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.
SEC-registered adviser
First Foundation Advisors
Latest filing Jul 29, 2026
First filing on the tape Mar 30, 2012 · 62 filings
SEC status approved since Feb 28, 1990
RAUM
$5.1B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
74%
$3.7B individuals and HNW
Advisors
29
registered through the firm on IAPD
RAUM per advisor
$175M
derived; firm RAUM over IAPD count
Employees
57
28 advisory (5.B.1)
Offices
11
beyond the principal office
Private funds
0
reported on Schedule D
History
62 filings and snapshots on the tape
RAUM$5.1B as of Jul 29, 2026
Mar 30, 2012$1.8B then
HNW client RAUM$3.5B as of Jul 29, 2026
Apr 2, 2018$2.9B then
State-registered IARs (5.B.3)28 as of Jul 29, 2026
Mar 28, 201317 then
Employees (5.A)57 as of Jul 29, 2026
Mar 28, 201352 then
Private funds1 as of Mar 30, 2022
Mar 30, 20121 then
RAUM -7.0% over the last fiscal year+0.5% a year over threeIARs 30 to 28offices 10 to 11
Practice profile
derived from the filing of Jul 29, 2026; every figure names its basis
- RAUM per advisor
- $175MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.6MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 6.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.4derived12 offices incl. principal (1.F.5)
- RAUM growth, one year
- -7.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -18%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for investment companies, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $1.6B, 469 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$3.5B70%
- Banks and thrifts$483M9.6%
- Corporations and businesses$345M6.9%
- Charitable organizations$315M6.3%
- Individuals$235M4.7%
- Investment companies$144M2.9%
- Individual clients
- 430reported
- HNW clients
- 623reported
- Pension plan clients
- n/areported
- Charitable clients
- 30reported
- Accounts
- 3,373reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.6B for 469 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.74 fund_share=0.03 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
29 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Neil Christopher AmorChartered Financial Analyst | Irvine, Ca | Apr 16, 2003 | 29 y | 0 |
| Benjamin Darrow ThornhillCertified Financial Planner | Irvine, Ca | Apr 15, 2004 | 32 y | 0 |
| John Avak Hakopian | Irvine, Ca | Nov 20, 2013 | 36 y | 1 |
| Mark David Stuart ArblasterCertified Financial Planner | Irvine, Ca | Nov 22, 2013 | 30 y | 0 |
| Roger Bruce PalleyChartered Financial Analyst | Irvine, Ca | Nov 22, 2013 | 35 y | 2 |
| Jennifer Kathryn CagleCertified Financial Planner | Irvine, Ca | Nov 22, 2013 | 33 y | 0 |
| Lindsey Ann HessCertified Financial Planner | Irvine, Ca | Oct 29, 2015 | 14 y | 0 |
| Joseph Anthony Raszewski | Irvine, Ca | Dec 21, 2016 | 11 y | 0 |
| Michelle Bao-Chieu NguyenCertified Financial Planner | Los Angeles, Ca | Jan 4, 2021 | 18 y | 0 |
| Ara Moses AbajianChartered Financial Analyst | Irvine, Ca | Apr 20, 2022 | 25 y | 0 |
| William Bryant Pierrepont | Los Angeles, Ca | Oct 20, 2022 | 10 y | 0 |
| Stephen J WiechertCertified Financial Planner | Irvine, Ca | Sep 16, 2024 | 14 y | 0 |
| Andrea Helene MatoloChartered Financial Analyst | Irvine, Ca | Oct 1, 2024 | 20 y | 2 |
| Calvin Tekeim JonesChartered Financial Analyst | Honolulu, Hi | Jan 1, 2025 | 15 y | 0 |
| Marc Tomaneng Cosico | Irvine, Ca | Apr 3, 2025 | 29 y | 2 |
| Roger Sanford StinnettCertified Financial Planner, Personal Financial Specialist | Irvine, Ca | Apr 3, 2025 | 24 y | 4 |
