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•• S••
Legal name F••• A••••• M••••••• S••
Latest filing Dec 15, 2023
First filing on the tape Dec 15, 2023 · 1 filings
RAUM
$5.3B
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
78
54 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
25
$2.2B gross assets
History
1 filings and snapshots on the tape
RAUM: $5.3B
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 78
Private funds: 25
Practice profile
derived from the filing of Dec 15, 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
- $79.0MderivedRAUM 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
- 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 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$5.3B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 67reported
- 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
25 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F••• A••••• S•••••••• O••••••••• V• F••• | Private Equity Fund | $410M | 103 | Dec 15, 2023 |
| F••• A••••• P•••••••• I••••••••• I•• | Private Equity Fund | $374M | 54 | Dec 15, 2023 |
| F••• A••••• P•••••••• I••••••••• I• | Private Equity Fund | $177M | 35 | Dec 15, 2023 |
| F••• A••••• W•••••• C•••••••• | Private Equity Fund | $177M | 128 | Dec 15, 2023 |
| F••• A••••• S•••••••• O••••••••• I• | Private Equity Fund | $173M | 61 | Dec 15, 2023 |
| A••••• M•••• M•••••• | Other Private Fund | $170M | 324 | Dec 15, 2023 |
| F••• A••••• W•••••• C••••••••• F••• | Private Equity Fund | $132M | 7 | Dec 15, 2023 |
| F••• A••••• P•••••••• I••••••••• I• | Private Equity Fund | $128M | 64 | Dec 15, 2023 |
| F••• A••••• P•••••• E••••• P•••••••• I• | Private Equity Fund | $118M | 368 | Dec 15, 2023 |
| F••• A••••• G••••• C•••••• I• | Private Equity Fund | $78.2M | 27 | Dec 15, 2023 |
| F••• A••••• D••• P••••••• I•• | Other Private Fund | $48.0M | 5 | Dec 15, 2023 |
| F••• I• A•• A••••• C••••••••• F••• | Private Equity Fund | $38.4M | 171 | Dec 15, 2023 |
| F••• A••••• S•••••••• O••••••••• I•• | Private Equity Fund | $38.3M | 68 | Dec 15, 2023 |
| F••• A••••• C••••••••• I• | Private Equity Fund | $30.7M | 89 | Dec 15, 2023 |
| F••• A••••• C••••••••• I•• | Private Equity Fund | $27.3M | 93 | Dec 15, 2023 |
| F••• A••••• P•••••••• I••••••••• I• H• | Private Equity Fund | $21.6M | 5 | Dec 15, 2023 |
| F••• A••••• S••••••••• I••••••••• | Private Equity Fund | $16.3M | 29 | Dec 15, 2023 |
| F••• A••••• G••••• C•••••• I• B• | Private Equity Fund | $15.8M | 46 | Dec 15, 2023 |
| F••• A••••• S•••••• C•••••••• | Private Equity Fund | $14.2M | 33 | Dec 15, 2023 |
| F••• A••••• P•••••• E••••• P•••••••• I•• | Private Equity Fund | $13.5M | 390 | Dec 15, 2023 |
| F••• A••••• G••••• T••••••••• S•• | Private Equity Fund | $11.2M | 81 | Dec 15, 2023 |
| F••• A••••• P•••••••• I••••••••• I• C••••••••• F••• | Private Equity Fund | $5.3M | 52 | Dec 15, 2023 |
| F••• A••••• P•••••••• I••••••••• I• B• | Private Equity Fund | $1.8M | 35 | Dec 15, 2023 |
| F••• A••••• S•••••••• O••••••••• V• | Private Equity Fund | $331,168 | 120 | Dec 15, 2023 |
| F••• A••••• D••• P••••••• I• S•• | Other Private Fund | $0 | 0 | Dec 15, 2023 |
Owners and control persons
Schedule A and B, latest filing
- K•••••••• M••••••• · Deputy Chief Executive Officercontrolsince 11/2011 · owns less than 5%
- R•••• E••••••• · Chief Executive Officercontrolsince 11/2013 · owns less than 5%
- L••••••• L••••••• · Chief Compliance Officersince 09/2017 · owns less than 5%
- M•••••• S•••••• · Board Membersince 12/2019 · owns less than 5%
- V••••• E•••••• · Board Membersince 12/2021 · owns less than 5%
Entity owners
- R••••••••• • C• I••••••••• M••••••• · Shareholderdirect · owns 75% or more
- K• D••••••••• · Ownerindirect · owns F of R••••••••• • C• I••••••••• M•••••••
- R••••••••• • C• S•• · Ownerindirect · owns 75% or more of K• D•••••••••
Related persons
Schedule D 7.A
- E••••••• I• G• S•••pooled vehicle sponsorn
- F••• A••••• M••••••• •••• L••investment advisernRAUM $994M
- F••• A••••• M••••••• G•pooled vehicle sponsorn
- F••• A••••• M••••••• L••investment advisern
- F••• A••••• M••••••• N•••• A•••••• L••investment advisernRAUM $3.4B
- F••• A••••• M••••••• S•••pooled vehicle sponsorn
- N• M• R••••••••• • S••• L••••••investment advisern
- R••••••••• & Co Global Markets Solutions L••••••investment advisern
- R••••••••• • C• U• I•••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
- F•• S•• filed its initial SEC registration (Form ADV)Dec 15, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- F•• S•• · 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