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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SEC-registered adviser
F••• E••••• P•••••••
Legal name F••• E••••• F••••• O••••• L••
Latest filing Jul 7, 2026
First filing on the tape Nov 29, 2024 · 5 filings
SEC status approved since Jan 2, 2025
RAUM
$163M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$163M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$54.2M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$163M as of Jul 7, 2026
Apr 3, 2025$0 then
HNW client RAUM$163M as of Jul 7, 2026
May 21, 2025$131M then
State-registered IARs (5.B.3)2 as of Jul 7, 2026
Apr 3, 20251 then
Employees (5.A)7 as of Jul 7, 2026
Apr 3, 20255 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 2offices 0 to 1
Practice profile
derived from the filing of Jul 7, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $54.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $32.5MderivedHNW RAUM over HNW clients
- Average account
- $4.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$163M100%
- Individual clients
- n/areported
- HNW clients
- 5reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 36reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• J• F•••••••Certified Financial Planner | New York, Ny | May 21, 2025 | 11 y | 3 |
| G•••••• A•••• C•••••••Chartered Financial Analyst | Northbrook, Il | May 23, 2025 | 17 y | 0 |
| A••••• T••••• C•••••• | Garden City, Ny | Apr 10, 2026 | 15 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- A••••• T••••• C•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 10, 2026 · Wirehouse to independent RIA
- K•••• J• F••••••• from S•••• M••• A••••••• L••May 21, 2025 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• A•••••• T••••• · Managing Member And Ceocontrolsince 08/2024 · owns 75% or more
- E••••• W•••••••• S•••• · Member And Presidentcontrolsince 11/2024 · owns 10% to 25%
- F•••••••• K••••• J• · Coo And Ccocontrolsince 11/2024 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Jul 7, 2026performance-based compensation (Item 5.E.6): no on the filing of 2026-03-31, yes on the filing of 2026-07-07peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Business name · F••• E••••• F••••• O••••• L•• to F••• E••••• P•••••••May 21, 2025 to Mar 31, 2026
- HNW clients · 4 to 5May 21, 2025 to Mar 31, 2026
- Employees · 6 to 7May 21, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 1-10May 21, 2025 to Mar 31, 2026
- Discretionary RAUM · $131M to $163MMay 21, 2025 to Mar 31, 2026
- HNW RAUM · $131M to $163MMay 21, 2025 to Mar 31, 2026
- RAUM · $131M to $163MMay 21, 2025 to Mar 31, 2026
- Accounts · 0 to 36Apr 3, 2025 to May 21, 2025
- HNW clients · unset to 4.0Apr 3, 2025 to May 21, 2025
- Employees · 5 to 6Apr 3, 2025 to May 21, 2025
- Financial planning clients · 0 to 0Apr 3, 2025 to May 21, 2025
- State-registered IARs · 1 to 2Apr 3, 2025 to May 21, 2025
- Other offices · 0 to 1Apr 3, 2025 to May 21, 2025
- Discretionary RAUM · $0 to $131MApr 3, 2025 to May 21, 2025
- HNW RAUM · unset to 131391887.0Apr 3, 2025 to May 21, 2025
- RAUM · $0 to $131MApr 3, 2025 to May 21, 2025
- Accounts · unset to 0.0Nov 29, 2024 to Apr 3, 2025
- Discretionary RAUM · unset to 0.0Nov 29, 2024 to Apr 3, 2025
- Non-discretionary RAUM · unset to 0.0Nov 29, 2024 to Apr 3, 2025
- RAUM · unset to 0.0Nov 29, 2024 to Apr 3, 2025
Signals
1 dated events
- F••• E••••• F••••• O••••• L•• filed its initial SEC registration (Form ADV)Nov 29, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- F••• E••••• P••••••• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business email
- i•••@f•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/five-eleven-partnersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- f•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 917-685-1360reportedpublic record, Form ADV, Jul 7, 2026
- Team page
- f•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $54.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026