| Eric H SperonChartered Financial Analyst | Irvine, Ca | May 7, 2025 | 23 y | 0 |
| Rachel Costa RibeiroCertified Financial Planner | Irvine, Ca | Sep 2, 2025 | 18 y | 0 |
| Ricardo Costa RibeiroCertified Financial Planner | Irvine, Ca | Sep 2, 2025 | 13 y | 0 |
| Paul Edward Miller | Los Angeles, Ca | Oct 20, 2025 | 31 y | 1 |
| Robert James Roche | Irvine, Ca | Oct 23, 2025 | 13 y | 5 |
| Ekaterina A. Nuce | Irvine, Ca | Nov 17, 2025 | 10 y | 0 |
| Karuna Tejpaul | Irvine, Ca | Feb 26, 2026 | 22 y | 3 |
| William Keith ArechigaChartered Financial Analyst | Irvine, Ca | Mar 10, 2026 | 14 y | 0 |
| Eric Michael MicheliChartered Financial Analyst | Denver, Co | Jul 15, 2026 | 13 y | 2 |
| Michael Atticus BerensChartered Financial Analyst | Denver, Co | Jul 20, 2026 | 10 y | 1 |
| Brandon Michael HumphryesChartered Financial Analyst | Denver, Co | Jul 29, 2026 | 11 y | 0 |
| John Emery SawyerChartered Financial Analyst | Denver, Co | Aug 14, 2026 | 29 y | 1 |
| Troy L Mcswain | Irvine, Ca | Sep 10, 2026 | 10 y | 1 |
Advisor movement
4 left, 7 joined in 12 months
net +3 in 12 months0 left in 90 days4 joined in 90 daysdeparture rate 14% of current headcount14 left over 36 months
Left, latest
- Yuhsin Wang to Ep Wealth AdvisorsJun 8, 2026 · RIA to RIA
- Michael Min-Kai Chen to Capital Group Private Client Services, Inc.Jan 9, 2026 · RIA to RIA
- Sogol Javan Oskouei to Empirical Wealth ManagementDec 2, 2025 · RIA to RIA
- Jack Stewart Stemper to Ducere Wealth ManagementSep 29, 2025 · RIA to RIA
- Cody James Columna to Ducere Wealth ManagementJun 18, 2025 · RIA to a newly registered adviser
- Brett Howard Dulyea to Rockefeller Capital ManagementJun 2, 2025 · RIA to affiliated broker-dealer or bank
- Zane Confair Keller to Ducere Wealth ManagementMay 30, 2025 · RIA to a newly registered adviser
- Ulrich Emanuel Keller to First Foundation Advisors, LLCMay 30, 2025 · Other
- Jeffrey N. Eisfelder to Sfe Investment Counsel Inc.Mar 19, 2025 · RIA to RIA
- James Robert Garrison to Knightsbridge Wealth ManagementJan 27, 2025 · RIA to RIA
- Joyce Lee to Capital Group Private Client Services, Inc.Sep 11, 2024 · RIA to RIA
- Daniel C Fan to Cerity Partners LLCSep 4, 2024 · RIA to RIA
- Jonathan Toyoaki Endo to Cerity Partners LLCSep 4, 2024 · RIA to RIA
- Roger Sanford Stinnett to Stinnett Wealth Planning, LLCMar 28, 2024 · Other
- Stasia Elaine Cato-Washington to LidoJun 26, 2023 · RIA to RIA
Joined, latest
- Troy L Mcswain from Morgan StanleySep 10, 2026 · Wirehouse to independent RIA
- John Emery Sawyer from St. Johns Investment Management Company, LLCAug 14, 2026 · Other
- Michael Atticus Berens from Sunflower Wealth Advisors LLCJul 20, 2026 · Other
- Eric Michael Micheli from Sunflower Wealth Advisors LLCJul 15, 2026 · Other
- Karuna Tejpaul from LPL Enterprise, LLCFeb 26, 2026 · Affiliated broker-dealer or bank to independent RIA
- Robert James Roche from 20/20 Capital Management, IncOct 23, 2025 · RIA to RIA
- Paul Edward Miller from Banc Of America Investment Services, Inc.Oct 20, 2025 · Other
- Roger Sanford Stinnett from Stinnett Wealth Planning, LLCApr 3, 2025 · Other
- Marc Tomaneng Cosico from MarinerApr 3, 2025 · Affiliated broker-dealer or bank to independent RIA
- Andrea Helene Matolo from Navalign, LLCOct 1, 2024 · Other
- Michael Min-Kai Chen from Rvw Wealth LLCApr 18, 2024 · RIA to RIA
- Christopher Scott Seebeck from LPL Financial LLCMay 18, 2022 · RIA to RIA
