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••••••••• E••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 330555SEC 801-130742websiteIAPD
Latest filing Jun 25, 2024
First filing on the tape Jun 25, 2024 · 1 filings
SEC status approved since Jul 29, 2024
RAUM
$123M
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
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$123M gross assets
History
1 filings and snapshots on the tape
RAUM: $123M
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 5
Private funds: 2
Practice profile
derived from the filing of Jun 25, 2024; 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
$61.4MderivedRAUM 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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$70.1M, 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$123M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$70.1M 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
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H• C••••• I••••••••• L••Other Private Fund$70.0M5Jun 25, 2024
      H• E••••• I••••••••• L••Private Equity Fund$52.8M5Jun 25, 2024
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• B•••••••• E•• · Managing Partner / Limited Partnercontrol
        since 11/2020 · owns 75% or more
      • B••••• B•••••••• E•• · Membercontrol
        since 05/2024 · owns 25% to 50% of F••••••••• E••••••••• S••••••••• L••
      • R•••• M•••• A••••• · Trusteecontrol
        since 05/2024 · owns F of B•• T••••
      • B••••• B••••••• B•••• · Vice President Of Finance
        since 09/2022 · owns less than 5%
      • C••••••• C••••• J••••• · Chief Compliance Officer
        since 01/2024 · owns less than 5%
      Entity owners
      • F••••••••• E••••••••• H••••••• L•• · Limited Partner
        direct · owns less than 5%
      • F••••••••• M• L• · General Partner
        direct · owns less than 5%
      • B•• T•••• · Member
        indirect · owns 25% to 50% of F••••••••• E••••••••• S••••••••• L••
      • F••••••••• E••••••••• S••••••••• L•• · Member
        indirect · owns 75% or more of F••••••••• E••••••••• H••••••• L••
      Related persons
      Schedule D 7.A
      No related person reported.
      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
      2 dated events
      • F••••••••• E••••••••• L• no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $122.8M)
        Mar 6, 2025 · Left the SEC roster · derived
      • F••••••••• E••••••••• L• filed its initial SEC registration (Form ADV)
        Jun 25, 2024 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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