2018
- Pooled vehicle clients · unset to 0.0Jan 31, 2018 to Aug 16, 2018
- Employees · 2 to 4Jan 31, 2018 to Aug 16, 2018
- Insurance-licensed employees · 0 to 3Jan 31, 2018 to Aug 16, 2018
- State-registered IARs · 2 to 4Jan 31, 2018 to Aug 16, 2018
- HNW RAUM · unset to 0.0Jan 31, 2018 to Aug 16, 2018
- Individual RAUM · unset to 0.0Jan 31, 2018 to Aug 16, 2018
- Pension RAUM · unset to 0.0Jan 31, 2018 to Aug 16, 2018
- Pooled vehicle RAUM · unset to 0.0Jan 31, 2018 to Aug 16, 2018
- Financial planning clients · 26-50 to More than 500Dec 20, 2017 to Jan 31, 2018
- Accounts · 11.0 to unsetJul 13, 2017 to Dec 20, 2017
- Advisory employees · 3 to 2Jul 13, 2017 to Dec 20, 2017
- Advisory activities · 5 to 3Jul 13, 2017 to Dec 20, 2017
- Employees · 3 to 2Jul 13, 2017 to Dec 20, 2017
- State-registered IARs · 3 to 2Jul 13, 2017 to Dec 20, 2017
- Other offices · unset to 0.0Jul 13, 2017 to Dec 20, 2017
- Discretionary RAUM · 262139.0 to unsetJul 13, 2017 to Dec 20, 2017
- Non-discretionary RAUM · 0.0 to unsetJul 13, 2017 to Dec 20, 2017
- RAUM · 262139.0 to unsetJul 13, 2017 to Dec 20, 2017
Signals
1 dated events
- F••••• F•••••• C•••• filed its initial SEC registration (Form ADV)Apr 6, 2017 · 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