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••• O••• C•••••• L••••••

Former SEC-registered adviserLondon, England, CRD 289249SEC 801-111970IAPD
Latest filing Feb 16, 2021
First filing on the tape Sep 29, 2017 · 11 filings
RAUM
$3.3B
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
15
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$1.1B gross assets
History
11 filings and snapshots on the tape
RAUM$3.3B as of Feb 16, 2021
Feb 14, 2018$1.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 16, 2021
Feb 14, 20180 then
Employees (5.A)15 as of Feb 16, 2021
Feb 14, 20187 then
Private funds3 as of Feb 16, 2021
Feb 19, 20201 then
RAUM +32% over the last fiscal year+20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 16, 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
$255MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
27%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
+32%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 businesses and institutions, 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
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.2B58%
  • Pension and profit-sharing plans$883M42%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
1reported
Charitable clients
0reported
Accounts
13reported
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
      11 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F••• O••• L••• F•••••• I• D••••••••• A••••••• C••••••Securitized Asset Fund$437M195Feb 8, 2023
      F••• O••• I••••• L•••••• • 2••• S•••• C••••no longer reportedPrivate Equity Fund$419M92Sep 29, 2017
      F••• L•no longer reportedPrivate Equity Fund$384M112Sep 29, 2017
      F••• O••• L••• F•••••• I•• D••••••••• A••••••• C••••••Securitized Asset Fund$382M200Feb 16, 2021
      F••• O••• L••• F•••••• I• D••••••••• A••••••• C••••••Securitized Asset Fund$381M196Feb 19, 2020
      F••• O••• L••• F•••••• I• D••••••••• A••••••• C••••••Securitized Asset Fund$380M198Feb 16, 2021
      F••• I• L•no longer reportedPrivate Equity Fund$370M92Sep 29, 2017
      F••• I•• L•Private Equity Fund$197M147Feb 27, 2024
      F••• O••• S••••• C•• I••••••••• 2••••• D••••••••• A••••••• C••••••Securitized Asset Fund$195M6Jan 19, 2022
      F••• O••• I••••• L•••••• • 2••• S•••• C••••no longer reportedPrivate Equity Fund$47.0M19Sep 29, 2017
      C•••• I••••••••• L•Private Equity Fund$33.6M175Sep 29, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• C••••••• E••••• · General Counsel And Chief Compliance Officercontrol
        since 11/2015 · owns less than 5%
      • C••••• R•••• · Directorcontrol
        since 04/2015 · owns 10% to 25%
      • R•••• F••••••••• M••••• · Directorcontrol
        since 10/2012 · owns 50% to 75%
      • S••••••• W••••••• J••• · Chief Operating Officercontrol
        since 01/2014 · owns less than 5%
      • B•••• W•••••• C••••• · Directorcontrol
        since 02/2018 · owns F of K••• I••••••••• M••••••••• L••
      • C•••••• J•••••••• A••• · Directorcontrol
        since 02/2018 · owns F of K••• I••••••••• M••••••••• L••
      • R•••••••• G•••••• M•••••• · Directorcontrol
        since 02/2018 · owns F of K••• I••••••••• M••••••••• L••
      Entity owners
      • K••• I••••••••• H•••••••• L•• · S••••Holder
        direct · owns 25% to 50%
      • B••••• H••••••• •••••••• L•• · S••••Holder
        indirect · owns 75% or more of W• I••••••••• H••••••• L•••
      • K••• I••••••••• M••••••••• L•• · Owner
        indirect · owns 75% or more of K••• I••••••••• H•••••••• L••
      • W•••• M•••••••• I•••••••• G••••• L••• · S••••Holder
        indirect · owns 75% or more of B••••• H••••••• •••••••• L•• · public reporting company
      • W• I••••••••• H••••••• L••• · S••••Holder
        indirect · owns 75% or more of W• R••••• L•••
      • W• R••••• L••• · Member
        indirect · owns 75% or more of K••• I••••••••• M••••••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list F••• O••• C•••••• L•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 11 to 13
        Nov 2, 2020 to Feb 16, 2021
      • Advisory employees · 7 to 8
        Nov 2, 2020 to Feb 16, 2021
      • Private funds · 1 to 3
        Nov 2, 2020 to Feb 16, 2021
      • Discretionary RAUM · $2.5B to $3.3B
        Nov 2, 2020 to Feb 16, 2021
      • Non-discretionary RAUM · $13.0M to $11.8M
        Nov 2, 2020 to Feb 16, 2021
      • Pension RAUM · $830M to $883M
        Nov 2, 2020 to Feb 16, 2021
      • Pooled vehicle RAUM · $1.2B to $1.2B
        Nov 2, 2020 to Feb 16, 2021