- Ofer Ben-Menahem from Mercer Global Advisors Inc.Apr 22, 2019 · RIA to RIA
- Roger Sanford Stinnett from Westmount Partners, LLCSep 26, 2018 · RIA to RIA
- Yuhsin Wang from Silversage AdvisorsMay 31, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Cerity Partners LLCSep 4, 2024 · Irvine, Ca
- 2 left for LidoJun 26, 2023 · Los Angeles, Ca
- 2 joined from Sunflower Wealth Advisors LLCJul 17, 2026 · Greenwood Village, Co
- 2 joined from RBC Securities, Inc.Oct 30, 2015 · Los Angeles, Ca
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| The Keller Late Stage Vc Fund LPno longer reported | Venture Capital Fund | $33,503 | 30 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Michael James Britton · Chief Financial Officercontrolsince 08/2023 · owns less than 5%
- Steven Gregory Bruce · Chief Compliance Officercontrolsince 01/2004 · owns less than 5%
- Hao En Andrew Chan · Co-Chief Investment Officercontrolsince 04/2023 · owns less than 5%
- Avak John Hakopian · President/Chief Investment Officercontrolsince 06/2009 · owns less than 5%
- James Robert Roche · Chief Compliance Officer Ownershipcontrolsince 10/2025 · owns less than 5%
Entity owners
- First Foundation Inc. · 100% Stock Ownershipdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- First Foundation Bankcustodiann
- First Foundation Insurance Servicesreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Irvine, Ca · principal | 21 | 5 | 4 | ||
| Denver, Co | 4 | 4 | 0 | ||
| Los Angeles, Ca | 3 | 1 | 0 | ||
| Jonesborough, Tn | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Los Angeles, CA6 employees
- Indian Wells, CA1 employees
- Las Vegas, NV1 employees
- Naples, FL1 employees
- Oakland, CA1 employees
- Palos Verdes Estates, CA1 employees
- Pasadena, CA1 employees
- Rolling Hills Estates, CA1 employees
- Honolulu, HI1 employees
- San Diego, CA1 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Jul 29, 2026pension consulting (Item 5.G.6): no on the filing of 2026-06-10, yes on the filing of 2026-07-29peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jul 29, 2026Roche, Robert, James (CHIEF COMPLIANCE OFFICER OWNERSHIP) appeared on Schedule A between the filings of 2023-11-01 and 2026-07-29peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jul 29, 2026BRUCE, GREGORY, STEVEN (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2023-11-01 and 2026-07-29peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jul 29, 2026CHAN, ANDREW, HAO EN (CO-CHIEF INVESTMENT OFFICER) left Schedule A between the filings of 2023-11-01 and 2026-07-29peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jul 29, 2026BRITTON, JAMES, MICHAEL (CHIEF FINANCIAL OFFICER) left Schedule A between the filings of 2023-11-01 and 2026-07-29peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Advisory employees · 25 to 28Jun 10, 2026 to Jul 29, 2026
- Advisory activities · 4 to 5Jun 10, 2026 to Jul 29, 2026
- Employees · 53 to 57Jun 10, 2026 to Jul 29, 2026
- State-registered IARs · 25 to 28Jun 10, 2026 to Jul 29, 2026
- Other offices · 10 to 11Jun 10, 2026 to Jul 29, 2026
- Assets in custody · $1.9B to $1.6BMar 26, 2026 to Apr 28, 2026
- Accounts · 3,945 to 3,373Feb 21, 2026 to Mar 26, 2026
- Advisory employees · 33 to 25Feb 21, 2026 to Mar 26, 2026
- Corporate clients · 68 to 57Feb 21, 2026 to Mar 26, 2026
- HNW clients · 751 to 623Feb 21, 2026 to Mar 26, 2026
- Individual clients · 526 to 430Feb 21, 2026 to Mar 26, 2026
- Pooled vehicle clients · 0.0 to unsetFeb 21, 2026 to Mar 26, 2026
