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Former SEC-registered adviser

F• O•••••••• S••• L•

Former SEC-registered adviserPhiladelphia, PennsylvaniaCRD 281144SEC 801-106787IAPD
Latest filing Sep 13, 2016
First filing on the tape Oct 8, 2015 · 4 filings
RAUM
$57.0M
reported, Item 5.F
Discretionary
0.0%
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
53
29 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$57.0M as of Sep 13, 2016
Mar 30, 2016$51.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 13, 2016
Oct 8, 20150 then
Employees (5.A)53 as of Sep 13, 2016
Oct 8, 201539 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 13, 2016; 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
$57.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 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
performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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)
  • 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
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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
      • B•••••• A•••••••• · Interim Cfocontrol
        since 02/2016 · owns less than 5%
      • B••••••••• G••••••• A•••••• · Gp Operating Committee Membercontrol
        since 02/2016 · owns less than 5%
      • C•••••• R••••••• M••••••• · Gp Operating Committee Member And Ceocontrol
        since 09/2015 · owns less than 5%
      • F•••••• M••••••• C•••• · Gp Operating Committee Membercontrol
        since 09/2015 · owns less than 5%
      • H••• D•••• · Gp Operating Committee Member And Evpcontrol
        since 09/2015 · owns less than 5%
      • H••••• N•••• A••• · Vice Presidentcontrol
        since 02/2016 · owns less than 5%
      • K••••• M••••••• J••• · Gp Operating Committee Member And Evpcontrol
        since 09/2015 · owns less than 5%
      • M•••••• J••••••• R•• · Vice Presidentcontrol
        since 02/2016 · owns less than 5%
      • S•••••• T•••••••• M••••••• · Vice Presidentcontrol
        since 02/2016 · owns less than 5%
      • T•••••••• R•••••• T••••• · Operating Committee Membercontrol
        since 09/2015 · owns less than 5%
      • V•••• J••••• F•••••• · Chief Compliance Officercontrol
        since 09/2015 · owns less than 5%
      • C•••••• R••••••• M••••••• · Membercontrol
        since 09/2015 · owns 50% to 75% of O•• C•••••• A•••••••• G• L••
      • H••• D•••• · Membercontrol
        since 09/2015 · owns 50% to 75% of O•• C•••••• A•••••••• G• L••
      Entity owners
      • F• O•••••••• S•• G•• L•• · Member
        direct · owns 75% or more
      • F••• M••••••• L•• · Member
        direct · owns 50% to 75%
      • O•• C•••••• H•••••••• L••• · Member
        direct · owns 50% to 75%
      • F••••••• S••••• H•••••••• L••• · Member
        indirect · owns 75% or more of F••• M••••••• L••
      • F••• M••••••• L•• · Member
        indirect · owns 50% to 75% of F• O•••••••• S•• G•• L••
      • O•• C•••••• A•••••••• G• L•• · Partner
        indirect · owns 50% to 75% of O•• C•••••• A•••••••• L•••
      • O•• C•••••• A•••••••• L••• · Member
        indirect · owns 75% or more of O•• C•••••• A•••••••• L••
      • O•• C•••••• A•••••••• L•• · Member
        indirect · owns 50% to 75% of F• O•••••••• S•• G•• L••
      Related persons
      Schedule D 7.A
      Advisers that list F• O•••••••• S••• L• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Chicago, IL
      • New York, NY
      What changed
      consecutive filings, newest first
      • Non-discretionary RAUM · $51.0M to $57.0M
        Mar 30, 2016 to Sep 13, 2016
      • RAUM · $51.0M to $57.0M
        Mar 30, 2016 to Sep 13, 2016
      • Accounts · unset to 1.0
        Feb 3, 2016 to Mar 30, 2016
      • Advisory employees · 20 to 29
        Feb 3, 2016 to Mar 30, 2016
      • Employees · 39 to 53
        Feb 3, 2016 to Mar 30, 2016
      • Discretionary RAUM · unset to 0.0
        Feb 3, 2016 to Mar 30, 2016
      • Non-discretionary RAUM · unset to 51000000.0
        Feb 3, 2016 to Mar 30, 2016
      • RAUM · unset to 51000000.0
        Feb 3, 2016 to Mar 30, 2016
      • Business name · F• O•••••••• M••••••• L••• to F• O•••••••• S••• L•
        Oct 8, 2015 to Feb 3, 2016
      • Legal name · F• O•••••••• M••••••• L••• to F• O•••••••• S••• L•
        Oct 8, 2015 to Feb 3, 2016
      Signals
      1 dated events
      • F• O•••••••• M••••••• L••• filed its initial SEC registration (Form ADV)
        Oct 8, 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