      • RAUM · $2.5B to $3.3B
        Nov 2, 2020 to Feb 16, 2021
      • Accounts · 8 to 11
        Apr 15, 2019 to Feb 19, 2020
      • Pooled vehicle clients · 6 to 8
        Apr 15, 2019 to Feb 19, 2020
      • Employees · 13 to 15
        Apr 15, 2019 to Feb 19, 2020
      • Private funds · unset to 1
        Apr 15, 2019 to Feb 19, 2020
      • Discretionary RAUM · $2.2B to $2.5B
        Apr 15, 2019 to Feb 19, 2020
      • Non-discretionary RAUM · $16.3M to $13.0M
        Apr 15, 2019 to Feb 19, 2020
      • Pension RAUM · $772M to $830M
        Apr 15, 2019 to Feb 19, 2020
      • Pooled vehicle RAUM · $1.3B to $1.2B
        Apr 15, 2019 to Feb 19, 2020
      • RAUM · $2.2B to $2.5B
        Apr 15, 2019 to Feb 19, 2020
      • Accounts · 6 to 8
        Apr 23, 2018 to Feb 22, 2019
      • Advisory employees · 3 to 7
        Apr 23, 2018 to Feb 22, 2019
      • Pooled vehicle clients · 5 to 6
        Apr 23, 2018 to Feb 22, 2019
      • Employees · 7 to 13
        Apr 23, 2018 to Feb 22, 2019
      • Private funds · 4 to unset
        Apr 23, 2018 to Feb 22, 2019
      • Discretionary RAUM · $1.9B to $2.2B
        Apr 23, 2018 to Feb 22, 2019
      • Non-discretionary RAUM · $8.8M to $16.3M
        Apr 23, 2018 to Feb 22, 2019
      • Pension RAUM · $790M to $772M
        Apr 23, 2018 to Feb 22, 2019
      • Pooled vehicle RAUM · $1.1B to $1.3B
        Apr 23, 2018 to Feb 22, 2019
      • RAUM · $1.9B to $2.2B
        Apr 23, 2018 to Feb 22, 2019
      • Private funds · unset to 4
        Feb 14, 2018 to Feb 23, 2018
      • Accounts · 5 to 6
        Oct 27, 2017 to Feb 14, 2018
      • Charity clients · unset to 0.0
        Oct 27, 2017 to Feb 14, 2018
      • Corporate clients · unset to 0.0
        Oct 27, 2017 to Feb 14, 2018
      • HNW clients · unset to 0.0
        Oct 27, 2017 to Feb 14, 2018
      • Individual clients · unset to 0.0
        Oct 27, 2017 to Feb 14, 2018
      • Pension plan clients · unset to 1.0
        Oct 27, 2017 to Feb 14, 2018
      • Pooled vehicle clients · unset to 5.0
        Oct 27, 2017 to Feb 14, 2018
      • Employees · 6 to 7
        Oct 27, 2017 to Feb 14, 2018
      • Private funds · 4 to unset
        Oct 27, 2017 to Feb 14, 2018
      • Discretionary RAUM · $1.6B to $1.9B
        Oct 27, 2017 to Feb 14, 2018
      • Non-discretionary RAUM · $0 to $8.8M
        Oct 27, 2017 to Feb 14, 2018
      • Pension RAUM · unset to 790279507.0
        Oct 27, 2017 to Feb 14, 2018
      Signals
      10 dated events
      • F••• O••• C•••••• L•••••• reported RAUM $3.3B, up 32% from $2.5B (2020-11-02 to 2021-02-16)
        Feb 16, 2021 · RAUM change · derived
      • John William Sheoris (Chief Operating Officer) appeared on Schedule A of F••• O••• C•••••• L••••••
        Feb 19, 2020 · Control person joined · fact
      • Scott Robert Jakacki (Member / Co-Chief Executive Officer / Chief Investment Officer) no longer on Schedule A of F••• O••• C•••••• L•••••• (listed 2019-02-22, absent 2019-04-15)
        Apr 15, 2019 · Control person left · inference
      • Anthony C•••••• Ruffel (Member / Co-Chief Executive Officer / Executive Chairman) no longer on Schedule A of F••• O••• C•••••• L•••••• (listed 2019-02-22, absent 2019-04-15)
        Apr 15, 2019 · Control person left · inference
      • Adam Jonathan Cramer (Director) appeared on Schedule A of F••• O••• C•••••• L••••••
        Apr 15, 2019 · Control person joined · fact
      • Manning George Rountree (Director) appeared on Schedule A of F••• O••• C•••••• L••••••
        Apr 15, 2019 · Control person joined · fact
      • C••••• W••••• B••• (Director) appeared on Schedule A of F••• O••• C•••••• L••••••
        Apr 15, 2019 · Control person joined · fact
      • Scott Robert Jakacki (Member / Co-Chief Executive Officer / Chief Investment Officer) appeared on Schedule A of F••• O••• C•••••• L••••••
        Feb 22, 2019 · Control person joined · fact
      • Anthony C•••••• Ruffel (Member / Co-Chief Executive Officer / Executive Chairman) appeared on Schedule A of F••• O••• C•••••• L••••••
        Feb 22, 2019 · Control person joined · fact
      • F••• O••• C•••••• L•••••• filed its initial SEC registration (Form ADV)
        Sep 29, 2017 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Firm profile
      LINKEDIN.COM/COMPANY/F•••-O•••-CAPITALreportedpublic record, Form ADV, Sep 18, 2026
      Website
      clo-etf.comreportedpublic record, Form ADV, Sep 18, 2026
      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