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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SEC-registered adviser
F•••• E•••• S••••••• A•••••• M••••••••• L••
Latest filing Jul 30, 2026
First filing on the tape Jun 20, 2019 · 17 filings
SEC status approved since Jul 22, 2019
RAUM
$908M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
16%
$148M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
46
40 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$908M as of Jul 30, 2026
Mar 30, 2021$1.0M then
HNW client RAUM$70.3M as of Jul 30, 2026
Mar 29, 2022$3.4M then
State-registered IARs (5.B.3)0 as of Jul 30, 2026
May 1, 20200 then
Employees (5.A)46 as of Jul 30, 2026
May 1, 202050 then
Private funds: no history
RAUM +158% over the last fiscal year+80% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 30, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- 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
- $6.4MderivedHNW RAUM over HNW clients
- Average account
- $498,975derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 34%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +158%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +56%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$234M41%
- Corporations and businesses$121M21%
- Individuals$78.0M14%
- Charitable organizations$72.9M13%
- High-net-worth individuals$70.3M12%
- Individual clients
- 204reported
- HNW clients
- 11reported
- Pension plan clients
- 848reported
- Charitable clients
- 31reported
- Accounts
- 1,819reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $908M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.16 fund_share=0.0 institutional_share=0.34 related_bd=true related_bank=true 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• J••••• M••••• · Chief Compliance Officercontrolsince 11/2020 · owns less than 5%
- D••• M•••••• · Chief Administrative Officercontrolsince 11/2020 · owns less than 5%
- M•••••• M••••• A••• · President, Chief Executive Officercontrolsince 11/2020 · owns less than 5%
- M••••••••• B••••• M•••••• · Chief Financial Officercontrolsince 11/2020 · owns less than 5%
- O•••••••• D••••• P••• · General Counselcontrolsince 11/2020 · owns less than 5%
- J••••••• D•••••• T••• I•••••• · Sole Membercontrolsince 12/2006 · owns 75% or more of V••• I•••••••• L••
- J••••••• D•••••• T••• I•••••• · Membercontrolsince 12/2010 · owns 50% to 75% of C•••••• C•••••• G••••• L•••
Entity owners
- F•••• E•••• I••••••••• M••••••••• L•• · Sole And Managing Memberdirect · owns 75% or more
- B•• C• H••••••• G• L••••• · General Partnerindirect · owns F of B•• C• H••••••• L•••
- B•• C• H••••••• L••• · Shareholderindirect · owns 50% to 75% of F•••• E•••• H•••••••• I•••
- B••••••••• C•••••• P••••••• V• L••• · Limited Partnerindirect · owns 25% to 50% of B•• C• H••••••• L•••
- B••••••••• C•••••• P••••••• V• L••• · Memberindirect · owns 50% to 75% of B•• C• H••••••• G• L•••••
- B••••••••• H••••••• I•• G• L••• · General Partnerindirect · owns F of B••••••••• H••••••• I•• L•••
- B••••••••• H••••••• I•• G• M••••••••• L•• · General Partnerindirect · owns F of B••••••••• H••••••• I•• G• L•••
- B••••••••• H••••••• I•• L••• · Managing Memberindirect · owns 50% to 75% of B•• V• L••
- B••••••••• I••• · Sole Memberindirect · owns 75% or more of B••••••••• H••••••• I•• G• M••••••••• L•• · public reporting company
- B••••••••• M••••••••• A••••••••• V• L•• · General Partnerindirect · owns F of B••••••••• C•••••• P••••••• V• L•••
- B•• V• L•• · Sole Memberindirect · owns 75% or more of B••••••••• M••••••••• A••••••••• V• L••
- C•••••• C•••••• P••••••• G••••• L••• · General Partnerindirect · owns F of C•••••• C•••••• P•••••••• L•••
- C•••••• C•••••• F•••••• L••• · Limited Partnerindirect · owns 75% or more of C•••••• C••••••• L•••
- C•••••• C•••••• G••••• L••• · General Partnerindirect · owns F of C•••••• C•••••• F•••••• L•••
- C•••••• C•••••• G••••• L••• · General Partnerindirect · owns F of C•••••• C••••••• L•••
