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•••••• S••••• A•••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Aug 13, 2020 · 11 filings
SEC status approved since Sep 11, 2020
RAUM
$229M
reported, Item 5.F
Discretionary
86%
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
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$229M as of Mar 31, 2026
Mar 30, 2021$253M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20212 then
Employees (5.A)9 as of Mar 31, 2026
Mar 30, 20218 then
Private funds4 as of Mar 31, 2026
Mar 30, 20213 then
RAUM -5.0% over the last fiscal year+2.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $57.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 100%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
- -5.0%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 assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $229M, 4 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$229M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 4reported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $229M for 4 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N•• Y••• C••• A••••••••• F•••• L•• | Other Private Fund | $99.0M | 2 | Aug 13, 2020 |
| N••••••••• I••••••••• I••••• F•••• I••• | Other Private Fund | $63.9M | 0 | Aug 13, 2020 |
| N•• G••••••••• F•••• L•• | Other Private Fund | $12.9M | 1 | Aug 13, 2020 |
| N•• Y••• C••• D••• P•••••• A••••••••• F••• L•• | Other Private Fund | $3.3M | 2 | Mar 31, 2022 |
Owners and control persons
Schedule A and B, latest filing
- L••••• C••••••• S•••••••• · Chairman / Ccocontrolsince 08/2009 · owns 75% or more
- S••••••• E•••••• N•• · Chief Operating Officer / Partnersince 08/2020 · owns 5% to 10%
Related persons
Schedule D 7.A
- F•••••• S••••• A••••••• L••investment advisery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5 to 4May 15, 2025 to Mar 31, 2026
- Charity clients · 5 to 4May 15, 2025 to Mar 31, 2026
- Assets in custody · $241M to $229MMay 15, 2025 to Mar 31, 2026
- Private funds · 5 to 4May 15, 2025 to Mar 31, 2026
- Discretionary RAUM · $211M to $197MMay 15, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $30.4M to $31.7MMay 15, 2025 to Mar 31, 2026
- RAUM · $241M to $229MMay 15, 2025 to Mar 31, 2026
- Financial planning clients · unset to Apr 1, 2025 to May 15, 2025
- Accounts · 4 to 5Mar 29, 2024 to Apr 1, 2025
- Advisory employees · 2 to 3Mar 29, 2024 to Apr 1, 2025
- Charity clients · 4 to 5Mar 29, 2024 to Apr 1, 2025
- Assets in custody · $179M to $241MMar 29, 2024 to Apr 1, 2025
- Employees · 8 to 9Mar 29, 2024 to Apr 1, 2025
- State-registered IARs · 2 to 0Mar 29, 2024 to Apr 1, 2025
- Private funds · 4 to 5Mar 29, 2024 to Apr 1, 2025
- Discretionary RAUM · $144M to $211MMar 29, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $35.0M to $30.4MMar 29, 2024 to Apr 1, 2025
- RAUM · $179M to $241MMar 29, 2024 to Apr 1, 2025
- Assets in custody · $212M to $179MMar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $175M to $144MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $37.0M to $35.0MMar 31, 2023 to Mar 29, 2024
- RAUM · $212M to $179MMar 31, 2023 to Mar 29, 2024
- Assets in custody · $208M to $212MSep 20, 2022 to Mar 31, 2023
- Discretionary RAUM · $169M to $175MSep 20, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $39.6M to $37.0MSep 20, 2022 to Mar 31, 2023
- RAUM · $208M to $212MSep 20, 2022 to Mar 31, 2023
- Accounts · 3 to 4Mar 30, 2021 to Mar 31, 2022
- Charity clients · 3 to 4Mar 30, 2021 to Mar 31, 2022
- Assets in custody · $261M to $208MMar 30, 2021 to Mar 31, 2022
- Private funds · 3 to 4Mar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $211M to $169MMar 30, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $41.8M to $39.6MMar 30, 2021 to Mar 31, 2022
- RAUM · $253M to $208MMar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $213M to $211MFeb 5, 2021 to Mar 30, 2021
- Non-discretionary RAUM · $47.4M to $41.8MFeb 5, 2021 to Mar 30, 2021
- RAUM · $261M to $253MFeb 5, 2021 to Mar 30, 2021
- Organization form · Limited Liability Partnership to Limited Liability CompanyAug 13, 2020 to Aug 20, 2020
Signals
1 dated events
- F•••••• S••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 13, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- F•••••• S••••• A•••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- forsythstreet.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-697-1640reportedpublic record, Form ADV, Mar 31, 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
- Institutional managerderiveda 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