- Employees · 62 to 53Feb 21, 2026 to Mar 26, 2026
- State-registered IARs · 30 to 25Feb 21, 2026 to Mar 26, 2026
- Discretionary RAUM · $5.4B to $5.0BFeb 21, 2026 to Mar 26, 2026
- HNW RAUM · $3.8B to $3.5BFeb 21, 2026 to Mar 26, 2026
- Individual RAUM · $307M to $235MFeb 21, 2026 to Mar 26, 2026
- Non-discretionary RAUM · $86.0M to $81.4MFeb 21, 2026 to Mar 26, 2026
- Pooled vehicle RAUM · 0.0 to unsetFeb 21, 2026 to Mar 26, 2026
- RAUM · $5.4B to $5.1BFeb 21, 2026 to Mar 26, 2026
- Financial planning clients · 11-25 to 11-25Apr 1, 2025 to Jun 16, 2025
- Accounts · 4,065 to 3,945Oct 29, 2024 to Apr 1, 2025
- Advisory employees · 36 to 33Oct 29, 2024 to Apr 1, 2025
- Charity clients · 35 to 30Oct 29, 2024 to Apr 1, 2025
- Corporate clients · 65 to 68Oct 29, 2024 to Apr 1, 2025
- HNW clients · 762 to 751Oct 29, 2024 to Apr 1, 2025
- Individual clients · 574 to 526Oct 29, 2024 to Apr 1, 2025
- Assets in custody · $1.6B to $1.9BOct 29, 2024 to Apr 1, 2025
- Employees · 67 to 62Oct 29, 2024 to Apr 1, 2025
- State-registered IARs · 33 to 30Oct 29, 2024 to Apr 1, 2025
- Discretionary RAUM · $5.2B to $5.4BOct 29, 2024 to Apr 1, 2025
- HNW RAUM · $3.6B to $3.8BOct 29, 2024 to Apr 1, 2025
- Individual RAUM · $287M to $307MOct 29, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $92.3M to $86.0MOct 29, 2024 to Apr 1, 2025
- RAUM · $5.2B to $5.4BOct 29, 2024 to Apr 1, 2025
- Accounts · 4,177 to 4,065Nov 2, 2023 to Mar 27, 2024
- Advisory employees · 40 to 36Nov 2, 2023 to Mar 27, 2024
- Charity clients · 37 to 35Nov 2, 2023 to Mar 27, 2024
- Corporate clients · 63 to 65Nov 2, 2023 to Mar 27, 2024
- HNW clients · 800 to 762Nov 2, 2023 to Mar 27, 2024
Signals
30 dated events
- 2 advisors left Sunflower Wealth Advisors LLC (Greenwood Village, CO) for First Foundation Advisors on the same dayJul 17, 2026 · Team lift-out · derived
- Yuhsin Wang left First Foundation Advisors for Ep Wealth Advisors (registered 2026-05-27)Jun 8, 2026 · Advisor changed firm · fact
- Michael Min-Kai Chen left First Foundation Advisors for Capital Group Private Client Services, Inc. (registered 2026-01-15)Jan 9, 2026 · Advisor changed firm · fact
- Sogol Javan Oskouei left First Foundation Advisors for Empirical Wealth Management (registered 2026-02-06)Dec 2, 2025 · Advisor changed firm · fact
- Jack Stewart Stemper left First Foundation Advisors for Ducere Wealth Management (registered 2025-09-19)Sep 29, 2025 · Advisor changed firm · fact
- Cody James Columna left First Foundation Advisors for Ducere Wealth Management (registered 2025-07-28)Jun 18, 2025 · Advisor changed firm · fact
- Brett Howard Dulyea left First Foundation Advisors for Rockefeller Capital Management (registered 2025-05-30)Jun 2, 2025 · Advisor changed firm · fact
- Zane Confair Keller left First Foundation Advisors for Ducere Wealth Management (registered 2025-07-22)May 30, 2025 · Advisor changed firm · fact
- Ulrich Emanuel Keller left First Foundation Advisors for First Foundation Advisors, Llc (registered 2006-04-28)May 30, 2025 · Advisor changed firm · fact
- Jeffrey N. Eisfelder left First Foundation Advisors for Sfe Investment Counsel Inc. (registered 2025-12-08)Mar 19, 2025 · Advisor changed firm · fact
- James Robert Garrison left First Foundation Advisors for Knightsbridge Wealth Management (registered 2025-11-03)Jan 27, 2025 · Advisor changed firm · fact
- Emanuel Ulrich Keller (Chairman) no longer on Schedule A of First Foundation Advisors (listed 2024-03-28, absent 2024-10-29)Oct 29, 2024 · Control person left · inference
