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.
Former SEC-registered adviser
Faraday Capital, L.P.
Latest filing Mar 25, 2024
First filing on the tape Oct 29, 2020 · 9 filings
RAUM
$64.6M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$74.8M gross assets
History
9 filings and snapshots on the tape
RAUM$64.6M as of Mar 25, 2024
Mar 12, 2021$156M then
HNW client RAUM$0 as of Mar 25, 2024
Mar 12, 2021$0 then
State-registered IARs (5.B.3)2 as of Mar 25, 2024
Mar 12, 20213 then
Employees (5.A)4 as of Mar 25, 2024
Mar 12, 20215 then
Private funds2 as of Mar 25, 2024
Mar 12, 20212 then
RAUM -86% over the last fiscal year-25% a year over threeIARs 4 to 2
Practice profile
derived from the filing of Mar 25, 2024; every figure names its basis
- RAUM per advisor
- $32.3MderivedRAUM 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
- $16.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -86%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 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
- $74.8M, 3 clientsreportedItem 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
- 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$64.6M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $74.8M for 3 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
- Roy Corr to Citizens Private WealthJul 11, 2024 · Other
Joined, latest
- Roy Corr from J.P. Morgan Private Wealth Advisors LLCApr 11, 2020 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Faraday Capital Partners II, L.P. | Hedge Fund | $45.2M | 24 | Oct 29, 2020 |
| Faraday Capital Managed Duration, LP | Hedge Fund | $24.5M | 4 | Aug 8, 2022 |
| Faraday Capital Partners, L.P. | Hedge Fund | $9.5M | 41 | Oct 29, 2020 |
Owners and control persons
Schedule A and B, latest filing
- Henry Stephen Brinck · Managing Partner And Chief Compliance Officercontrolsince 08/2017 · owns 25% to 50%
- Bijan Pajoohi · Managing Partnercontrolsince 01/2019 · owns 25% to 50%
- Henry Stephen Brinck · Managing Membercontrolsince 04/2018 · owns 50% to 75% of Faraday Capital Gp, LLC
- Bijan Pajoohi · Managing Membercontrolsince 01/2019 · owns 50% to 75% of Faraday Capital Gp, LLC
Entity owners
- Faraday Capital Gp, LLC · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- Faraday Capital Offshore Gp, LLCpooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Rocklin, Ca · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 4 to 3Mar 10, 2023 to Mar 25, 2024
- Pooled vehicle clients · 4 to 3Mar 10, 2023 to Mar 25, 2024
- Assets in custody · $471M to $74.8MMar 10, 2023 to Mar 25, 2024
- Employees · 6 to 4Mar 10, 2023 to Mar 25, 2024
- HQ city · FORT WORTH to ROCKLINMar 10, 2023 to Mar 25, 2024
- HQ state · TX to CAMar 10, 2023 to Mar 25, 2024
- State-registered IARs · 4 to 2Mar 10, 2023 to Mar 25, 2024
- Private funds · 3 to 2Mar 10, 2023 to Mar 25, 2024
- Discretionary RAUM · $471M to $64.6MMar 10, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $471M to $64.6MMar 10, 2023 to Mar 25, 2024
- RAUM · $471M to $64.6MMar 10, 2023 to Mar 25, 2024
- Assets in custody · $319M to $471MAug 11, 2022 to Mar 10, 2023
- Other offices · 1 to 0Aug 11, 2022 to Mar 10, 2023
- Discretionary RAUM · $879M to $471MAug 11, 2022 to Mar 10, 2023
- Pooled vehicle RAUM · $879M to $471MAug 11, 2022 to Mar 10, 2023
- RAUM · $879M to $471MAug 11, 2022 to Mar 10, 2023
- Accounts · 3 to 4Mar 15, 2022 to Aug 8, 2022
- Pooled vehicle clients · 3 to 4Mar 15, 2022 to Aug 8, 2022
- Private funds · 2 to 3Mar 15, 2022 to Aug 8, 2022
- Discretionary RAUM · $539M to $879MMar 15, 2022 to Aug 8, 2022
- Pooled vehicle RAUM · $539M to $879MMar 15, 2022 to Aug 8, 2022
- RAUM · $539M to $879MMar 15, 2022 to Aug 8, 2022
- Advisory employees · 3 to 4Aug 31, 2021 to Mar 15, 2022
- Assets in custody · $353M to $319MAug 31, 2021 to Mar 15, 2022
- Employees · 5 to 6Aug 31, 2021 to Mar 15, 2022
- State-registered IARs · 3 to 4Aug 31, 2021 to Mar 15, 2022
- Discretionary RAUM · $353M to $539MAug 31, 2021 to Mar 15, 2022
- Pooled vehicle RAUM · $353M to $539MAug 31, 2021 to Mar 15, 2022
- RAUM · $353M to $539MAug 31, 2021 to Mar 15, 2022
- Assets in custody · $116M to $353MMar 12, 2021 to Aug 31, 2021
- Discretionary RAUM · $156M to $353MMar 12, 2021 to Aug 31, 2021
- Pooled vehicle RAUM · $156M to $353MMar 12, 2021 to Aug 31, 2021
- RAUM · $156M to $353MMar 12, 2021 to Aug 31, 2021
- Advisory employees · 2 to 3Dec 21, 2020 to Mar 12, 2021
- Assets in custody · unset to 116406867.0Dec 21, 2020 to Mar 12, 2021
- Custody of client assets · false to trueDec 21, 2020 to Mar 12, 2021
- Employees · 3 to 5Dec 21, 2020 to Mar 12, 2021
- Discretionary RAUM · $116M to $156MDec 21, 2020 to Mar 12, 2021
- Pooled vehicle RAUM · $116M to $156MDec 21, 2020 to Mar 12, 2021
- RAUM · $116M to $156MDec 21, 2020 to Mar 12, 2021
Signals
8 dated events
- Roy Corr left Faraday Capital, L.P. for Citizens Securities, Inc. (registered 2024-10-10)Jul 11, 2024 · Advisor changed firm · fact
- Faraday Capital, L.P. reported RAUM $64.6M, down 86% from $471.2M (2023-03-10 to 2024-03-25)Mar 25, 2024 · RAUM change · derived
- Roy Corr (Chief Operating Officer & Chief Compliance Officer) no longer on Schedule A of Faraday Capital, L.P. (listed 2023-03-10, absent 2024-03-25)Mar 25, 2024 · Control person left · inference
- Faraday Capital, L.P. reported RAUM $471.2M, down 46% from $879.4M (2022-08-11 to 2023-03-10)Mar 10, 2023 · RAUM change · derived
- Faraday Capital, L.P. reported RAUM $879.4M, up 63% from $539.2M (2022-03-15 to 2022-08-08)Aug 8, 2022 · RAUM change · derived
- Faraday Capital, L.P. reported RAUM $539.2M, up 53% from $352.6M (2021-08-31 to 2022-03-15)Mar 15, 2022 · RAUM change · derived
- Faraday Capital, L.P. reported RAUM $352.6M, up 126% from $156.1M (2021-03-12 to 2021-08-31)Aug 31, 2021 · RAUM change · derived
- Faraday Capital, L.P. filed its initial SEC registration (Form ADV)Oct 29, 2020 · 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