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•••••• A•••••••• L••

Former SEC-registered adviserStamford, ConnecticutCRD 324052SEC 801-128611websiteIAPD
Latest filing Mar 21, 2025
First filing on the tape Jul 21, 2023 · 11 filings
SEC status approved since Oct 5, 2023
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM: $0
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 21, 2025
Apr 2, 20241 then
Employees (5.A)1 as of Mar 21, 2025
Apr 2, 20241 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 21, 2025; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • F••••• M••••••• J••• · Chief Operations Officercontrol
    since 04/2023 · owns less than 5%
  • R••••• W•••••• F•••••• · President/Chief Executive Officercontrol
    since 04/2023 · owns less than 5%
  • H•••••••• M••••••• N••• · Managing Membercontrol
    since 11/2009 · owns 50% to 75% of P•••• L••
  • J•••• J•••••••• J••• · Managing Membercontrol
    since 11/2009 · owns 50% to 75% of P•••• L••
  • F••••••• R••••••• M••• · Finop
    since 03/2021 · owns less than 5%
  • R••••• L••••• R•••••• · Cco
    since 04/2024 · owns less than 5%
Entity owners
  • A••• F•••••• S••••••••• I••• · Member
    indirect · owns 75% or more of F••••••• I•••
  • P•••• A•• H••••••• L•• · Member
    indirect · owns 75% or more of A••• F•••••• S••••••••• I•••
  • P•••• L•• · Member
    indirect · owns 75% or more of P•••• A•• H••••••• L••
  • F••••••• I••• · Parent Company
    direct · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Miami, Fl000
Stamford, Ct · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · unset to 0.0
    Dec 9, 2024 to Mar 21, 2025
  • Financial planning clients · unset to
    Dec 9, 2024 to Mar 21, 2025
  • Discretionary RAUM · unset to 0.0
    Dec 9, 2024 to Mar 21, 2025
  • Non-discretionary RAUM · unset to 0.0
    Dec 9, 2024 to Mar 21, 2025
  • RAUM · unset to 0.0
    Dec 9, 2024 to Mar 21, 2025
  • Accounts · 0.0 to unset
    Oct 3, 2023 to Apr 2, 2024
  • Discretionary RAUM · 0.0 to unset
    Oct 3, 2023 to Apr 2, 2024
  • Non-discretionary RAUM · 0.0 to unset
    Oct 3, 2023 to Apr 2, 2024
  • RAUM · 0.0 to unset
    Oct 3, 2023 to Apr 2, 2024
  • Related broker-dealer · false to true
    Jul 31, 2023 to Aug 28, 2023
Signals
8 dated events
  • F•••••• A•••••••• L•• no longer on the SEC adviser roster (last listed 2026-07-01)
    Aug 3, 2026 · Left the SEC roster · derived
  • L•••• R•••••• R•••• left F•••••• A•••••••• L•• for B••••• G••••• A•••• M••••••••• (registered 2025-04-14)
    Apr 5, 2025 · Advisor changed firm · fact
  • Jane Jennifer Just (Managing Member) appeared on Schedule A of F•••••• A•••••••• L••
    Dec 9, 2024 · Control person joined · fact
  • Nels M•••••• Hulsizer (Managing Member) appeared on Schedule A of F•••••• A•••••••• L••
    Nov 29, 2024 · Control person joined · fact
  • J••••• F•••• K••••••• left F•••••• A•••••••• L•• for K••••• A••••••• S•••••••• L•• (registered 2026-01-21)
    Apr 14, 2024 · Advisor changed firm · fact
  • Frank Joseph Kroleski (Chief Compliance Officer) no longer on Schedule A of F•••••• A•••••••• L•• (listed 2023-10-03, absent 2024-04-02)
    Apr 2, 2024 · Control person left · inference
  • F•••••• W••••• R•••• (Chief Executive Officer) appeared on Schedule A of F•••••• A•••••••• L••
    Aug 28, 2023 · Control person joined · fact
  • F•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
    Jul 21, 2023 · 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