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••••••••• L••
Latest filing Jul 15, 2026
First filing on the tape Aug 8, 2018 · 40 filings
SEC status approved since Sep 10, 2018
RAUM
$207M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
3.6%
$7.3M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$103M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$207M as of Jul 15, 2026
Mar 28, 2019$425,000 then
HNW client RAUM$523,428 as of Jul 15, 2026
Mar 28, 2019$425,000 then
State-registered IARs (5.B.3)2 as of Jul 15, 2026
Mar 28, 20190 then
Employees (5.A)7 as of Jul 15, 2026
Mar 28, 20197 then
Private funds: no history
RAUM +116% over the last fiscal year+7.9% a year over threeIARs 1 to 2offices 0 to 1
Practice profile
derived from the filing of Jul 15, 2026; every figure names its basis
- RAUM per advisor
- $103MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 11derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $523,428derivedHNW RAUM over HNW clients
- Average account
- $5.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +116%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +24%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$193M94%
- Individuals$6.8M3.3%
- Pooled investment vehicles$3.8M1.8%
- Pension and profit-sharing plans$1.2M0.6%
- Other investment advisers$741,4770.4%
- High-net-worth individuals$523,4280.3%
- Individual clients
- 20reported
- HNW clients
- 1reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 40reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.04 fund_share=0.96 institutional_share=0.01 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••• M•••••• J•••••• | New York, Ny | Mar 12, 2025 | 17 y | 1 |
| N••• K••••••• | New York, Ny | Jul 9, 2026 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- J•••• F•••••• V•••••••• to C••••••• S••••••••• I•••Nov 29, 2022 · Other
Joined, latest
- T••• M•••••• J•••••• from T••••••••• F•••••••• A•••••••• L••Mar 12, 2025 · Other
- J•••• F•••••• V•••••••• from V•••••••• C•••••• M••••••••• L•••••Jun 8, 2022 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••••• R•••••• J•• · Chief Technology Officercontrolsince 12/2017 · owns 5% to 10%
- L••• Y•••• C••• · Chief Executive Officer, Co-Cio, Chief Compliance Officercontrolsince 12/2017 · owns less than 5%
- L•••••• G•••••• P•••• · Global Head Of Distributioncontrolsince 05/2021 · owns 5% to 10%
- S••••• D•••• T••••• · Chief Strategistcontrolsince 12/2017 · owns 10% to 25%
- V••••• S•••• · Quantitative Modeling Consultantcontrolsince 12/2017 · owns less than 5%
- L••• Y•••• C••• · Owner/Membercontrolsince 10/2002 · owns 75% or more of T•••••••• P•••••••• L••
- V••••• S•••• · Ownercontrolsince 08/2002 · owns 75% or more of I•••• I•••
- P•••••••• N•••••• S•••• · Ownersince 12/2024 · owns 5% to 10%
Entity owners
- I•••• I••• · Owner/Memberdirect · owns 10% to 25%
- T•••••••• P•••••••• L•• · Owner/Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 9, 2026RAUM (Item 5.F) moved from $95,722,574 to $206,570,792 (+116.0%) between the annual amendments of 2025-03-10 and 2026-03-09; the peer median change was +4.0% (1148 comparable advisers, 97.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 97% percentile
What changed
consecutive filings, newest first
- Advisory employees · 2 to 3Mar 9, 2026 to Jul 15, 2026
- State-registered IARs · 1 to 2Mar 9, 2026 to Jul 15, 2026
