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
3•• I••••••••• P•••••••• L••
Latest filing Mar 26, 2021
First filing on the tape Sep 24, 2018 · 7 filings
RAUM
$857,107
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$1.6M gross assets
History
7 filings and snapshots on the tape
RAUM$857,107 as of Mar 26, 2021
Mar 21, 2019$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2021
Mar 21, 20190 then
Employees (5.A)2 as of Mar 26, 2021
Mar 21, 20192 then
Private funds1 as of Mar 26, 2021
Mar 21, 20191 then
RAUM -18% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 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
- $857,107derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- -18%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $857,107, 1 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
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$857,107100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $857,107 for 1 clientsreported
- 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| 3•• S••••• I••••••••• F••• I• L• | Other Private Fund | $1.6M | 1 | Sep 24, 2018 |
Owners and control persons
Schedule A and B, latest filing
- F•••••••• T•••••• I••••••• · Chairman; Chief Executive Officercontrolsince 05/2018 · owns less than 5%
- F•••••••• M••••• M••••••• · President, Secretarycontrolsince 03/2004 · owns 75% or more of Forestview Ventures, LLC
- F•••••••• T•••••• I••••••• · Member, Managercontrolsince 03/2004 · owns F of Forestview Ventures, LLC
- C•••••• W•••• A•••• · Chief Compliance Officersince 09/2018 · owns less than 5%
Entity owners
- 3•• C•••••• L•• · Managing Memberdirect · owns 75% or more
- F••••••••• V•••••••• L•• · Managing Memberindirect · owns 25% to 50% of 361 Capital LLC
Related persons
Schedule D 7.A
- 361 Capital LLCinvestment adviserbankyRAUM $734M
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $827,993 to $857,107Jun 23, 2020 to Mar 26, 2021
- Discretionary RAUM · $827,993 to $857,107Jun 23, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $827,993 to $857,107Jun 23, 2020 to Mar 26, 2021
- RAUM · $827,993 to $857,107Jun 23, 2020 to Mar 26, 2021
- Assets in custody · $1.1M to $827,993Mar 30, 2020 to Jun 23, 2020
- Discretionary RAUM · $1.1M to $827,993Mar 30, 2020 to Jun 23, 2020
- Pooled vehicle RAUM · $1.1M to $827,993Mar 30, 2020 to Jun 23, 2020
- RAUM · $1.1M to $827,993Mar 30, 2020 to Jun 23, 2020
- Accounts · 0 to 1Mar 21, 2019 to Mar 30, 2020
- Pooled vehicle clients · unset to 1.0Mar 21, 2019 to Mar 30, 2020
- Assets in custody · $0 to $1.1MMar 21, 2019 to Mar 30, 2020
- Discretionary RAUM · $0 to $1.1MMar 21, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $0 to $1.1MMar 21, 2019 to Mar 30, 2020
- RAUM · $0 to $1.1MMar 21, 2019 to Mar 30, 2020
Signals
2 dated events
- Earl Thomas Cain (Trustee) no longer on Schedule A of 361 Infrastructure Partners, Llc (listed 2019-03-21, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- 361 Infrastructure Partners, Llc filed its initial SEC registration (Form ADV)Sep 24, 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.
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