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.
SEC-registered adviser
F•• C•••••• M•••••••••
Legal name F•• C•••••• M••••••••• •••••••• L••••••
Latest filing Mar 30, 2026
First filing on the tape Mar 23, 2018 · 15 filings
SEC status approved since Apr 23, 2018
RAUM
$0
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
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$0 as of Mar 30, 2026
Jan 22, 2019$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Jan 22, 20190 then
Employees (5.A)5 as of Mar 30, 2026
Jan 22, 201914 then
Private funds4 as of Mar 30, 2022
Mar 30, 20204 then
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; 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
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- hourlyreportedItem 5.E
- Advisory activities
- 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
- 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
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- hourlyreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0derived
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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E••• C•••• I••••••••• A•••• F••• L• •••••••• K•••• A• 5• S•••• L••no longer reported | Venture Capital Fund | $25.0M | 1 | Mar 31, 2015 |
| E••• C•••• I••••••••• V• F••• I• L• •••••••• K•••• A• A••••••• V••••••• I• L••no longer reported | Venture Capital Fund | $0 | 1 | Mar 30, 2016 |
| E••• C•••• I••••••••• F••• L• •••••••• K•••• A• A••••••• C•••••• P••••••• F••• I• L••no longer reported | Private Equity Fund | $0 | 1 | Feb 13, 2012 |
| E••• C•••• I••••••••• V• F••• L• •••••••• K•••• A• A••••••• V••••••• L••no longer reported | Venture Capital Fund | $0 | 1 | Mar 31, 2015 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• L•••• · Directorcontrolsince 08/2023 · owns less than 5%
- C••••••••• J•••• C••••••• · Chief Compliance Officercontrolsince 03/2018 · owns less than 5%
- F••• H••• Y• · Directorcontrolsince 01/2021 · owns less than 5%
- G••••••• D••••• M••••• · Senior Managing Directorcontrolsince 10/2017 · owns less than 5%
- L•• C•••••• P•••••• · Directorcontrolsince 05/2019 · owns less than 5%
- M•••••••• A•••••• R•••••• V••••• · Senior Managing Directorcontrolsince 10/2017 · owns less than 5%
- L• C••••• A••••• R••• · Secretarysince 07/2022 · owns less than 5%
Entity owners
- F•• C••••••••• I••• · Parentdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- F•• C•••••• A•••••••• L••broker-dealerinvestment companyn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 6 to 5Mar 24, 2025 to Mar 30, 2026
- Employees · 6 to 5Mar 24, 2025 to Mar 30, 2026
- RAUM · unset to 0.0Nov 4, 2024 to Mar 24, 2025
- Accounts · unset to 0.0Nov 4, 2024 to Mar 24, 2025
- Advisory employees · 8 to 6Nov 4, 2024 to Mar 24, 2025
- Employees · 8 to 6Nov 4, 2024 to Mar 24, 2025
- Financial planning clients · 0 to 0Nov 4, 2024 to Mar 24, 2025
- HQ state · unset to Nov 4, 2024 to Mar 24, 2025
- Discretionary RAUM · unset to 0.0Nov 4, 2024 to Mar 24, 2025
- Non-discretionary RAUM · unset to 0.0Nov 4, 2024 to Mar 24, 2025
- Advisory employees · 18 to 8Mar 28, 2023 to Mar 7, 2024
- Pooled vehicle clients · 4 to 0Mar 28, 2023 to Mar 7, 2024
- Employees · 22 to 8Mar 28, 2023 to Mar 7, 2024
- Accounts · 4.0 to unsetMar 30, 2022 to Mar 28, 2023
- Advisory employees · 10 to 18Mar 30, 2022 to Mar 28, 2023
- HNW clients · 0.0 to unsetMar 30, 2022 to Mar 28, 2023
- Individual clients · 0.0 to unsetMar 30, 2022 to Mar 28, 2023
- Assets in custody · 25000000.0 to unsetMar 30, 2022 to Mar 28, 2023
- Custody of client assets · true to falseMar 30, 2022 to Mar 28, 2023
- Private funds · 4 to unsetMar 30, 2022 to Mar 28, 2023
- Discretionary RAUM · 25000000.0 to unsetMar 30, 2022 to Mar 28, 2023
- Non-discretionary RAUM · 0.0 to unsetMar 30, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $25.0M to $0Mar 30, 2022 to Mar 28, 2023
- RAUM · 25000000.0 to unsetMar 30, 2022 to Mar 28, 2023
- Assets in custody · $51.0M to $25.0MOct 14, 2021 to Mar 30, 2022
- Employees · 20 to 22Oct 14, 2021 to Mar 30, 2022
- Discretionary RAUM · $51.0M to $25.0MOct 14, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $51.0M to $25.0MOct 14, 2021 to Mar 30, 2022
- RAUM · $51.0M to $25.0MOct 14, 2021 to Mar 30, 2022
- Accounts · 5 to 4Aug 6, 2020 to Mar 29, 2021
- Advisory employees · 11 to 10Aug 6, 2020 to Mar 29, 2021
- Pooled vehicle clients · 5 to 4Aug 6, 2020 to Mar 29, 2021
- Assets in custody · $50.0M to $51.0MAug 6, 2020 to Mar 29, 2021
- Employees · 11 to 20Aug 6, 2020 to Mar 29, 2021
- Discretionary RAUM · $135M to $51.0MAug 6, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $135M to $51.0MAug 6, 2020 to Mar 29, 2021
- RAUM · $135M to $51.0MAug 6, 2020 to Mar 29, 2021
- HNW clients · unset to 0.0Mar 30, 2020 to Jul 23, 2020
- Individual clients · unset to 0.0Mar 30, 2020 to Jul 23, 2020
- Accounts · 0 to 5Jan 22, 2019 to Mar 30, 2020
Signals
7 dated events
- Linda Birta-Mammet (Director) appeared on Schedule A of F•• C•••••• M•••••••••Mar 7, 2024 · Control person joined · fact
- Edward Ronald Reno (Director / Treasurer) no longer on Schedule A of F•• C•••••• M••••••••• (listed 2022-03-30, absent 2023-03-28)Mar 28, 2023 · Control person left · inference
- Yu Hei Fok (Director) appeared on Schedule A of F•• C•••••• M•••••••••Mar 29, 2021 · Control person joined · fact
- Howard John Batchelor (Director) no longer on Schedule A of F•• C•••••• M••••••••• (listed 2020-08-06, absent 2021-03-29)Mar 29, 2021 · Control person left · inference
- P•••••• C••••• Lu (Director) appeared on Schedule A of F•• C•••••• M•••••••••Mar 30, 2020 · Control person joined · fact
- Mark Jeffrey Gabriel (Director) no longer on Schedule A of F•• C•••••• M••••••••• (listed 2019-01-22, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- F•• C•••••• M••••••••• filed its initial SEC registration (Form ADV)Mar 23, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- F•• C•••••• M••••••••• · Private Equityshared crd · organization
- F•• C•••••• M••••••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- FTIC•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 345 743 6830reportedpublic record, Form ADV, Mar 30, 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
- No RAUM reportedderiveda 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