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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SEC-registered adviser
F••••••• C•••••• A•••••••• L••
Latest filing Jun 1, 2026
First filing on the tape Aug 4, 2015 · 45 filings
SEC status approved since Aug 12, 2015
RAUM
$65.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
18%
$11.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
13
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$65.2M as of Jun 1, 2026
Mar 14, 2016$304M then
HNW client RAUM$11.4M as of Jun 1, 2026
Mar 14, 2018$327M then
State-registered IARs (5.B.3)1 as of Jun 1, 2026
Mar 14, 20160 then
Employees (5.A)3 as of Jun 1, 2026
Mar 14, 20163 then
Private funds13 as of Jun 1, 2026
Mar 14, 20183 then
RAUM -95% over the last fiscal year-18% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $65.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $495,212derivedHNW RAUM over HNW clients
- Average account
- $2.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -95%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -25%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $53.0M, 12 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$53.5M82%
- High-net-worth individuals$11.4M17%
- Charitable organizations$200,0000.3%
- Individuals$91,5330.1%
- Individual clients
- 1reported
- HNW clients
- 23reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 24reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $53.0M for 12 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.18 fund_share=0.82 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F••••••• C•••••• A••••••• S•• I• L••no longer reported | Private Equity Fund | $8.4M | 15 | Mar 14, 2018 |
| F••••••• C•••••• S•• V•• L••• A• S••••• O• F••••••• C••• L•• | Venture Capital Fund | $3.7M | 13 | Feb 23, 2024 |
| F••••••• C•••••• S•• X• L•• A• S••••• O• F••••••• C••• L•• | Venture Capital Fund | $2.9M | 23 | Dec 13, 2024 |
| F••••••• C•••••• A••••••• S•• I•• L••no longer reported | Venture Capital Fund | $2.5M | 11 | Mar 28, 2019 |
| F••••••• C•••••• A••••••• S•• I•• L••no longer reported | Private Equity Fund | $1.5M | 12 | Mar 14, 2018 |
| F••••••• C•••••• S•• I•• L••• A• S••••• O• F••••••• C••• L•• | Venture Capital Fund | $1.4M | 8 | Aug 26, 2024 |
| F••••••• C•••••• S•• X••• L•• A• S••••• O• F••••••• C••• L•• | Venture Capital Fund | $925,000 | 6 | Dec 13, 2024 |
| F••••••• C•••••• S•• V••• L•• A• S••••• O• F••••••• C•• L•• | Venture Capital Fund | $875,000 | 11 | May 17, 2024 |
| F••••••• C•••••• S•• X•• L••• A• S••••• O• F••••••• C••• L•• | Venture Capital Fund | $600,000 | 6 | Aug 26, 2024 |
| F••••••• C•••••• A••••••• S•• V•• L••no longer reported | Venture Capital Fund | $325,900 | 5 | Mar 28, 2019 |
| F••••••• C•••••• A••••••• S•• I••• L••no longer reported | Private Equity Fund | $80,874 | 4 | Mar 14, 2018 |
| F••••••• C•••••• A••••••• S•• V• L••no longer reported | Private Equity Fund | $0 | 3 | Mar 28, 2019 |
Owners and control persons
Schedule A and B, latest filing
- H•••••• G••••••• A•••• · Chief Executive Officer/Managing Membercontrolsince 10/2015 · owns 75% or more
Related persons
Schedule D 7.A
- F••••••• C••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- client mix shiftChange between filings · filing Apr 9, 2026private-client share of RAUM moved from 99.0% to 18.0% between the annual amendments of 2025-04-24 and 2026-04-09peers: other advisers, under $100M (671)
- discretionary share shiftChange between filings · filing Apr 9, 2026discretionary share of RAUM moved from 2.0% to 100.0% between the annual amendments of 2025-04-24 and 2026-04-09peers: other advisers, under $100M (671)
- HNW share shiftChange between filings · filing Apr 9, 2026HNW share of RAUM moved from 99.0% to 17.0% between the annual amendments of 2025-04-24 and 2026-04-09peers: other advisers, under $100M (671)
- private fund count surgeChange between filings · filing Apr 9, 2026private funds (Schedule D 7.B.1) moved from 6.0 to 12.0 (+100.0%) between the annual amendments of 2025-04-24 and 2026-04-09; the peer median change was 0.0% (10 comparable advisers, 100.0th percentile of changes)peers: other advisers, under $100M (10) · 100% percentile
What changed
consecutive filings, newest first
