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•••••••• I••••••••• S••••••• L••••••
Latest filing Jun 29, 2026
First filing on the tape Dec 14, 2021 · 7 filings
SEC status approved since Nov 2, 2023
RAUM
$25B
reported, Item 5.F
Discretionary
97%
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
12
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$25B as of Jun 29, 2026
Jun 27, 2024$49B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 29, 2026
Jun 27, 20240 then
Employees (5.A)12 as of Jun 29, 2026
Jun 27, 202412 then
Private funds1 as of Jun 29, 2026
Jun 27, 20251 then
RAUM -49% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 29, 2026; 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
- $1.9BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%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 vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $617M, 3 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 discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$24B100%
- Investment companies$86.6M0.4%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 13reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $617M for 3 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F•••••••• L••••••••• M••••• F•••no longer reported | Hedge Fund | $7.0M | 3 | Dec 9, 2020 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• T••• R••••• · Director - Head Of Front Office Operationscontrolsince 07/2014 · owns less than 5%
- H••••••• M•••••••• I••••• A•••• · Directorcontrolsince 07/2014 · owns less than 5%
- J•••••• S••••••• · Chief Compliance Officercontrolsince 09/2022 · owns less than 5%
- S••••• T••••••• C•••••• · Director - Chief Executive Officercontrolsince 07/2014 · owns less than 5%
- W•••• G•••••••• V••••• B••• · Directorcontrolsince 06/2019 · owns less than 5%
- L•••••••• M•••• A••••• S•••••• · Shareholdersince 07/2014 · owns 5% to 10%
- R•••••• J•••••• J••• · Shareholdersince 07/2014 · owns 10% to 25%
Entity owners
- E••••• W••••• L•••••• · Shareholderdirect · owns 75% or more
- T•• E••••• W••••• F••••••••• · Shareholderindirect · owns 75% or more of E••••• W••••• L••••••
Related persons
Schedule D 7.A
- F•••••••• E••••• F••• ••• L••investment adviserpooled vehicle sponsorn
- F•••••••• P••••••• U••• L••investment adviserpooled vehicle sponsorn
- F••••••••• L••investment advisernRAUM $19B
Advisers that list F•••••••• I••••••••• S••••••• L•••••• as a related person
- 160365 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Pooled vehicle clients · 12 to 11Apr 22, 2026 to Jun 29, 2026
- Assets in custody · $1.4B to $617MApr 22, 2026 to Jun 29, 2026
- Discretionary RAUM · $37B to $24BApr 22, 2026 to Jun 29, 2026
- Non-discretionary RAUM · $2.6B to $763MApr 22, 2026 to Jun 29, 2026
- Pooled vehicle RAUM · $40B to $24BApr 22, 2026 to Jun 29, 2026
- RAUM · $40B to $25BApr 22, 2026 to Jun 29, 2026
- HQ city · BLACK RIVER to BEAUX SONGESJun 27, 2025 to Apr 22, 2026
- Accounts · 14 to 13Jun 27, 2024 to Jun 27, 2025
- Pooled vehicle clients · 13 to 12Jun 27, 2024 to Jun 27, 2025
- Assets in custody · $1.3B to $1.4BJun 27, 2024 to Jun 27, 2025
- Financial planning clients · unset to Jun 27, 2024 to Jun 27, 2025
- HQ state · unset to Jun 27, 2024 to Jun 27, 2025
- Private funds · unset to 1Jun 27, 2024 to Jun 27, 2025
- Discretionary RAUM · $45B to $37BJun 27, 2024 to Jun 27, 2025
- Non-discretionary RAUM · $3.2B to $2.6BJun 27, 2024 to Jun 27, 2025
- Pooled vehicle RAUM · $48B to $40BJun 27, 2024 to Jun 27, 2025
- RAUM · $49B to $40BJun 27, 2024 to Jun 27, 2025
- Accounts · 10 to 14Oct 23, 2023 to Jun 27, 2024
- Advisory activities · 1 to 2Oct 23, 2023 to Jun 27, 2024
- Pooled vehicle clients · 10 to 13Oct 23, 2023 to Jun 27, 2024
- Assets in custody · $1.4B to $1.3BOct 23, 2023 to Jun 27, 2024
- Organization form · Other (specify) to CorporationOct 23, 2023 to Jun 27, 2024
- Discretionary RAUM · $39B to $45BOct 23, 2023 to Jun 27, 2024
- Non-discretionary RAUM · $3.1B to $3.2BOct 23, 2023 to Jun 27, 2024
- Pooled vehicle RAUM · $43B to $48BOct 23, 2023 to Jun 27, 2024
- RAUM · $43B to $49BOct 23, 2023 to Jun 27, 2024
- Accounts · 11 to 10Dec 17, 2021 to Oct 23, 2023
- Advisory activities · 3 to 1Dec 17, 2021 to Oct 23, 2023
- Assets in custody · $9.5B to $1.4BDec 17, 2021 to Oct 23, 2023
- Private funds · 1 to unsetDec 17, 2021 to Oct 23, 2023
- Discretionary RAUM · $12B to $39BDec 17, 2021 to Oct 23, 2023
- Non-discretionary RAUM · $0 to $3.1BDec 17, 2021 to Oct 23, 2023
- Pooled vehicle RAUM · $12B to $43BDec 17, 2021 to Oct 23, 2023
- RAUM · $12B to $43BDec 17, 2021 to Oct 23, 2023
- Private funds · 2 to 1Dec 14, 2021 to Dec 17, 2021
Signals
6 dated events
- F•••••••• I••••••••• S••••••• L•••••• reported RAUM $24.6B, down 39% from $40.0B (2026-04-22 to 2026-06-29)Jun 29, 2026 · RAUM change · derived
- F•••••••• I••••••••• S••••••• L•••••• reported RAUM $42.5B, up 244% from $12.4B (2021-12-17 to 2023-10-23)Oct 23, 2023 · RAUM change · derived
- S••••••• J••••• (Chief Compliance Officer) appeared on Schedule A of F•••••••• I••••••••• S••••••• L••••••Oct 23, 2023 · Control person joined · fact
- A•••• C••••••• (Chief Compliance Officer And Mauritius Compliance Officer) no longer on Schedule A of F•••••••• I••••••••• S••••••• L•••••• (listed 2021-12-17, absent 2023-10-23)Oct 23, 2023 · Control person left · inference
- A•••• C••••••• (Chief Compliance Officer And Mauritius Compliance Officer) appeared on Schedule A of F•••••••• I••••••••• S••••••• L••••••Dec 17, 2021 · Control person joined · fact
- F•••••••• I••••••••• S••••••• L•••••• filed its initial SEC registration (Form ADV)Dec 14, 2021 · 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
- Principal office phone
- 00 230 483 3015reportedpublic record, Form ADV, Jun 29, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026