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••••• M••••••••• L••
Latest filing Mar 22, 2023
First filing on the tape May 12, 2021 · 5 filings
SEC status approved since Oct 25, 2021
RAUM
$3.0M
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
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$3.0M as of Mar 22, 2023
Mar 16, 2022$100,000 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 22, 2023
Mar 16, 20220 then
Employees (5.A)5 as of Mar 22, 2023
Mar 16, 20225 then
Private funds: no history
RAUM +2860% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 22, 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
- $3.0MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2860%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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$3.0M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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=1.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• S•••••• · Chief Compliance Officercontrolsince 09/2021 · owns less than 5%
- C•••••• A••••••• K•••• · Presidentcontrolsince 05/2021 · owns less than 5%
- K••••••••• R• D•••• · Chief Operating Officercontrolsince 05/2021 · owns less than 5%
- C•••••• A••••••• K•••• · Shareholdercontrolsince 03/2021 · owns 25% to 50% of F••••• C••••••••• I•••
Entity owners
- F••••• C••••••••• I••• · Memberdirect · owns 75% or more
- D••••••••• R••••••• V•••••••• I••• · Shareholderindirect · owns 25% to 50% of F••••• C••••••••• I•••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- BD registered reps · 0 to 1Dec 5, 2022 to Mar 22, 2023
- Discretionary RAUM · $100,000 to $3.0MDec 5, 2022 to Mar 22, 2023
- RAUM · $100,000 to $3.0MDec 5, 2022 to Mar 22, 2023
- Accounts · 0 to 1Sep 24, 2021 to Mar 16, 2022
- Discretionary RAUM · $0 to $100,000Sep 24, 2021 to Mar 16, 2022
- RAUM · $0 to $100,000Sep 24, 2021 to Mar 16, 2022
Signals
3 dated events
- Sothara Chin (Chief Compliance Officer) appeared on Schedule A of F••••• M••••••••• L••Sep 24, 2021 · Control person joined · fact
- Curtis Charles Black (Chief Compliance Officer) no longer on Schedule A of F••••• M••••••••• L•• (listed 2021-05-12, absent 2021-09-24)Sep 24, 2021 · Control person left · inference
- F••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 12, 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
- 415-966-2000reportedpublic record, Form ADV, Mar 22, 2023
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