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••••••• C•••••• L••
Latest filing Mar 28, 2025
First filing on the tape Apr 9, 2020 · 13 filings
SEC status approved since May 8, 2020
RAUM
$97.7M
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
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$97.7M as of Mar 28, 2025
May 6, 2021$65.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 28, 2025
May 6, 20210 then
Employees (5.A)9 as of Mar 28, 2025
May 6, 20219 then
Private funds2 as of Mar 28, 2025
May 6, 20212 then
RAUM +26% over the last fiscal year+0.5% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 28, 2025; every figure names its basis
- RAUM per advisor
- $97.7MderivedRAUM 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
- $48.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 9.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $97.7M, 2 clientsreportedItem 9.A
- 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
- Pooled investment vehicles$97.7M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $97.7M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F••••••• C•••••• P••••••• F••• 2• L••• | Venture Capital Fund | $47.6M | 43 | Sep 10, 2020 |
| F••••••• C•••••• P••••••• F••• I• F••• | Venture Capital Fund | $29.6M | 44 | Sep 10, 2020 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• E•••• M••••• · Managing Partnercontrolsince 06/2017 · owns 50% to 75%
- G••••••••• B••••• I•• · Chief Compliance Officer, Chief Financial Officercontrolsince 06/2017 · owns less than 5%
- K•••• I••••• · Chief Science Officersince 04/2019 · owns 10% to 25%
Related persons
Schedule D 7.A
- B•••• I•• G•••••••• C•• P•insurancen
- F•• C••••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $77.8M to $97.7MMar 29, 2024 to Mar 28, 2025
- Employees · 11 to 9Mar 29, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $77.8M to $97.7MMar 29, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $77.8M to $97.7MMar 29, 2024 to Mar 28, 2025
- RAUM · $77.8M to $97.7MMar 29, 2024 to Mar 28, 2025
- Assets in custody · $82.0M to $77.8MOct 5, 2023 to Mar 29, 2024
- Employees · 12 to 11Oct 5, 2023 to Mar 29, 2024
- Other offices · 1 to 0Oct 5, 2023 to Mar 29, 2024
- Discretionary RAUM · $82.0M to $77.8MOct 5, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $82.0M to $77.8MOct 5, 2023 to Mar 29, 2024
- RAUM · $82.0M to $77.8MOct 5, 2023 to Mar 29, 2024
- Accounts · 4 to 2Jan 26, 2023 to Mar 31, 2023
- Assets in custody · $82.2M to $82.0MJan 26, 2023 to Mar 31, 2023
- Insurance-licensed employees · 0 to 1Jan 26, 2023 to Mar 31, 2023
- Other offices · 2 to 1Jan 26, 2023 to Mar 31, 2023
- Discretionary RAUM · $82.2M to $82.0MJan 26, 2023 to Mar 31, 2023
- Non-discretionary RAUM · $5.8M to $0Jan 26, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $82.2M to $82.0MJan 26, 2023 to Mar 31, 2023
- RAUM · $88.0M to $82.0MJan 26, 2023 to Mar 31, 2023
- Assets in custody · $86.7M to $82.2MDec 4, 2022 to Dec 21, 2022
- State-registered IARs · 0 to 1Dec 4, 2022 to Dec 21, 2022
- Other offices · 1 to 2Dec 4, 2022 to Dec 21, 2022
- Discretionary RAUM · $80.9M to $82.2MDec 4, 2022 to Dec 21, 2022
- Pooled vehicle RAUM · $80.9M to $82.2MDec 4, 2022 to Dec 21, 2022
- RAUM · $86.7M to $88.0MDec 4, 2022 to Dec 21, 2022
- Assets in custody · $90.4M to $86.7MMar 31, 2022 to Aug 5, 2022
- Discretionary RAUM · $90.4M to $80.9MMar 31, 2022 to Aug 5, 2022
- Pooled vehicle RAUM · $90.4M to $80.9MMar 31, 2022 to Aug 5, 2022
- RAUM · $96.2M to $86.7MMar 31, 2022 to Aug 5, 2022
- Related insurance company · false to trueMar 31, 2022 to Aug 5, 2022
- Accounts · 2 to 4May 6, 2021 to Mar 31, 2022
- Advisory employees · 5 to 6May 6, 2021 to Mar 31, 2022
- Assets in custody · $25.0M to $90.4MMay 6, 2021 to Mar 31, 2022
- Employees · 9 to 12May 6, 2021 to Mar 31, 2022
- Other offices · 2 to 1May 6, 2021 to Mar 31, 2022
- Discretionary RAUM · $65.8M to $90.4MMay 6, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $0 to $5.8MMay 6, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $65.8M to $90.4MMay 6, 2021 to Mar 31, 2022
- RAUM · $65.8M to $96.2MMay 6, 2021 to Mar 31, 2022
Signals
2 dated events
- F••••••• C•••••• L•• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $97.7M)Dec 20, 2025 · Left the SEC roster · derived
- F••••••• C•••••• L•• filed its initial SEC registration (Form ADV)Apr 9, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- F••••••• C•••••• L•• · Private Equityshared crd · organization
- F••••••• C•••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- f•••••••.comreportedpublic record, Form ADV, Sep 19, 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
- 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