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
5•• F••••
Legal name 1•• H•••••••• L••
Latest filing Aug 29, 2025
First filing on the tape Aug 27, 2021 · 10 filings
SEC status approved since Sep 27, 2021
RAUM
$1.4B
reported, Item 5.F
Discretionary
92%
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
17
12 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
14
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$1.4B as of Aug 29, 2025
Mar 31, 2022$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 29, 2025
Mar 31, 20220 then
Employees (5.A)17 as of Aug 29, 2025
Mar 31, 202211 then
Private funds14 as of Aug 29, 2025
Mar 31, 202211 then
RAUM +15% over the last fiscal year+0.8% a year over threeIARs 0 to 0offices 1 to 2
Practice profile
derived from the filing of Aug 29, 2025; 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
- $79.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1.2B, 14 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
- 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.4B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 17reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2B for 14 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
14 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| 1•• D•• 3•• F•••• L• | Private Equity Fund | $299M | 355 | Mar 31, 2022 |
| 1•• D•• E•••••••• F•••• L• | Private Equity Fund | $250M | 290 | Aug 27, 2021 |
| 1•• F•••• L• | Private Equity Fund | $136M | 104 | Feb 15, 2021 |
| 1•• K• H•••••••• L•• | Private Equity Fund | $92.4M | 130 | Aug 27, 2021 |
| 1•• L• H•••••••• L•• | Private Equity Fund | $68.8M | 232 | Aug 27, 2021 |
| 1•• A• H••••••• L•• | Private Equity Fund | $54.2M | 245 | Mar 31, 2023 |
| 1•• D• H•••••••• L•• | Private Equity Fund | $47.6M | 185 | Aug 27, 2021 |
| 1•• G• H•••••••• L•• | Private Equity Fund | $38.8M | 176 | Mar 31, 2022 |
| 1•• B• H•••••••• L•• | Private Equity Fund | $27.0M | 387 | Aug 27, 2021 |
| 1•• A• H••••••• L• | Private Equity Fund | $18.9M | 1 | Mar 31, 2023 |
| 1•• H• H•••••••• L•• | Private Equity Fund | $17.6M | 108 | Aug 27, 2021 |
| 1•• F••• A• L• | Private Equity Fund | $8.2M | 71 | Feb 15, 2021 |
| 1•• H• H•••••••• L•• | Private Equity Fund | $5.1M | 33 | Aug 27, 2021 |
| 1•• Q• H••••••• L•• | Private Equity Fund | $4.9M | 50 | Mar 28, 2024 |
Owners and control persons
Schedule A and B, latest filing
- D•••••••• M••••••• J••• · M••••••controlsince 09/2020 · owns 10% to 25%
- M••••••• J•••••• J• · Chief Financial Officer And Chief Compliance Officercontrolsince 07/2023 · owns less than 5%
- M••••••••• S•••• A••• · M••••••controlsince 09/2020 · owns 25% to 50%
- V••••••• E•••• N••••• · President And Partnercontrolsince 01/2023 · owns less than 5%
- T••••••• D•••••• M•••••• · Membercontrolsince 02/2003 · owns 75% or more of D••• C•••••• A•••••••• L••
- F••••••• D•••••• E•••• · M••••••since 01/2021 · owns 50% to 75% of N••••• 1••• L••
- G••••••• J•••• C•••• · M••••••since 01/2021 · owns 50% to 75% of N••••• 1••• L••
Entity owners
- D••• C•••••• A•••••••• L•• · Memberdirect · owns 75% or more
- N••••• 1••• L•• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- 1•• D•• 3•• F••• G•• L••pooled vehicle sponsorn
- 1•• F••• G•• L••pooled vehicle sponsorn
- D•• E•••••••• F••• •••••• G•• L••pooled vehicle sponsory
Advisers that list 5•• F•••• as a related person
- 326720 n
Offices