- Joyce Lee left First Foundation Advisors for Capital Group Private Client Services, Inc. (registered 2025-03-06)Sep 11, 2024 · Advisor changed firm · fact
- Daniel C Fan left First Foundation Advisors for Cerity Partners Llc (registered 2024-09-05)Sep 4, 2024 · Advisor changed firm · fact
- Jonathan Toyoaki Endo left First Foundation Advisors for Cerity Partners Llc (registered 2024-09-11)Sep 4, 2024 · Advisor changed firm · fact
- 2 advisors left First Foundation Advisors (Irvine, CA) for Cerity Partners LLC on the same daySep 4, 2024 · Team lift-out · derived
- Roger Sanford Stinnett left First Foundation Advisors for Stinnett Wealth Planning, Llc (registered 2024-04-03)Mar 28, 2024 · Advisor changed firm · fact
- First Foundation Advisors reported 10 offices beyond its principal office, down from 17 (2023-11-02 to 2024-03-27)Mar 27, 2024 · Office count change · derived
- Michael James Britton (Chief Financial Officer) appeared on Schedule A of First Foundation AdvisorsNov 1, 2023 · Control person joined · fact
- Ramsey Michael Andrijevich left First Foundation Advisors for Lido (registered 2023-06-13)Jun 26, 2023 · Advisor changed firm · fact
- Stasia Elaine Cato-Washington left First Foundation Advisors for Lido (registered 2023-06-13)Jun 26, 2023 · Advisor changed firm · fact
- Christopher Scott Seebeck left First Foundation Advisors for Ameriprise Financial Services, Llc (registered 2024-03-22)Jun 26, 2023 · Advisor changed firm · fact
- 2 advisors left First Foundation Advisors (Los Angeles, CA) for Lido on the same dayJun 26, 2023 · Team lift-out · derived
- Hao En Andrew Chan (Co-Chief Investment Officer) appeared on Schedule A of First Foundation AdvisorsMay 1, 2023 · Control person joined · fact
- Kevin Thompson (Chief Financial Officer) no longer on Schedule A of First Foundation Advisors (listed 2022-10-03, absent 2023-02-06)Feb 6, 2023 · Control person left · inference
- John Edward Lowndes (Chief Operating Officer) no longer on Schedule A of First Foundation Advisors (listed 2022-10-03, absent 2023-02-06)Feb 6, 2023 · Control person left · inference
- First Foundation Advisors reported 17 offices beyond its principal office, up from 9 (2022-04-06 to 2022-10-03)Oct 3, 2022 · Office count change · derived
- Matthias John Michel (Chief Financial Officer) no longer on Schedule A of First Foundation Advisors (listed 2020-03-26, absent 2020-06-29)Jun 29, 2020 · Control person left · inference
- Kevin Thompson (Chief Financial Officer) appeared on Schedule A of First Foundation AdvisorsJun 29, 2020 · Control person joined · fact
- John Edward Lowndes (Chief Operating Officer) appeared on Schedule A of First Foundation AdvisorsJun 29, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- First Foundation Advisors · Family Officesshared cik · foundation
- First Foundation Advisors · Private Equityshared crd · intermediary
- First Foundation Advisors · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- newaccount@ff-inc.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 888-405-4332reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 888-698-7442reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/first-foundation-inc.reportedpublic record, Form ADV, Sep 17, 2026
- Website
- FF-INC.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 949-476-0300reportedpublic record, Form ADV, Jul 29, 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
- $175Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026