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•••••••• C•• A•••••••• L••
Latest filing Mar 13, 2025
First filing on the tape Nov 18, 2022 · 10 filings
SEC status approved since Dec 19, 2022
RAUM
$278M
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
26
18 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
2
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$278M as of Mar 13, 2025
Mar 31, 2023$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 13, 2025
Mar 31, 20230 then
Employees (5.A)26 as of Mar 13, 2025
Mar 31, 202325 then
Private funds2 as of Mar 13, 2025
Mar 31, 20231 then
RAUM -47% over the last fiscal yearIARs 0 to 0offices 7 to 5
Practice profile
derived from the filing of Mar 13, 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
- $139MderivedRAUM 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
- unknownderived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- -47%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $278M, 2 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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$278M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $278M for 2 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F•••••••• C•• C••••• L•• | Private Equity Fund | $314M | 9 | Mar 24, 2023 |
| F•••••••• O••••••••• L•• | Private Equity Fund | $212M | 4 | Dec 23, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B•••• P••••• · Partnercontrolsince 11/2022 · owns less than 5%
- S•••••••• R•••••• N•• · Chief Financial Officercontrolsince 09/2023 · owns less than 5%
- S••••• C••••••••• D••••• · Founding Partnercontrolsince 11/2022 · owns less than 5%
- K•••• K••••••• N•• · Membercontrolsince 07/2012 · owns 75% or more of A•••••••• C•••••• P••••••• L••
- S••••• C••••••••• D••••• · Membercontrolsince 02/2023 · owns 75% or more of F•••••••• C•• G•• L••
- C••••• W•••• S• · Chief Compliance Officersince 11/2024 · owns less than 5%
Entity owners
- F•••••••• C•• M•••••••• L• · Manger / Memberdirect · owns 50% to 75%
- P••• F••• I• L•• · Memberdirect · owns 50% to 75%
- A•••••••• C•••••• H••••••• L•• · Memberindirect · owns 75% or more of P••• F•••• L••
- A•••••••• C•••••• P••••••• L•• · Memberindirect · owns 75% or more of A•••••••• C•••••• H••••••• L••
- F•••••••• C•• G•• L•• · General Partnerindirect · owns F of F•••••••• C•• M•••••••• L•
- P••• F•••• L•• · Memberindirect · owns 75% or more of P••• F••• I• L••
Related persons
Schedule D 7.A
- A•••••••• C•••••• M•••••••••investment adviserpooled vehicle sponsornRAUM $8.3B
- F•••••••• A••••••• P••••••• I•• L••investment adviserpooled vehicle sponsorn
- F•••••••• A••••••• S••• I••• L••investment adviserpooled vehicle sponsorn
- F•••••••• A••••••• S••• I•• L••investment adviserpooled vehicle sponsorn
- F•••••••• A••••••••• P••••••• I•• L••pooled vehicle sponsorn
- F•••••••• A••••••••• S••• I•• L••pooled vehicle sponsorn
- F•••••••• C•••••• P••••••• S••• I••• L••pooled vehicle sponsorn
- F•••••••• O••••••••• A•••••••• L••investment adviserpooled vehicle sponsorn
- F•••••••• O••••••••• A••••••••• L••pooled vehicle sponsorn
- M•••••• C•••••• A••••••• S••• I•• L••investment adviserpooled vehicle sponsorn
- M•••••• C•••••• A••••••• S•••• L••investment adviserpooled vehicle sponsorn
- M•••••• C•••••• P••••••• S••• I•• L••pooled vehicle sponsorn
- M•••••• C•••••• P••••••• S•••• L••pooled vehicle sponsorn
- M•••••• C•••••• P••••••• U• L••investment advisern
Offices
Schedule D 1.F, the 25 largest
- Dallas, TX2 employees
- Coconut Grove, FL1 employees
- Little Rock, AR1 employees
- London, United Kingdom1 employees
- Nashville, TN1 employees
What changed
consecutive filings, newest first
- Advisory employees · 20 to 18Nov 21, 2024 to Mar 13, 2025
- Assets in custody · $526M to $278MNov 21, 2024 to Mar 13, 2025