- Other offices · 0 to 1Mar 9, 2026 to Jul 15, 2026
- Accounts · 32 to 40May 9, 2025 to Mar 9, 2026
- Corporate clients · 1 to 0May 9, 2025 to Mar 9, 2026
- Pooled vehicle clients · 0 to 2May 9, 2025 to Mar 9, 2026
- Discretionary RAUM · $176M to $207MMay 9, 2025 to Mar 9, 2026
- HNW RAUM · $508,495 to $523,428May 9, 2025 to Mar 9, 2026
- Individual RAUM · $5.4M to $6.8MMay 9, 2025 to Mar 9, 2026
- Pension RAUM · $1.1M to $1.2MMay 9, 2025 to Mar 9, 2026
- Pooled vehicle RAUM · $0 to $3.8MMay 9, 2025 to Mar 9, 2026
- RAUM · $176M to $207MMay 9, 2025 to Mar 9, 2026
- Accounts · 27 to 32Mar 10, 2025 to May 9, 2025
- HNW clients · 2 to 1Mar 10, 2025 to May 9, 2025
- Individual clients · 15 to 20Mar 10, 2025 to May 9, 2025
- Financial planning clients · unset to Mar 10, 2025 to May 9, 2025
- Discretionary RAUM · $95.7M to $176MMar 10, 2025 to May 9, 2025
- HNW RAUM · $1.8M to $508,495Mar 10, 2025 to May 9, 2025
- Individual RAUM · $4.8M to $5.4MMar 10, 2025 to May 9, 2025
- Pension RAUM · $955,748 to $1.1MMar 10, 2025 to May 9, 2025
- RAUM · $95.7M to $176MMar 10, 2025 to May 9, 2025
- Accounts · 18 to 27Mar 20, 2024 to Mar 10, 2025
- Corporate clients · 0 to 1Mar 20, 2024 to Mar 10, 2025
- HNW clients · 6 to 2Mar 20, 2024 to Mar 10, 2025
- Individual clients · 0 to 15Mar 20, 2024 to Mar 10, 2025
- HQ city · unset to Mar 20, 2024 to Mar 10, 2025
- HQ state · unset to Mar 20, 2024 to Mar 10, 2025
- Discretionary RAUM · $73.4M to $95.7MMar 20, 2024 to Mar 10, 2025
- HNW RAUM · $5.6M to $1.8MMar 20, 2024 to Mar 10, 2025
- Individual RAUM · $0 to $4.8MMar 20, 2024 to Mar 10, 2025
- Pension RAUM · $688,000 to $955,748Mar 20, 2024 to Mar 10, 2025
- RAUM · $73.4M to $95.7MMar 20, 2024 to Mar 10, 2025
- Accounts · 7 to 18Sep 1, 2023 to Mar 20, 2024
- HNW clients · 2 to 6Sep 1, 2023 to Mar 20, 2024
- Pension plan clients · 0 to 1Sep 1, 2023 to Mar 20, 2024
- Discretionary RAUM · $92.5M to $73.4MSep 1, 2023 to Mar 20, 2024
- HNW RAUM · $7.5M to $5.6MSep 1, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $71.8M to $0Sep 1, 2023 to Mar 20, 2024
- Pension RAUM · $0 to $688,000Sep 1, 2023 to Mar 20, 2024
- RAUM · $164M to $73.4MSep 1, 2023 to Mar 20, 2024
Signals
6 dated events
- J•••• F•••••• V•••••••• left F••••••••• L•• for C••••••• S••••••••• I••• (registered 2022-09-28)Nov 29, 2022 · advisor firm c•••ge · fact
- Peter George Lucaci (Global Head Of Distribution) appeared on Schedule A of F••••••••• L••Nov 16, 2021 · Control person joined · fact
- Thomas Dean Smith (Chief Strategist) appeared on Schedule A of F••••••••• L••Nov 16, 2021 · Control person joined · fact
- Jon R••••• H••••••••• (Chief Technology Officer) appeared on Schedule A of F••••••••• L••Nov 16, 2021 · Control person joined · fact
- Edward David Mcclean (Chief Compliance Officer) no longer on Schedule A of F••••••••• L•• (listed 2019-12-19, absent 2020-01-30)Jan 30, 2020 · Control person left · inference
- F••••••••• L•• filed its initial SEC registration (Form ADV)Aug 8, 2018 · 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.
How to reach
public business contact points only, each with its source
- Website
- FOLIOBEYOND.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-397-7539reportedpublic record, Form ADV, Jul 15, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $103Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026