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••••• C•••••• M••••••••• L••
Latest filing Mar 21, 2023
First filing on the tape Mar 1, 2023 · 6 filings
RAUM
$25.0M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$10.0M gross assets
History
6 filings and snapshots on the tape
RAUM$25.0M as of Mar 21, 2023
Mar 1, 2023$24.0M then
HNW client RAUM$0 as of Mar 21, 2023
Mar 10, 2023$0 then
State-registered IARs (5.B.3)1 as of Mar 21, 2023
Mar 1, 20231 then
Employees (5.A)1 as of Mar 21, 2023
Mar 1, 20231 then
Private funds: 1
Practice profile
derived from the filing of Mar 21, 2023; every figure names its basis
- RAUM per advisor
- $25.0MderivedRAUM 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
- $12.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.0%derivedpensions, 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
- 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 businesses and institutions, 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)
- has custody of client securities (9.A.1.b)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- the adviser acts as qualified custodian (9.D.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$24.0M96%
- Pension and profit-sharing plans$1.0M4.0%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F••••• C•••••• M••••••••• | Private Equity Fund | $10.0M | 30 | Mar 21, 2023 |
Owners and control persons
Schedule A and B, latest filing
- M•••• V••••••••• P•••• · Chief Compliance Officersince 02/2023 · owns 75% or more
Related persons
Schedule D 7.A
- M••• P•••• V•••••••••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · unset to 20000000.0Mar 10, 2023 to Mar 21, 2023
- Private funds · unset to 1Mar 10, 2023 to Mar 21, 2023
- Accounts · 1 to 2Mar 9, 2023 to Mar 10, 2023
- Advisory activities · 1 to 2Mar 9, 2023 to Mar 10, 2023
- Charity clients · unset to 0.0Mar 9, 2023 to Mar 10, 2023
- Corporate clients · unset to 0.0Mar 9, 2023 to Mar 10, 2023
- HNW clients · unset to 0.0Mar 9, 2023 to Mar 10, 2023
- Individual clients · unset to 0.0Mar 9, 2023 to Mar 10, 2023
- Pension plan clients · unset to 2.0Mar 9, 2023 to Mar 10, 2023
- Pooled vehicle clients · unset to 1.0Mar 9, 2023 to Mar 10, 2023
- HQ city · DENVER to unsetMar 9, 2023 to Mar 10, 2023
- HQ state · CO to unsetMar 9, 2023 to Mar 10, 2023
- Organization form · Limited Liability Company to CorporationMar 9, 2023 to Mar 10, 2023
- Discretionary RAUM · $24.0M to $25.0MMar 9, 2023 to Mar 10, 2023
- HNW RAUM · unset to 0.0Mar 9, 2023 to Mar 10, 2023
- Individual RAUM · unset to 0.0Mar 9, 2023 to Mar 10, 2023
- Pension RAUM · unset to 1000000.0Mar 9, 2023 to Mar 10, 2023
- Pooled vehicle RAUM · unset to 24000000.0Mar 9, 2023 to Mar 10, 2023
- RAUM · $24.0M to $25.0MMar 9, 2023 to Mar 10, 2023
- Related bank · false to trueMar 9, 2023 to Mar 10, 2023
- Individual clients · 4.0 to unsetMar 1, 2023 to Mar 7, 2023
- Organization form · Corporation to Limited Liability CompanyMar 1, 2023 to Mar 7, 2023
- Individual RAUM · 24000000.0 to unsetMar 1, 2023 to Mar 7, 2023
- Business name · F••••• C•••••• M••••••••• to F••••• C•••••• M••••••••• L••Mar 1, 2023 to Mar 1, 2023
Signals
1 dated events
- F••••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)Mar 1, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- F••••• C•••••• M••••••••• 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