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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
F•••• C•••••• I••••••••• P•••••••• L••
Latest filing Mar 30, 2023
First filing on the tape Aug 18, 2017 · 12 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$0 as of Mar 31, 2022
Mar 21, 2018$92.3M then
HNW client RAUM$0 as of Mar 30, 2023
Apr 9, 2019$0 then
State-registered IARs (5.B.3)5 as of Mar 30, 2023
Mar 21, 201812 then
Employees (5.A)6 as of Mar 30, 2023
Mar 21, 201817 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 12 to 5
Practice profile
derived from the filing of Mar 30, 2023; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -58%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- otherreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
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
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- n/areported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• L•••••••• P••••• · Chief Compliance Officercontrolsince 01/2020 · owns less than 5%
- H••••• J••••• D••••• · Managing Membercontrolsince 08/2017 · owns 25% to 50%
- S••••••• J••••••• R•••••• · Managing Membercontrolsince 08/2017 · owns 25% to 50%
- M••••••• A•••••• J••••• · Managing Membercontrolsince 09/2009 · owns 25% to 50% of S•••••• I••••••••• A•••••••• L••
- T•••• S•••••• J••••• · Managing Membercontrolsince 09/2009 · owns 25% to 50% of S•••••• I••••••••• A•••••••• L••
Entity owners
- S•••••• I••••••••• A•••••••• L•• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Little Silver, NJ7 employees
- Shrewsbury, NJ4 employees
What changed
consecutive filings, newest first
- Accounts · 0.0 to unsetMar 31, 2022 to Mar 30, 2023
- Advisory employees · 12 to 5Mar 31, 2022 to Mar 30, 2023
- Advisory activities · 4 to 1Mar 31, 2022 to Mar 30, 2023
- BD registered reps · 1 to 0Mar 31, 2022 to Mar 30, 2023
- Employees · 17 to 6Mar 31, 2022 to Mar 30, 2023
- Insurance-licensed employees · 12 to 5Mar 31, 2022 to Mar 30, 2023
- State-registered IARs · 12 to 5Mar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · 0.0 to unsetMar 31, 2022 to Mar 30, 2023
- Non-discretionary RAUM · 0.0 to unsetMar 31, 2022 to Mar 30, 2023
- RAUM · 0.0 to unsetMar 31, 2022 to Mar 30, 2023
- Advisory activities · 2 to 4Apr 10, 2019 to Mar 30, 2020
- Accounts · 170 to 0Mar 21, 2018 to Sep 24, 2018
- Advisory activities · 1 to 2Mar 21, 2018 to Sep 24, 2018
- Charity clients · unset to 0.0Mar 21, 2018 to Sep 24, 2018
- Corporate clients · unset to 0.0Mar 21, 2018 to Sep 24, 2018
- HNW clients · unset to 0.0Mar 21, 2018 to Sep 24, 2018
- Individual clients · unset to 0.0Mar 21, 2018 to Sep 24, 2018
- Pension plan clients · unset to 0.0Mar 21, 2018 to Sep 24, 2018
- Pooled vehicle clients · unset to 0.0Mar 21, 2018 to Sep 24, 2018
- Financial planning clients · unset to 0Mar 21, 2018 to Sep 24, 2018
- HQ city · LITTLE SILVER to BLUE BELLMar 21, 2018 to Sep 24, 2018
- HQ state · NJ to PAMar 21, 2018 to Sep 24, 2018
- Discretionary RAUM · $92.3M to $0Mar 21, 2018 to Sep 24, 2018
- HNW RAUM · unset to 0.0Mar 21, 2018 to Sep 24, 2018
- Individual RAUM · unset to 0.0Mar 21, 2018 to Sep 24, 2018
- Pension RAUM · unset to 0.0Mar 21, 2018 to Sep 24, 2018
- Pooled vehicle RAUM · unset to 0.0Mar 21, 2018 to Sep 24, 2018
- RAUM · $92.3M to $0Mar 21, 2018 to Sep 24, 2018
- Accounts · 0 to 170Sep 29, 2017 to Mar 21, 2018
- Advisory employees · 4 to 12Sep 29, 2017 to Mar 21, 2018
- Employees · 4 to 17Sep 29, 2017 to Mar 21, 2018
- Insurance-licensed employees · 4 to 12Sep 29, 2017 to Mar 21, 2018
- Financial planning clients · 0 to unsetSep 29, 2017 to Mar 21, 2018
- HQ city · BLUE BELL to LITTLE SILVERSep 29, 2017 to Mar 21, 2018
- HQ state · PA to NJSep 29, 2017 to Mar 21, 2018
- State-registered IARs · 4 to 12Sep 29, 2017 to Mar 21, 2018
- Other offices · unset to 2.0Sep 29, 2017 to Mar 21, 2018
- Discretionary RAUM · $0 to $92.3MSep 29, 2017 to Mar 21, 2018
- RAUM · $0 to $92.3MSep 29, 2017 to Mar 21, 2018
- Related broker-dealer · true to falseSep 29, 2017 to Mar 21, 2018
Signals
3 dated events
- Ashley Matthew Swendiman (Chief Compliance Officer) no longer on Schedule A of F•••• C•••••• I••••••••• P•••••••• L•• (listed 2019-04-10, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Philip Lawrence Chiarello (Chief Compliance Officer) appeared on Schedule A of F•••• C•••••• I••••••••• P•••••••• L••Mar 30, 2020 · Control person joined · fact
- F•••• C•••••• I••••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Aug 18, 2017 · ria f•••• adv filing · 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