- C•••••• C•••••• L•• · General Partnerindirect · owns F of C•••••• M••••• M••••••••• L•••
- C•••••• C•••••• L•• · General Partnerindirect · owns F of C•••••• P••••••• M••••• M••••••••• L•••
- C•••••• C•••••• L•• · General Partnerindirect · owns F of C•••••• I• M••••••••• L•••
- C•••••• C•••••• P•••••••• L••• · Limited Partnerindirect · owns 75% or more of C•••••• M••••• M••••••••• L•••
- C•••••• C•••••• P•••••••• L••• · Limited Partnerindirect · owns 75% or more of C•••••• I• M••••••••• L•••
Related persons
Schedule D 7.A
- B••••••••• L••••• C••••• A••••••• I• L••investment adviserbankpooled vehicle sponsornRAUM $52B
- B••••••••• M••••••••• P••••••• L•••••investment adviserbankyRAUM $146B
- C•••••• A••••••• L••broker-dealern
- C•••••• I••••••••• L•••investment advisery
- C•••••• P••••••• M••••• M••••••••• L•••investment adviserpooled vehicle sponsorn
- F•• D••••••••• L••broker-dealern
- F•••• E•••• A••••••••• C••••• E• M••• L••n
- F•••• E•••• A••••••••• C••••• E•• L••investment advisern
- F•••• E•••• A••••••••• C•••••• L••investment adviserbanknRAUM $13B
- F•••• E•••• C•• E••••• F••• G•• L••investment advisern
- F•••• E•••• D••••• L•••••• F••• I• G• L••pooled vehicle sponsorn
- F•••• E•••• D••••• L•••••• F••• I•• ••••••• G•• L••investment advisern
- F•••• E•••• D••••• L•••••• M•••••• I••• L••investment advisern
- F•••• E•••• F••• G•• L••investment adviserpooled vehicle sponsorn
- F•••• E•••• I••••••••• M••••••••• L••investment adviserbankpooled vehicle sponsoryRAUM $136B
- L• B•••••• R•••••• G• L••investment adviserpooled vehicle sponsorn
- N••••• P••• A•• I••••• F••• G• H••••••• L••investment adviserpooled vehicle sponsorn
- N••••• P••• A•• I••••• F••• G• L•investment adviserpooled vehicle sponsorn
- N••••• P••• D••• V•••• F••• I• G• L••investment adviserpooled vehicle sponsorn
- N••••• P••• D••• V•••• F••• I•• G• L••investment adviserpooled vehicle sponsorn
- N••••• P••• Global Capital (US) LPinvestment adviserbanknRAUM $15B
- N••••• P••• G••••• C•••••• D••••••• L••pooled vehicle sponsorn
- N••••• P••• G••••• C•••••• G•••investment advisern
- N••••• P••• G••••• C•••••• L••investment adviserbanknRAUM $9.2B
- N••••• P••• M••••••••• F••• I• G• L••investment adviserpooled vehicle sponsorn
- N••••• P••• M••• G• L••investment adviserpooled vehicle sponsorn
- N••••• P••• R•••••• I••••••••• I•• G• L••investment adviserpooled vehicle sponsorn
- N••••• P••• S••••• F••• G• H••••••• L••investment adviserpooled vehicle sponsorn
- N••••• P••• S••••• F••• G• L•investment adviserpooled vehicle sponsorn
- N••••• P••• S•••••••• C•• F••• G• H••••••• L••investment adviserpooled vehicle sponsorn
Advisers that list F•••• E•••• S••••••• A•••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Campbell, CA1 employees
- , 1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- a•••••• count surgeChange between filings · filing Mar 27, 2026accounts (Item 5.F.2.f) moved from 966.0 to 1,819.0 (+88.0%) between the annual amendments of 2025-03-27 and 2026-03-27; the peer median change was +6.0% (24 comparable advisers, 91.0th percentile of changes)peers: other advisers, $500M to $1B (24) · 91% percentile
- client count surgeChange between filings · filing Mar 27, 2026individual and HNW clients (Item 5.D) moved from 138.0 to 215.0 (+56.0%) between the annual amendments of 2025-03-27 and 2026-03-27; the peer median change was +2.0% (13 comparable advisers, 100.0th percentile of changes)peers: other advisers, $500M to $1B (13) · 100% percentile
- RAUM up 50 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $352,220,592 to $907,634,669 (+158.0%) between the annual amendments of 2025-03-27 and 2026-03-27; the peer median change was +12.0% (87 comparable advisers, 94.0th percentile of changes)peers: other advisers, $500M to $1B (87) · 94% percentile
What changed
consecutive filings, newest first
- Accounts · 966 to 1,819Sep 15, 2025 to Mar 27, 2026
- Advisory employees · 38 to 40Sep 15, 2025 to Mar 27, 2026
