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.

Former SEC-registered adviser

F••••••••• R••••••••• S•••••••

Former SEC-registered adviserWarren, New JerseyCRD 305196SEC 801-117381IAPD
Legal name F••••••••• R••••••••• S••••••• L••
Latest filing Mar 28, 2024
First filing on the tape Aug 23, 2019 · 12 filings
RAUM
n/a
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
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 28, 2024
Mar 30, 20204 then
Employees (5.A)4 as of Mar 28, 2024
Mar 30, 20204 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Mar 28, 2024; 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
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
hourly, fixed feesreportedItem 5.E
Advisory activities
pension consulting, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, hourlyreported
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
      • H••••••• J••••• · Member & Ccocontrol
        since 04/2019 · owns 25% to 50%
      • R•••• M•••• B•••• · Membercontrol
        since 04/2022 · owns 25% to 50%
      • S•••••• S••••• H••••• · Membercontrol
        since 04/2022 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Advisers that list F••••••••• R••••••••• S••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • HQ city · SHORT HILLS to WARREN
        Aug 23, 2019 to Feb 3, 2020
      Signals
      3 dated events
      • A•••• S••••• T•••••• (Managing Member) no longer on Schedule A of F••••••••• R••••••••• S••••••• (listed 2021-03-30, absent 2021-09-02)
        Sep 2, 2021 · Control person left · inference
      • D•••• F•••• (Managing Member) no longer on Schedule A of F••••••••• R••••••••• S••••••• (listed 2020-02-03, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • F••••••••• R••••••••• S••••••• filed its initial SEC registration (Form ADV)
        Aug 23, 2019 · 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