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••••••• S•••••••• L•••
Latest filing Jun 16, 2025
First filing on the tape Dec 15, 2023 · 12 filings
SEC status approved since Jan 23, 2024
RAUM
$37.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$37.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$37.4M as of Jun 16, 2025
Apr 3, 2025$37.4M then
HNW client RAUM$2.3M as of Jun 16, 2025
Apr 3, 2025$2.3M then
State-registered IARs (5.B.3)7 as of Jun 16, 2025
Apr 3, 20257 then
Employees (5.A)8 as of Jun 16, 2025
Apr 3, 20258 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 16, 2025; every figure names its basis
- RAUM per advisor
- $5.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $136,926derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 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
- buys or sells securities as principal to or from clients (8.A.2)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$35.0M94%
- High-net-worth individuals$2.3M6.3%
- Individual clients
- 271reported
- HNW clients
- 2reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 273reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- J•• Z•••• L•• to C••••••••• W••••• P•••••••• L••Aug 19, 2025 · RIA to a newly registered adviser
- G•••••• D••• F•••••••• to C••••••••• W••••• P•••••••• L••Aug 19, 2025 · RIA to a newly registered adviser
- T••• H••• to C••••••••• W••••• P•••••••• L••Aug 19, 2025 · RIA to a newly registered adviser
- E•••• M••••••••• to C••••••••• W••••• P•••••••• L••Aug 19, 2025 · RIA to a newly registered adviser
- K•••• C••••• A••••••• to C••••••••• W••••• P•••••••• L••Aug 19, 2025 · RIA to a newly registered adviser
- J••• C•••••••• W••••• to C••••••••• W••••• P•••••••• L••Aug 19, 2025 · RIA to a newly registered adviser
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for C••••••••• W••••• P•••••••• L••Aug 19, 2025 · New York, Ny · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• S•••••• L•••• · President, Ceo, Cco, And Shareholdercontrolsince 12/2023 · owns less than 5%
- M••••• S•••••• L•••• · Shareholdercontrolsince 08/2017 · owns 50% to 75% of N••••••• F•••••••• L••
- M••••• W•••••• S• · Shareholdersince 08/2017 · owns 25% to 50% of N••••••• F•••••••• L••
- V•••••• J••• F•••••••• · Shareholdersince 04/2021 · owns 75% or more of J•• F•••••••• V•• E•• R•••••••• T••••• J•• V•• E•• T••••••
Entity owners
- T•• F•••••••• G••• I••• · Ownerdirect · owns 75% or more
- N••••••• F•••••••• L•• · Shareholderindirect · owns 25% to 50% of T•• F•••••••• G••• I•••
- V•• E•• A••••••••• C••••••••• · Shareholderindirect · owns 25% to 50% of T•• F•••••••• G••• I•••
- J•• F•••••••• V•• E•• R•••••••• T••••• J•• V•• E•• T•••••• · Shareholderindirect · owns 50% to 75% of V•• E•• A••••••••• C•••••••••
Related persons
Schedule D 7.A
- V•• E•• A••••••••• C••••investment adviseryRAUM $126B
Advisers that list F• A••••••• S•••••••• L••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Astoria, Ny | 0 | 0 | 0 | ||
| Brooklyn, Ny | 0 | 0 | 0 | ||
| Hackensack, Nj | 0 | 0 | 0 | ||
| New York, Ny | 0 | 0 | 0 | ||
| Anaheim, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · unset to 273.0Aug 1, 2024 to Apr 3, 2025
- Advisory employees · 0 to 7Aug 1, 2024 to Apr 3, 2025
- HNW clients · 0 to 2Aug 1, 2024 to Apr 3, 2025
- Individual clients · 0 to 271Aug 1, 2024 to Apr 3, 2025
- Employees · 2 to 8Aug 1, 2024 to Apr 3, 2025
- HQ city · unset to Aug 1, 2024 to Apr 3, 2025
- HQ state · unset to Aug 1, 2024 to Apr 3, 2025
- State-registered IARs · 0 to 7Aug 1, 2024 to Apr 3, 2025
- Discretionary RAUM · unset to 37380794.0Aug 1, 2024 to Apr 3, 2025
- HNW RAUM · unset to 2340650.0Aug 1, 2024 to Apr 3, 2025
- Individual RAUM · unset to 35040144.0Aug 1, 2024 to Apr 3, 2025
- Non-discretionary RAUM · unset to 0.0Aug 1, 2024 to Apr 3, 2025
- RAUM · unset to 37380794.0Aug 1, 2024 to Apr 3, 2025
- HQ city · BRIARCLIFF MANOR to unsetMay 21, 2024 to Jul 10, 2024
- HQ state · NY to unsetMay 21, 2024 to Jul 10, 2024
- Business name · T•• F•••••••• G•• to F• A••••••• S•••••••• L•••Dec 15, 2023 to Jan 18, 2024
- Financial planning clients · unset to 0Dec 15, 2023 to Jan 18, 2024
Signals
10 dated events
- F• A••••••• S•••••••• L••• no longer on the SEC adviser roster (last listed 2025-08-01, RAUM $37.4M)Sep 2, 2025 · Left the SEC roster · derived
- T••• H••• left F• A••••••• S•••••••• L••• for C••••••••• W••••• P•••••••• L•• (registered 2025-06-02)Aug 19, 2025 · Advisor changed firm · fact
- E•••• M••••••••• left F• A••••••• S•••••••• L••• for C••••••••• W••••• P•••••••• L•• (registered 2025-06-03)Aug 19, 2025 · Advisor changed firm · fact
- G•••••• D••• F•••••••• left F• A••••••• S•••••••• L••• for C••••••••• W••••• P•••••••• L•• (registered 2025-06-02)Aug 19, 2025 · Advisor changed firm · fact
- J••• C•••••••• W••••• left F• A••••••• S•••••••• L••• for C••••••••• W••••• P•••••••• L•• (registered 2025-07-29)Aug 19, 2025 · Advisor changed firm · fact
- J•• Z•••• L•• left F• A••••••• S•••••••• L••• for C••••••••• W••••• P•••••••• L•• (registered 2025-07-29)Aug 19, 2025 · Advisor changed firm · fact
- K•••• C••••• A••••••• left F• A••••••• S•••••••• L••• for C••••••••• W••••• P•••••••• L•• (registered 2025-05-22)Aug 19, 2025 · Advisor changed firm · fact
- F• A••••••• S•••••••• L•••'s advisors moved to C••••••••• W••••• P•••••••• L•• (New York, NY): 4 of 6 registered, on the same dayAug 19, 2025 · Firm absorbed (people side) · derived
- Ryan Calvin Persaud (Chief Compliance Officer) no longer on Schedule A of F• A••••••• S•••••••• L••• (listed 2024-03-18, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- T•• F•••••••• G•• filed its initial SEC registration (Form ADV)Dec 15, 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