- Employees · 30 to 26Nov 21, 2024 to Mar 13, 2025
- Financial planning clients · 0 to 0Nov 21, 2024 to Mar 13, 2025
- Discretionary RAUM · $526M to $278MNov 21, 2024 to Mar 13, 2025
- Pooled vehicle RAUM · $526M to $278MNov 21, 2024 to Mar 13, 2025
- RAUM · $526M to $278MNov 21, 2024 to Mar 13, 2025
- Other offices · 7 to 5Mar 25, 2024 to Aug 23, 2024
- Assets in custody · $377M to $526MSep 19, 2023 to Mar 25, 2024
- Employees · 29 to 30Sep 19, 2023 to Mar 25, 2024
- Other offices · 6 to 7Sep 19, 2023 to Mar 25, 2024
- Discretionary RAUM · $377M to $526MSep 19, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $377M to $526MSep 19, 2023 to Mar 25, 2024
- RAUM · $377M to $526MSep 19, 2023 to Mar 25, 2024
- Accounts · 1 to 2Jun 23, 2023 to Sep 19, 2023
- Pooled vehicle clients · 1 to 2Jun 23, 2023 to Sep 19, 2023
- Assets in custody · $383M to $377MJun 23, 2023 to Sep 19, 2023
- Employees · 28 to 29Jun 23, 2023 to Sep 19, 2023
- Discretionary RAUM · $1.0B to $377MJun 23, 2023 to Sep 19, 2023
- Pooled vehicle RAUM · $1.0B to $377MJun 23, 2023 to Sep 19, 2023
- RAUM · $1.0B to $377MJun 23, 2023 to Sep 19, 2023
- Advisory employees · 19 to 20Mar 31, 2023 to Jun 23, 2023
- Assets in custody · $83.3M to $383MMar 31, 2023 to Jun 23, 2023
- Employees · 25 to 28Mar 31, 2023 to Jun 23, 2023
- Private funds · 1 to 2Mar 31, 2023 to Jun 23, 2023
- Accounts · 0 to 1Jan 23, 2023 to Mar 24, 2023
- Pooled vehicle clients · unset to 1.0Jan 23, 2023 to Mar 24, 2023
- Assets in custody · unset to 83333333.0Jan 23, 2023 to Mar 24, 2023
- Custody of client assets · false to trueJan 23, 2023 to Mar 24, 2023
- Employees · 21 to 25Jan 23, 2023 to Mar 24, 2023
- Other offices · 5 to 6Jan 23, 2023 to Mar 24, 2023
- Private funds · unset to 1Jan 23, 2023 to Mar 24, 2023
- Discretionary RAUM · $0 to $1.0BJan 23, 2023 to Mar 24, 2023
- Pooled vehicle RAUM · unset to 1000000000.0Jan 23, 2023 to Mar 24, 2023
- RAUM · $0 to $1.0BJan 23, 2023 to Mar 24, 2023
- Related adviser · false to trueJan 23, 2023 to Mar 24, 2023
Signals
11 dated events
- F•••••••• C•• A•••••••• L•• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $277.8M)Jan 2, 2026 · Left the SEC roster · derived
- F•••••••• C•• A•••••••• L•• reported RAUM $277.8M, down 47% from $526.2M (2024-11-21 to 2025-03-13)Mar 13, 2025 · RAUM change · derived
- M•••• I••••••• P••••••• H•••• (Chief Compliance Officer / General Counsel) no longer on Schedule A of F•••••••• C•• A•••••••• L•• (listed 2024-08-23, absent 2024-11-21)Nov 21, 2024 · Control person left · inference
- F•••••••• C•• A•••••••• L•• reported RAUM $526.2M, up 40% from $377.1M (2023-09-19 to 2024-03-25)Mar 25, 2024 · RAUM change · derived
- F•••••••• C•• A•••••••• L•• reported RAUM $377.1M, down 62% from $1.0B (2023-06-23 to 2023-09-19)Sep 19, 2023 · RAUM change · derived
- Nmn Rowena Sardelli (Chief Financial Officer) appeared on Schedule A of F•••••••• C•• A•••••••• L••Sep 19, 2023 · Control person joined · fact
- M•••••• K•••• H••••••• (Vp, Finance) no longer on Schedule A of F•••••••• C•• A•••••••• L•• (listed 2023-06-23, absent 2023-09-19)Sep 19, 2023 · Control person left · inference
- P••••• B••• (Partner) appeared on Schedule A of F•••••••• C•• A•••••••• L••Mar 24, 2023 · Control person joined · fact
- Nmn Kenneth King (Member) appeared on Schedule A of F•••••••• C•• A•••••••• L••Mar 24, 2023 · Control person joined · fact
- M•••• I••••••• P••••••• H•••• (Chief Compliance Officer / General Counsel) appeared on Schedule A of F•••••••• C•• A•••••••• L••Jan 23, 2023 · Control person joined · fact
- F•••••••• C•• A•••••••• L•• filed its initial SEC registration (Form ADV)Nov 18, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- F•••••••• C•• A•••••••• 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