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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Former SEC-registered adviser

F••• M••••••••• A• E••••• N•• 1• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 311877SEC 801-121289IAPD
Latest filing Mar 31, 2023
First filing on the tape Dec 1, 2020 · 7 filings
RAUM
$449M
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
33
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$449M as of Mar 31, 2023
Mar 31, 2022$282M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 31, 20220 then
Employees (5.A)33 as of Mar 31, 2023
Mar 31, 202243 then
Private funds: no history
RAUM +59% over the last fiscal yearIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Mar 31, 2023; 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
$224MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+59%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 investment companiesreportedItem 5.G
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
  • 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$449M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • G••••••• J•••••••• L••• · Chief Executive Officercontrol
        since 11/2020 · owns less than 5%
      • K••••••• S•••••• A•• · Chief Financial Officercontrol
        since 05/2021 · owns less than 5%
      • R•••• F••••••• R••• · Head Of Legal Etfs And Chief Compliance Officercontrol
        since 03/2023 · owns less than 5%
      • S••••••••• N•••• N•• · General Counselcontrol
        since 05/2021 · owns less than 5%
      • S••••• D••••• P•••• · Chief Operating Officercontrol
        since 11/2020 · owns less than 5%
      • J••••• C••••••••• M•••••• · Limited Partnercontrol
        since 11/2020 · owns 75% or more of E••••• N•• 1• L•
      Entity owners
      • E••••• N•• 1• L•• · Managing Member
        direct · owns 75% or more
      • E••••• N•• 1• G• L•• · General Partner
        indirect · owns F of E••••• N•• 1• L•
      • E••••• N•• 1• L• · Managing Member
        indirect · owns 75% or more of E••••• N•• 1• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY10 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 10 to 11
        Apr 29, 2022 to Mar 31, 2023
      • BD registered reps · 0 to 4
        Apr 29, 2022 to Mar 31, 2023
      • Employees · 43 to 33
        Apr 29, 2022 to Mar 31, 2023
      • Other offices · 0 to 1
        Apr 29, 2022 to Mar 31, 2023
      • Discretionary RAUM · $282M to $449M
        Apr 29, 2022 to Mar 31, 2023
      • RAUM · $282M to $449M
        Apr 29, 2022 to Mar 31, 2023
      • Accounts · 1 to 2
        Sep 17, 2021 to Mar 31, 2022
      • Advisory employees · 3 to 10
        Sep 17, 2021 to Mar 31, 2022
      • Employees · 15 to 43
        Sep 17, 2021 to Mar 31, 2022
      • Discretionary RAUM · $191M to $282M
        Sep 17, 2021 to Mar 31, 2022
      • RAUM · $191M to $282M
        Sep 17, 2021 to Mar 31, 2022
      • Accounts · unset to 1.0
        Jun 10, 2021 to Sep 17, 2021
      • Employees · 10 to 15
        Jun 10, 2021 to Sep 17, 2021
      • Discretionary RAUM · unset to 190514863.0
        Jun 10, 2021 to Sep 17, 2021
      • Non-discretionary RAUM · unset to 0.0
        Jun 10, 2021 to Sep 17, 2021
      • RAUM · unset to 190514863.0
        Jun 10, 2021 to Sep 17, 2021
      • Employees · 5 to 10
        Apr 22, 2021 to Jun 10, 2021
      • Advisory employees · 5 to 3
        Dec 1, 2020 to Apr 22, 2021
      • Business name · F••• M••••••••• A• E••••• N••••• 1• L•• to F••• M••••••••• A• E••••• N•• 1• L••
        Dec 1, 2020 to Apr 22, 2021
      • Legal name · F••• M••••••••• A• E••••• N••••• 1• L•• to F••• M••••••••• A• E••••• N•• 1• L••
        Dec 1, 2020 to Apr 22, 2021
      • Related adviser · false to true
        Dec 1, 2020 to Apr 22, 2021
      • Related bank · false to true
        Dec 1, 2020 to Apr 22, 2021
      Signals
      7 dated events
      • F••• M••••••••• A• E••••• N•• 1• L•• reported RAUM $448.6M, up 59% from $281.9M (2022-04-29 to 2023-03-31)
        Mar 31, 2023 · RAUM change · derived
      • Nicki Elli Kavros (Managing Director, Operations) no longer on Schedule A of F••• M••••••••• A• E••••• N•• 1• L•• (listed 2022-04-29, absent 2023-03-31)
        Mar 31, 2023 · Control person left · inference
      • Ruby Fitzann Reid (Head Of Legal Etfs And Chief Compliance Officer) appeared on Schedule A of F••• M••••••••• A• E••••• N•• 1• L••
        Mar 31, 2023 · Control person joined · fact
      • Paine David Swift (Chief Operating Officer) appeared on Schedule A of F••• M••••••••• A• E••••• N•• 1• L••
        Jun 10, 2021 · Control person joined · fact
      • Ann Sandra Kim-Suk (Chief Financial Officer) appeared on Schedule A of F••• M••••••••• A• E••••• N•• 1• L••
        Jun 10, 2021 · Control person joined · fact
      • Nick Saint-Victor (General Counsel & Chief Compliance Officer) appeared on Schedule A of F••• M••••••••• A• E••••• N•• 1• L••
        Jun 10, 2021 · Control person joined · fact
      • F••• M••••••••• A• E••••• N••••• 1• L•• filed its initial SEC registration (Form ADV)
        Dec 1, 2020 · 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