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

F••• S•••• I••••••••• L•

Former SEC-registered adviserChicago, IllinoisCRD 318195SEC 801-130816websiteIAPD
Latest filing Jul 12, 2024
First filing on the tape Jun 28, 2024 · 2 filings
SEC status approved since Aug 7, 2024
RAUM
$188M
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
14
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$397M gross assets
History
2 filings and snapshots on the tape
RAUM$188M as of Jul 12, 2024
Jun 28, 2024$188M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 12, 2024
Jun 28, 20240 then
Employees (5.A)14 as of Jul 12, 2024
Jun 28, 202414 then
Private funds1 as of Jul 12, 2024
Jun 28, 20242 then
Practice profile
derived from the filing of Jul 12, 2024; 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
$62.8MderivedRAUM 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
unknownderivedbetween 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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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
  • 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 securities (9.A.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$188M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F••• S•••• M••••• F•••• L•Hedge Fund$397M32Mar 17, 2022
      Owners and control persons
      Schedule A and B, latest filing
      • S••••• J•••••• F•••••• · Founder, Chief Investment Officer, M••••••• Partnercontrol
        since 10/2020 · owns less than 5%
      • S•••••••• S•••• J•••• · Chief Compliance Officer, Chief Operations Officercontrol
        since 10/2020 · owns less than 5%
      • S••••• J•••••• F•••••• · Trustee Of J••••• F• S•••• R•••••••• T••••control
        since 11/2001 · owns F of J••••• F• S•••• R•••••••• T••••
      Entity owners
      • F••• S•••• I••••••••• L•• · General Partner
        direct · owns less than 5%
      • J••••• F• S•••• R•••••••• T•••• · Limited Partner
        direct · owns 75% or more
      • J••••• F• S•••• R•••••••• T•••• · M••••••• M•••••
        indirect · owns 75% or more of F••• S•••• I••••••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY4 employees
      What changed
      consecutive filings, newest first
      • Private funds · 2 to 1
        Jun 28, 2024 to Jul 12, 2024
      Signals
      2 dated events
      • F••• S•••• I••••••••• L• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $188.4M)
        Feb 3, 2025 · Left the SEC roster · derived
      • F••• S•••• I••••••••• L• filed its initial SEC registration (Form ADV)
        Jun 28, 2024 · 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