- Advisory activities · 2 to 3Sep 15, 2025 to Mar 27, 2026
- Charity clients · 17 to 31Sep 15, 2025 to Mar 27, 2026
- Corporate clients · 51 to 103Sep 15, 2025 to Mar 27, 2026
- HNW clients · 4 to 11Sep 15, 2025 to Mar 27, 2026
- Individual clients · 134 to 204Sep 15, 2025 to Mar 27, 2026
- Pension plan clients · 382 to 848Sep 15, 2025 to Mar 27, 2026
- Employees · 49 to 46Sep 15, 2025 to Mar 27, 2026
- Discretionary RAUM · $352M to $908MSep 15, 2025 to Mar 27, 2026
- HNW RAUM · $18.4M to $70.3MSep 15, 2025 to Mar 27, 2026
- Individual RAUM · $33.6M to $78.0MSep 15, 2025 to Mar 27, 2026
- Pension RAUM · $83.6M to $234MSep 15, 2025 to Mar 27, 2026
- RAUM · $352M to $908MSep 15, 2025 to Mar 27, 2026
- Wrap assets (manager) · $352M to $908MSep 15, 2025 to Mar 27, 2026
- Accounts · 791 to 966Dec 4, 2024 to Mar 27, 2025
- Advisory employees · 35 to 38Dec 4, 2024 to Mar 27, 2025
- Corporate clients · 57 to 51Dec 4, 2024 to Mar 27, 2025
- HNW clients · 3 to 4Dec 4, 2024 to Mar 27, 2025
- Individual clients · 120 to 134Dec 4, 2024 to Mar 27, 2025
- Pension plan clients · 267 to 382Dec 4, 2024 to Mar 27, 2025
- Employees · 46 to 49Dec 4, 2024 to Mar 27, 2025
- Financial planning clients · unset to Dec 4, 2024 to Mar 27, 2025
- Other offices · 2 to 4Dec 4, 2024 to Mar 27, 2025
- Discretionary RAUM · $261M to $352MDec 4, 2024 to Mar 27, 2025
- HNW RAUM · $5.7M to $18.4MDec 4, 2024 to Mar 27, 2025
- Individual RAUM · $26.7M to $33.6MDec 4, 2024 to Mar 27, 2025
- Pension RAUM · $63.2M to $83.6MDec 4, 2024 to Mar 27, 2025
- RAUM · $261M to $352MDec 4, 2024 to Mar 27, 2025
- Wrap assets (manager) · $261M to $352MDec 4, 2024 to Mar 27, 2025
- Accounts · 507 to 791Mar 28, 2023 to Mar 27, 2024
- Advisory employees · 38 to 35Mar 28, 2023 to Mar 27, 2024
- Charity clients · unset to 17.0Mar 28, 2023 to Mar 27, 2024
- Corporate clients · 30 to 57Mar 28, 2023 to Mar 27, 2024
- HNW clients · 1 to 3Mar 28, 2023 to Mar 27, 2024
- Individual clients · 300 to 120Mar 28, 2023 to Mar 27, 2024
- Pension plan clients · 3 to 267Mar 28, 2023 to Mar 27, 2024
- Employees · 48 to 46Mar 28, 2023 to Mar 27, 2024
- Other offices · 1 to 2Mar 28, 2023 to Mar 27, 2024
- Discretionary RAUM · $157M to $261MMar 28, 2023 to Mar 27, 2024
Signals
9 dated events
- F•••• E•••• S••••••• A•••••• M••••••••• L•• reported RAUM $907.6M, up 158% from $352.2M (2025-09-15 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- F•••• E•••• S••••••• A•••••• M••••••••• L•• reported RAUM $261.1M, up 67% from $156.7M (2023-03-28 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- Mervyn Evan Davies (Limited Partner) no longer on Schedule A of F•••• E•••• S••••••• A•••••• M••••••••• L•• (listed 2021-03-30, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- Albert Pisano (Chief Compliance Officer) no longer on Schedule A of F•••• E•••• S••••••• A•••••• M••••••••• L•• (listed 2020-05-01, absent 2020-12-04)Dec 4, 2020 · Control person left · inference
- Asif Mehdi Mahmud (President, Chief Executive Officer) appeared on Schedule A of F•••• E•••• S••••••• A•••••• M••••••••• L••Dec 4, 2020 · Control person joined · fact
- Martin James Barling (Chief Compliance Officer) appeared on Schedule A of F•••• E•••• S••••••• A•••••• M••••••••• L••Dec 4, 2020 · Control person joined · fact
- Brian Margulies (Chief Financial Officer) appeared on Schedule A of F•••• E•••• S••••••• A•••••• M••••••••• L••Dec 4, 2020 · Control person joined · fact
- Melanie Dow (Chief Administrative Officer) appeared on Schedule A of F•••• E•••• S••••••• A•••••• M••••••••• L••Dec 4, 2020 · Control person joined · fact
- F•••• E•••• B•• A•••••• L•• filed its initial SEC registration (Form ADV)Jun 20, 2019 · ria f•••• adv filing · 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
- firsteagle.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-698-3300reportedpublic record, Form ADV, Jul 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
- Other 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