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 adviserLondon, CRD 282543SEC 801-107326IAPD
Latest filing Aug 25, 2016
First filing on the tape Feb 18, 2016 · 4 filings
RAUM
$115M
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
6
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$3.0M gross assets
History
4 filings and snapshots on the tape
RAUM$115M as of Aug 25, 2016
Feb 18, 2016$95.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 25, 2016
Feb 18, 20160 then
Employees (5.A)6 as of Aug 25, 2016
Feb 18, 20166 then
Private funds1 as of Aug 25, 2016
Feb 18, 20161 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 25, 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
$38.3MderivedRAUM 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
unknownderivedbetween 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 vehicles, 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
3reported
Financial planning clients
0reported
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••••••• C•••••• O••••••••• F••• I•Hedge Fund$3.0M2Feb 18, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••• P••••• · Shareholder, Executive Director, Coocontrol
        since 04/2011 · owns 10% to 25%
      • F••••• F•••••••• · Shareholder, Ceo, Ciocontrol
        since 04/2011 · owns 25% to 50%
      • C••••••• C••••••• E•••••••• · Cco
        since 02/2016 · owns less than 5%
      Entity owners
      • M••••• I••••••••• • A••••••• L••• · Shareholder
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $95.0M to $115M
        Mar 2, 2016 to May 23, 2016
      • RAUM · $95.0M to $115M
        Mar 2, 2016 to May 23, 2016
      Signals
      1 dated events
      • F••••••• C•••••• L••• filed its initial SEC registration (Form ADV)
        Feb 18, 2016 · 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