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Former SEC-registered adviser

F••• I• A••••••• L••

Former SEC-registered adviserPhiladelphia, PennsylvaniaCRD 281145SEC 801-106612IAPD
Latest filing Mar 22, 2018
First filing on the tape Aug 27, 2015 · 6 filings
RAUM
$376M
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
171
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$376M as of Mar 22, 2018
Mar 28, 2016$200,000 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 22, 2018
Mar 28, 20160 then
Employees (5.A)171 as of Mar 22, 2018
Mar 28, 2016156 then
Private funds: no history
RAUM +114% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 22, 2018; 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
$376MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+114%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 investment companiesreportedItem 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
1reported
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••••••• D••••• J•••• · Principalcontrol
        since 01/2012 · owns less than 5%
      • B•••••• P••••• · Chief Financial Officercontrol
        since 09/2015 · owns less than 5%
      • F•••••• M••••••• C•••• · Chief Executive Officercontrol
        since 02/2015 · owns less than 5%
      • S••••••• S•••••• · Chief Legal Officercontrol
        since 09/2015 · owns less than 5%
      • A••••••• D••••• J•••• · Membercontrol
        since 02/2015 · owns 50% to 75% of F••••••• S••••• H••••••• G.P., LLC
      • A••••••• D••••• J•••• · Managing Member Of The General Partnercontrol
        since 03/2007 · owns 25% to 50% of D•••• C••••••• L•••
      • F•••••• M••••••• C•••• · Managing Membercontrol
        since 05/2007 · owns 50% to 75% of F••••••• S••••• H••••••• G.P., LLC
      • F•••••• M••••••• C•••• · Managing General Partnercontrol
        since 08/2005 · owns 75% or more of Fb Capital Partners, L.P. And T•• 2••• F••••• I••••••••• T••••
      • D•••••••• E••••••••• C• · Svp, Cco
        since 04/2015 · owns less than 5%
      • H•••••• M••••••• J•• · Trustee - T•• 2••• F••••• I••••••••• T••••
        since 01/2012 · owns less than 5%
      • H•••••• M••••••• J•• · Trustee
        since 02/2015 · owns F of T•• 2••• F••••• I••••••••• T••••
      Entity owners
      • D•••• C••••••• L••• · Member, Class A
        direct · owns less than 5%
      • F••••••• S••••• H•••••••• L••• · Member, Class C
        direct · owns 75% or more
      • T•• 2••• F••••• I••••••••• T•••• · Member, Class A
        direct · owns 10% to 25%
      • F••••••• S••••• H•••••••• G•••• L•• · General Partner
        indirect · owns F of F••••••• S••••• H•••••••• L•••
      Related persons
      Schedule D 7.A
      Advisers that list F••• I• A••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3,420 to 1
        Jun 8, 2017 to Mar 22, 2018
      • BD registered reps · 28 to 38
        Jun 8, 2017 to Mar 22, 2018
      • Employees · 143 to 171
        Jun 8, 2017 to Mar 22, 2018
      • Other offices · unset to 0.0
        Jun 8, 2017 to Mar 22, 2018
      • Discretionary RAUM · $176M to $376M
        Jun 8, 2017 to Mar 22, 2018
      • RAUM · $176M to $376M
        Jun 8, 2017 to Mar 22, 2018
      • Accounts · 1 to 3,420
        Mar 28, 2016 to Mar 30, 2017
      • Advisory employees · 8 to 10
        Mar 28, 2016 to Mar 30, 2017
      • BD registered reps · 18 to 28
        Mar 28, 2016 to Mar 30, 2017
      • Employees · 156 to 143
        Mar 28, 2016 to Mar 30, 2017
      • Discretionary RAUM · $200,000 to $176M
        Mar 28, 2016 to Mar 30, 2017
      • RAUM · $200,000 to $176M
        Mar 28, 2016 to Mar 30, 2017
      • Accounts · unset to 1.0
        Sep 29, 2015 to Mar 28, 2016
      • Advisory employees · 4 to 8
        Sep 29, 2015 to Mar 28, 2016
      • BD registered reps · 16 to 18
        Sep 29, 2015 to Mar 28, 2016
      • Employees · 135 to 156
        Sep 29, 2015 to Mar 28, 2016
      • Discretionary RAUM · unset to 200000.0
        Sep 29, 2015 to Mar 28, 2016
      • Non-discretionary RAUM · unset to 0.0
        Sep 29, 2015 to Mar 28, 2016
      • RAUM · unset to 200000.0
        Sep 29, 2015 to Mar 28, 2016
      Signals
      2 dated events
      • F••• I• A••••••• L•• reported RAUM $376.3M, up 114% from $176.1M (2017-06-08 to 2018-03-22)
        Mar 22, 2018 · RAUM change · derived
      • F••• I• A••••••• L•• filed its initial SEC registration (Form ADV)
        Aug 27, 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