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•••• S••••• C•• M••••••••• L••

Former SEC-registered adviserGreenwich, ConnecticutCRD 273029SEC 801-101517IAPD
Latest filing Apr 7, 2017
First filing on the tape Jul 13, 2015 · 5 filings
RAUM
$726M
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
51
22 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$726M gross assets
History
5 filings and snapshots on the tape
RAUM$726M as of Mar 31, 2017
Mar 31, 2016$698M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 31, 20160 then
Employees (5.A)51 as of Mar 31, 2017
Mar 31, 201687 then
Private funds2 as of Mar 31, 2017
Mar 31, 20162 then
RAUM +4.1% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 7, 2017; 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
$363MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+4.1%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
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.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
2reported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••••• K••••• S•••••• · Chief Compliance Officer And Executive Director, Legalcontrol
        since 10/2015 · owns less than 5%
      • B•••••• B••••••• D•••• · Co-Presidentcontrol
        since 01/2017 · owns less than 5%
      • D•••••• P••••••• J•••• · Co-Presidentcontrol
        since 01/2017 · owns less than 5%
      • D•••••••• I•••••• M••••• · Chief Investment Officercontrol
        since 06/2015 · owns less than 5%
      • F••••• A••••••••• C•••••• · Chief Operating Officercontrol
        since 06/2015 · owns less than 5%
      • N••••••• S•••••• M•••••• · Chief Financial Officercontrol
        since 06/2015 · owns less than 5%
      • T••••••••• L••••••• M••• · Chief Executive Officercontrol
        since 06/2015 · owns less than 5%
      • T••••••••• L••••••• M••• · Sole Shareholder Of F•• C• I•• I•••control
        since 10/2014 · owns 75% or more of F•• C• I•• I•••
      Entity owners
      • F•••• S••••• H••••••• L••• · Sole Member
        direct · owns 75% or more
      • F•••• S••••• A•••• M••••••••• I••• · General Partner Of F•••• S••••• H••••••• L•••
        indirect · owns 25% to 50% of F•••• S••••• H••••••• L••• · public reporting company
      • F•• C• I•• I••• · Limited Partner Of F•••• S••••• H••••••• L•••
        indirect · owns 50% to 75% of F•••• S••••• H••••••• L•••
      Related persons
      Schedule D 7.A
      Advisers that list F•••• S••••• C•• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Chicago, IL
      What changed
      consecutive filings, newest first
      • Advisory employees · 38 to 22
        Mar 31, 2016 to Mar 31, 2017
      • BD registered reps · 1 to 0
        Mar 31, 2016 to Mar 31, 2017
      • Employees · 87 to 51
        Mar 31, 2016 to Mar 31, 2017
      • Discretionary RAUM · $698M to $726M
        Mar 31, 2016 to Mar 31, 2017
      • RAUM · $698M to $726M
        Mar 31, 2016 to Mar 31, 2017
      • Accounts · 0 to 2
        Oct 30, 2015 to Mar 31, 2016
      • Advisory employees · 45 to 38
        Oct 30, 2015 to Mar 31, 2016
      • BD registered reps · 0 to 1
        Oct 30, 2015 to Mar 31, 2016
      • Employees · 95 to 87
        Oct 30, 2015 to Mar 31, 2016
      • Private funds · unset to 2
        Oct 30, 2015 to Mar 31, 2016
      • Discretionary RAUM · $0 to $698M
        Oct 30, 2015 to Mar 31, 2016
      • RAUM · $0 to $698M
        Oct 30, 2015 to Mar 31, 2016
      • Accounts · unset to 0.0
        Jul 13, 2015 to Oct 30, 2015
      • Discretionary RAUM · unset to 0.0
        Jul 13, 2015 to Oct 30, 2015
      • Non-discretionary RAUM · unset to 0.0
        Jul 13, 2015 to Oct 30, 2015
      • RAUM · unset to 0.0
        Jul 13, 2015 to Oct 30, 2015
      Signals
      1 dated events
      • F•••• S••••• C•• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jul 13, 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