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•••••• P••••••• L•
Latest filing Jul 2, 2021
First filing on the tape Jun 17, 2016 · 12 filings
RAUM
$69.9M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$69.9M gross assets
History
12 filings and snapshots on the tape
RAUM$69.9M as of Feb 26, 2021
Mar 23, 2017$104M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 26, 2021
Mar 23, 20170 then
Employees (5.A)3 as of Feb 26, 2021
Mar 23, 201713 then
Private funds3 as of Feb 26, 2021
Mar 23, 20174 then
RAUM -31% over the last fiscal year-9.9% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Jul 2, 2021; 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
- $23.3MderivedRAUM 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
- -31%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
- Custody
- yesreportedItem 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
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$69.9M100%
- 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
- $0 for 0 clientsreported
- 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
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F••• M••••••••• ••••••••• F••• L••no longer reported | Hedge Fund | $89.9M | 6 | Mar 29, 2012 |
| F•• A••••••••• M•••• M•••••• L••• S•••• E••••• S••••• L• | Hedge Fund | $30.8M | 1 | Mar 23, 2017 |
| F•• A••••••••• M•••• M•••••• M••••••••• S••••• L• | Hedge Fund | $25.0M | 4 | Mar 23, 2017 |
| F••• M••••••••• ••••••• F••• L••no longer reported | Hedge Fund | $20.4M | 2 | Dec 18, 2013 |
| F•• A••••••••• F••• L••no longer reported | Hedge Fund | $19.7M | 2 | Mar 23, 2017 |
| F•• A••••••••• M•••• M•••••• Q•••• S••••• L• | Hedge Fund | $14.1M | 1 | Mar 23, 2017 |
Owners and control persons
Schedule A and B, latest filing
- F•••• R•••••• J••••• · L•••••• Partner / Chief Investment Officer / Chief Executive Officercontrolsince 11/2009 · owns less than 5%
- O••••••••• J•••• K•••• · Chief Compliance Officer / Chief Financial Officercontrolsince 11/2009 · owns less than 5%
- F•••• K••••••• B••••••••• · Shareholdercontrolsince 08/2009 · owns 50% to 75% of F••• F••• O• F•••• H••••••• L••
- F•••• R•••••• J••••• · Shareholdercontrolsince 08/2009 · owns 50% to 75% of F••• F••• O• F•••• H••••••• L••
Entity owners
- F•• C•••••• P••••••• ••• G• L•• · G•••••• Partnerdirect · owns 75% or more
- F•• C•••••• M••••••••• ••••••• L••• · Managing Memberindirect · owns 75% or more of F•• C•••••• P••••••• ••• G• L••
- F••• F••• O• F•••• H••••••• L•• · Managing Memberindirect · owns 75% or more of F•• C•••••• M••••••••• ••••••• L•••
Related persons
Schedule D 7.A
- F•• C•••••• M••••••••• ••••••• L••investment advisery
- F•• C•••••• P•••••••• L••investment advisern
- F•• G•••••• P•••••• L••••••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2Mar 24, 2020 to Feb 26, 2021
- Employees · 5 to 3Mar 24, 2020 to Feb 26, 2021
- Other offices · 1 to 0Mar 24, 2020 to Feb 26, 2021
- Discretionary RAUM · $102M to $69.9MMar 24, 2020 to Feb 26, 2021
- Pooled vehicle RAUM · $102M to $69.9MMar 24, 2020 to Feb 26, 2021
- RAUM · $102M to $69.9MMar 24, 2020 to Feb 26, 2021
- Advisory employees · 4 to 3Mar 14, 2019 to Mar 24, 2020
- Employees · 9 to 5Mar 14, 2019 to Mar 24, 2020
- Discretionary RAUM · $103M to $102MMar 14, 2019 to Mar 24, 2020
- Pooled vehicle RAUM · $103M to $102MMar 14, 2019 to Mar 24, 2020
- RAUM · $103M to $102MMar 14, 2019 to Mar 24, 2020
- Advisory employees · 5 to 4Mar 1, 2018 to Mar 14, 2019
- Employees · 10 to 9Mar 1, 2018 to Mar 14, 2019
- Discretionary RAUM · $95.5M to $103MMar 1, 2018 to Mar 14, 2019
- Pooled vehicle RAUM · $95.5M to $103MMar 1, 2018 to Mar 14, 2019
- RAUM · $95.5M to $103MMar 1, 2018 to Mar 14, 2019
- Accounts · 4 to 3Jul 25, 2017 to Mar 1, 2018
- Pooled vehicle clients · unset to 3.0Jul 25, 2017 to Mar 1, 2018
- Employees · 11 to 10Jul 25, 2017 to Mar 1, 2018
- Other offices · unset to 1.0Jul 25, 2017 to Mar 1, 2018
- Private funds · 4 to 3Jul 25, 2017 to Mar 1, 2018
- Discretionary RAUM · $104M to $95.5MJul 25, 2017 to Mar 1, 2018
- Pooled vehicle RAUM · unset to 95547729.0Jul 25, 2017 to Mar 1, 2018
- RAUM · $104M to $95.5MJul 25, 2017 to Mar 1, 2018
- Advisory employees · 6 to 5Mar 23, 2017 to Jul 25, 2017
- Employees · 13 to 11Mar 23, 2017 to Jul 25, 2017
- Accounts · 2 to 4Jun 29, 2016 to Mar 23, 2017
- Assets in custody · unset to 0.0Jun 29, 2016 to Mar 23, 2017
- Custody of client assets · false to trueJun 29, 2016 to Mar 23, 2017
- Employees · 11 to 13Jun 29, 2016 to Mar 23, 2017
- Private funds · 2 to 4Jun 29, 2016 to Mar 23, 2017
- Discretionary RAUM · $110M to $104MJun 29, 2016 to Mar 23, 2017
- RAUM · $110M to $104MJun 29, 2016 to Mar 23, 2017
Signals
1 dated events
- F•• C•••••• P••••••• L• filed its initial SEC registration (Form ADV)Jun 17, 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