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•••••• U• L•

Former SEC-registered adviserNew York, New YorkCRD 290131SEC 801-111982IAPD
Latest filing Feb 16, 2021
First filing on the tape Sep 29, 2017 · 10 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
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$53.4M gross assets
History
10 filings and snapshots on the tape
RAUM$3.3B as of Feb 16, 2021
Feb 23, 2018$111M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 16, 2021
Feb 23, 20180 then
Employees (5.A)6 as of Feb 16, 2021
Feb 23, 20186 then
Private funds1 as of Feb 16, 2021
Feb 23, 20181 then
RAUM +32% over the last fiscal year+210% 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-based, otherreportedItem 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
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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$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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• C••••••• E••••• · General Counsel And Chief Compliance Officercontrol
        since 09/2017 · owns less than 5%
      • C••••• R•••• · L•••••• Partnercontrol
        since 02/2016 · owns 10% to 25%
      • R•••• F••••••••• M••••• · L•••••• Partnercontrol
        since 02/2016 · owns 50% to 75%
      • S••••••• W••••••• J••• · Chief Operating Officercontrol
        since 02/2016 · 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•••• F••••••••• M••••• · Managing Membercontrol
        since 01/2016 · owns 50% to 75% of F••• O••• C•••••• U• L••
      • R•••••••• G•••••• M•••••• · Directorcontrol
        since 02/2018 · owns F of K••• I••••••••• M••••••••• L••
      Entity owners
      • F••• O••• C•••••• U• L•• · General Partner
        direct · owns less than 5%
      • K••• I••••••••• H•••••••• L•• · L•••••• Partner
        direct · owns 25% to 50%
      • B••••• H••••••• •••••••• L•• · Shareholder
        indirect · owns 75% or more of W• I••••••••• H••••••• L•••
      • K••• I••••••••• H•••••••• L•• · Managing Member
        indirect · owns 25% to 50% of F••• O••• C•••••• U• L••
      • K••• I••••••••• M••••••••• L•• · Owner
        indirect · owns 75% or more of K••• I••••••••• H•••••••• L••
      • W•••• M•••••••• I•••••••• G••••• L••• · Shareholder
        indirect · owns 75% or more of B••••• H••••••• •••••••• L•• · public reporting company
      • W• I••••••••• H••••••• L••• · Shareholder
        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•••••• U• 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 · 4 to 3
        Nov 2, 2020 to Feb 16, 2021
      • Assets in custody · unset to 0.0
        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 · 1 to 11
        Nov 13, 2019 to Feb 19, 2020
      • Advisory activities · 1 to 2
        Nov 13, 2019 to Feb 19, 2020
      • Pension plan clients · 0 to 1
        Nov 13, 2019 to Feb 19, 2020
      • Pooled vehicle clients · 1 to 8
        Nov 13, 2019 to Feb 19, 2020
      • Discretionary RAUM · $99.5M to $2.5B
        Nov 13, 2019 to Feb 19, 2020
      • Non-discretionary RAUM · $0 to $13.0M
        Nov 13, 2019 to Feb 19, 2020
      • Pension RAUM · unset to 829768064.0
        Nov 13, 2019 to Feb 19, 2020
      • Pooled vehicle RAUM · $99.5M to $1.2B
        Nov 13, 2019 to Feb 19, 2020
      • RAUM · $99.5M to $2.5B
        Nov 13, 2019 to Feb 19, 2020
      • Discretionary RAUM · $111M to $99.5M
        Apr 7, 2018 to Feb 22, 2019
      • Pooled vehicle RAUM · $111M to $99.5M
        Apr 7, 2018 to Feb 22, 2019
      • RAUM · $111M to $99.5M
        Apr 7, 2018 to Feb 22, 2019
      • Charity clients · unset to 0.0
        Sep 29, 2017 to Feb 23, 2018
      • Corporate clients · unset to 0.0
        Sep 29, 2017 to Feb 23, 2018
      • HNW clients · unset to 0.0
        Sep 29, 2017 to Feb 23, 2018
      • Individual clients · unset to 0.0
        Sep 29, 2017 to Feb 23, 2018
      • Pension plan clients · unset to 0.0
        Sep 29, 2017 to Feb 23, 2018
      • Pooled vehicle clients · unset to 1.0
        Sep 29, 2017 to Feb 23, 2018
      • Employees · 5 to 6
        Sep 29, 2017 to Feb 23, 2018
      • Other offices · unset to 0.0
        Sep 29, 2017 to Feb 23, 2018
      • Discretionary RAUM · $110M to $111M
        Sep 29, 2017 to Feb 23, 2018
      • Pooled vehicle RAUM · unset to 111208968.0
        Sep 29, 2017 to Feb 23, 2018
      • RAUM · $110M to $111M
        Sep 29, 2017 to Feb 23, 2018
      Signals
      10 dated events
      • F••• O••• C•••••• U• L• reported RAUM $3.3B, up 32% from $2.5B (2020-11-02 to 2021-02-16)
        Feb 16, 2021 · RAUM change · derived
      • F••• O••• C•••••• U• L• reported RAUM $2.5B, up 2418% from $99.5M (2019-11-13 to 2020-02-19)
        Feb 19, 2020 · RAUM change · derived
      • Adam Jonathan Cramer (Director) appeared on Schedule A of F••• O••• C•••••• U• L•
        Apr 15, 2019 · Control person joined · fact
      • Manning George Rountree (Director) appeared on Schedule A of F••• O••• C•••••• U• L•
        Apr 15, 2019 · Control person joined · fact
      • C••••• W••••• B••• (Director) appeared on Schedule A of F••• O••• C•••••• U• L•
        Apr 15, 2019 · Control person joined · fact
      • Scott Robert Jakacki (Member / Co-Chief Executive Officer / Chief Investment Officer) no longer on Schedule A of F••• O••• C•••••• U• 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•••••• U• L• (listed 2019-02-22, absent 2019-04-15)
        Apr 15, 2019 · Control person left · inference
      • Scott Robert Jakacki (Member / Co-Chief Executive Officer / Chief Investment Officer) appeared on Schedule A of F••• O••• C•••••• U• 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•••••• U• L•
        Feb 22, 2019 · Control person joined · fact
      • F••• O••• C•••••• U• L• filed its initial SEC registration (Form ADV)
        Sep 29, 2017 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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