- Private funds · 12 to 13Apr 9, 2026 to Jun 1, 2026
- Accounts · 63 to 24Dec 11, 2025 to Mar 31, 2026
- HNW clients · 30 to 23Dec 11, 2025 to Mar 31, 2026
- Individual clients · 2 to 1Dec 11, 2025 to Mar 31, 2026
- Pooled vehicle clients · 8 to 12Dec 11, 2025 to Mar 31, 2026
- Assets in custody · $27.3M to $53.0MDec 11, 2025 to Mar 31, 2026
- Private funds · 11 to 12Dec 11, 2025 to Mar 31, 2026
- Discretionary RAUM · $31.7M to $65.2MDec 11, 2025 to Mar 31, 2026
- HNW RAUM · $1.2B to $11.4MDec 11, 2025 to Mar 31, 2026
- Individual RAUM · $235,000 to $91,533Dec 11, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $1.2B to $0Dec 11, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $15.5M to $53.5MDec 11, 2025 to Mar 31, 2026
- RAUM · $1.3B to $65.2MDec 11, 2025 to Mar 31, 2026
- Assets in custody · $20.9M to $27.3MNov 20, 2025 to Dec 11, 2025
- Private funds · 10 to 11Nov 20, 2025 to Dec 11, 2025
- Accounts · 61 to 63Aug 21, 2025 to Nov 20, 2025
- Pooled vehicle clients · 6 to 8Aug 21, 2025 to Nov 20, 2025
- Assets in custody · $10.4M to $20.9MAug 21, 2025 to Nov 20, 2025
- Financial planning clients · 0 to 0Aug 21, 2025 to Nov 20, 2025
- Private funds · 7 to 10Aug 21, 2025 to Nov 20, 2025
- Discretionary RAUM · $26.5M to $31.7MAug 21, 2025 to Nov 20, 2025
- Pooled vehicle RAUM · $10.4M to $15.5MAug 21, 2025 to Nov 20, 2025
- RAUM · $1.3B to $1.3BAug 21, 2025 to Nov 20, 2025
- Employees · 1 to 3Jul 8, 2025 to Aug 21, 2025
- Private funds · 6 to 7Jul 8, 2025 to Aug 21, 2025
- Business name · F••••••• C•••••• A•••••••• L• to F••••••• C•••••• A•••••••• L••May 21, 2025 to Jul 8, 2025
- Legal name · F••••••• C•••••• A•••••••• L• to F••••••• C•••••• A•••••••• L••May 21, 2025 to Jul 8, 2025
- Organization form · Limited Partnership to Limited Liability CompanyMay 21, 2025 to Jul 8, 2025
- Accounts · 45 to 61Dec 13, 2024 to Apr 24, 2025
- Business name · F••••••• C•••••• A•••••••• L•• to F••••••• C•••••• A•••••••• L•Dec 13, 2024 to Apr 24, 2025
- HNW clients · 20 to 30Dec 13, 2024 to Apr 24, 2025
- Individual clients · 1 to 2Dec 13, 2024 to Apr 24, 2025
- Pooled vehicle clients · unset to 6.0Dec 13, 2024 to Apr 24, 2025
- HQ city · unset to Dec 13, 2024 to Apr 24, 2025
- HQ state · unset to Dec 13, 2024 to Apr 24, 2025
- Legal name · F••••••• C•••••• A•••••••• L•• to F••••••• C•••••• A•••••••• L•Dec 13, 2024 to Apr 24, 2025
- Organization form · Limited Liability Company to Limited PartnershipDec 13, 2024 to Apr 24, 2025
- Discretionary RAUM · $8.8M to $26.5MDec 13, 2024 to Apr 24, 2025
- HNW RAUM · $427M to $1.2BDec 13, 2024 to Apr 24, 2025
- Individual RAUM · $4,396 to $235,000Dec 13, 2024 to Apr 24, 2025
Signals
8 dated events
- F••••••• C•••••• A•••••••• L•• reported RAUM $65.2M, down 95% from $1.3B (2025-12-11 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- F••••••• C•••••• A•••••••• L•• reported RAUM $1.3B, up 194% from $427.3M (2024-12-13 to 2025-04-24)Apr 24, 2025 · RAUM change · derived
- F••••••• C•••••• A•••••••• L•• reported RAUM $427.3M, up 265% from $117.0M (2024-03-05 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- F••••••• C•••••• A•••••••• L•• reported RAUM $27.7M, down 85% from $188.2M (2020-10-29 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- F••••••• C•••••• A•••••••• L•• reported RAUM $188.2M, down 36% from $292.6M (2019-03-28 to 2020-03-05)Mar 5, 2020 · RAUM change · derived
- Faith Abigail Henry (Chief Compliance Officer) no longer on Schedule A of F••••••• C•••••• A•••••••• L•• (listed 2019-03-28, absent 2020-03-05)Mar 5, 2020 · Control person left · inference
- Faith Abigail Henry (Chief Compliance Officer) appeared on Schedule A of F••••••• C•••••• A•••••••• L••Jan 11, 2019 · Control person joined · fact
- B••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Aug 4, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- F••••••• C•••••• A•••••••• L•• · Private Equityshared crd · organization
- F••••••• C•••••• A•••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- F•••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (212) 202-3296reportedpublic record, Form ADV, Jun 1, 2026
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
- Other 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