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••••••••• C•••••• L•

Former SEC-registered adviserBoston, MassachusettsCRD 282121SEC 801-107687IAPD
Latest filing Mar 29, 2018
First filing on the tape Dec 14, 2015 · 8 filings
RAUM
$367M
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
17
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$367M gross assets
History
8 filings and snapshots on the tape
RAUM$367M as of Mar 29, 2018
Mar 31, 2017$234M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 31, 20170 then
Employees (5.A)17 as of Mar 29, 2018
Mar 31, 201719 then
Private funds1 as of Mar 29, 2018
Mar 31, 20171 then
RAUM +57% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 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
$122MderivedRAUM 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
+57%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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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$367M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F••••••••• M•••• M••••• F•••• L•••Hedge Fund$367M4Aug 12, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••• E•••••• V••• · Chief Executive Officer & Chief Investment Officercontrol
        since 12/2016 · owns 50% to 75%
      • F•••••• H•••••• S••••• · Presidentcontrol
        since 12/2016 · owns 25% to 50%
      • R••••••• J•••• A••••• · Chief Financial Officer & Chief Operating Officercontrol
        since 12/2016 · owns less than 5%
      • R••••• D•••••••• N••••• · Chief Compliance Officer & General Counselcontrol
        since 12/2016 · owns less than 5%
      • D••••••• E•••••• V••• · Managing Membercontrol
        since 02/2015 · owns 50% to 75% of F••••••••• C•••••• L••
      • F•••••• H•••••• S••••• · Managing Membercontrol
        since 02/2015 · owns 25% to 50% of F••••••••• C•••••• L••
      • H••••••••• R•••••• T••••• · Limited Partnercontrol
        since 06/2016 · owns 25% to 50% of F••••••••• H•••••••• L•
      Entity owners
      • F••••••••• C•••••• L•• · General Partner
        direct · owns less than 5%
      • F••••••••• H•••••••• L• · Limited Partner
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • F••••••••• G•••• L••
        investment adviserbankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 9 to 8
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 3.0
        Mar 31, 2017 to Mar 29, 2018
      • Custody of client assets · true to false
        Mar 31, 2017 to Mar 29, 2018
      • Employees · 19 to 17
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $234M to $367M
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 366750788.0
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · $234M to $367M
        Mar 31, 2017 to Mar 29, 2018
      • Assets in custody · unset to 0.0
        Dec 22, 2016 to Mar 31, 2017
      • Custody of client assets · false to true
        Dec 22, 2016 to Mar 31, 2017
      • Employees · 18 to 19
        Dec 22, 2016 to Mar 31, 2017
      • Discretionary RAUM · $209M to $234M
        Dec 22, 2016 to Mar 31, 2017
      • RAUM · $209M to $234M
        Dec 22, 2016 to Mar 31, 2017
      • Related adviser · false to true
        Dec 22, 2016 to Mar 31, 2017
      • Related bank · false to true
        Dec 22, 2016 to Mar 31, 2017
      • Accounts · unset to 3.0
        Apr 13, 2016 to Aug 12, 2016
      • Private funds · unset to 1
        Apr 13, 2016 to Aug 12, 2016
      • Discretionary RAUM · unset to 209433634.0
        Apr 13, 2016 to Aug 12, 2016
      • Non-discretionary RAUM · unset to 0.0
        Apr 13, 2016 to Aug 12, 2016
      • RAUM · unset to 209433634.0
        Apr 13, 2016 to Aug 12, 2016
      Signals
      2 dated events
      • F••••••••• C•••••• L• reported RAUM $366.8M, up 57% from $233.9M (2017-03-31 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      • F••••••••• C•••••• L• filed its initial SEC registration (Form ADV)
        Dec 14, 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