Schedule D 1.F, the 25 largest
- New York, NY7 employees
What changed
consecutive filings, newest first
- Business name · 1•• H•••••••• L•• to 5•• F••••Apr 23, 2025 to Aug 29, 2025
- Assets in custody · $1.1B to $1.2BMay 13, 2024 to Apr 23, 2025
- Financial planning clients · unset to May 13, 2024 to Apr 23, 2025
- HQ city · GREENWICH to NEW YORKMay 13, 2024 to Apr 23, 2025
- HQ state · CT to NYMay 13, 2024 to Apr 23, 2025
- Other offices · 1 to 2May 13, 2024 to Apr 23, 2025
- Discretionary RAUM · $1.1B to $1.2BMay 13, 2024 to Apr 23, 2025
- Pooled vehicle RAUM · $1.2B to $1.4BMay 13, 2024 to Apr 23, 2025
- RAUM · $1.2B to $1.4BMay 13, 2024 to Apr 23, 2025
- Accounts · 16 to 17Jul 24, 2023 to Mar 28, 2024
- Advisory employees · 10 to 12Jul 24, 2023 to Mar 28, 2024
- Pooled vehicle clients · 16 to 17Jul 24, 2023 to Mar 28, 2024
- Assets in custody · $1.1B to $1.1BJul 24, 2023 to Mar 28, 2024
- Employees · 13 to 17Jul 24, 2023 to Mar 28, 2024
- Other offices · 0 to 1Jul 24, 2023 to Mar 28, 2024
- Private funds · 13 to 14Jul 24, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.1B to $1.1BJul 24, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.2B to $1.2BJul 24, 2023 to Mar 28, 2024
- RAUM · $1.2B to $1.2BJul 24, 2023 to Mar 28, 2024
- HQ city · BOULDER to GREENWICHMar 31, 2023 to Jul 24, 2023
- HQ state · CO to CTMar 31, 2023 to Jul 24, 2023
- Accounts · 14 to 16Feb 14, 2023 to Mar 31, 2023
- Advisory employees · 8 to 10Feb 14, 2023 to Mar 31, 2023
- Pooled vehicle clients · 14 to 16Feb 14, 2023 to Mar 31, 2023
- Assets in custody · $1.2B to $1.1BFeb 14, 2023 to Mar 31, 2023
- Employees · 11 to 13Feb 14, 2023 to Mar 31, 2023
- Private funds · 11 to 13Feb 14, 2023 to Mar 31, 2023
- Discretionary RAUM · $1.2B to $1.1BFeb 14, 2023 to Mar 31, 2023
- Non-discretionary RAUM · $110M to $110MFeb 14, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $1.3B to $1.2BFeb 14, 2023 to Mar 31, 2023
- RAUM · $1.3B to $1.2BFeb 14, 2023 to Mar 31, 2023
- Accounts · 12 to 14Oct 1, 2021 to Mar 31, 2022
- Advisory employees · 9 to 8Oct 1, 2021 to Mar 31, 2022
- Pooled vehicle clients · 12 to 14Oct 1, 2021 to Mar 31, 2022
- Assets in custody · $664M to $1.2BOct 1, 2021 to Mar 31, 2022
- Private funds · 9 to 11Oct 1, 2021 to Mar 31, 2022
- Discretionary RAUM · $664M to $1.2BOct 1, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $90.7M to $110MOct 1, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $754M to $1.3BOct 1, 2021 to Mar 31, 2022
- RAUM · $754M to $1.3BOct 1, 2021 to Mar 31, 2022
Signals
6 dated events
- 5•• F•••• no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $1.4B)Feb 2, 2026 · Left the SEC roster · derived
- J. Joseph Majocha (Cfo) appeared on Schedule A of 5•• F••••Mar 31, 2023 · Control person joined · fact
- David George Dawson (Cfo) no longer on Schedule A of 5•• F•••• (listed 2023-02-14, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Nelson Eric Vincent (President, Partner, And Cco) appeared on Schedule A of 5•• F••••Feb 14, 2023 · Control person joined · fact
- 5•• F•••• reported RAUM $1.3B, up 76% from $754.3M (2021-10-01 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- 1•• H•••••••• L•• filed its initial SEC registration (Form ADV)Aug 27, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- 1•• H•••••••• L•• · Private Equityshared crd · organization
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