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•••• F•••••••• C•••••••••
Legal name F•••••••• R•••••••• C••••••••• G••••
Latest filing Mar 17, 2026
First filing on the tape Mar 17, 2026 · 1 filings
RAUM
$763M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
97%
$739M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
- RAUM per advisor
- $109MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $347,923derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 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, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$601M79%
- Individuals$138M18%
- Corporations and businesses$23.4M3.1%
- Individual clients
- 149reported
- HNW clients
- 487reported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 2,192reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••••• G• W•••••• | Pasadena, Ca | Nov 13, 2017 | 10 y | 0 |
| L••• E• S•••• R••• | Pasadena, Ca | Aug 7, 2024 | 14 y | 1 |
| J••• K••• G••••••••• | Pasadena, Ca | Jan 1, 2025 | 20 y | 0 |
| D••••• J••••••• B•••••••Certified Financial Planner | Pasadena, Ca | Jan 15, 2025 | 11 y | 2 |
| S•••• F••••••• S••••••Chartered Financial Consultant | Pasadena, Ca | Apr 21, 2025 | 35 y | 0 |
| G•••••• J•• W•••••• | Pasadena, Ca | Jan 1, 2026 | 33 y | 0 |
| C••• K•••• G•••••• | Pasadena, Ca | Jan 1, 2026 | 23 y | 1 |
| C••••••••• M•••••• S•••••••••Certified Financial Planner | Pasadena, Ca | Jan 7, 2026 | 10 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 days0 left over 36 months
Left, latest
- L•••• C•••• N•••••••• to P••• A••••• S••••••••• L••Feb 25, 2022 · Other
- J••••• D••••• G••••• to C•• A•••••••• L••Dec 23, 2013 · Other
Joined, latest
- C••• K•••• G•••••• from E••••• J••••Jan 1, 2026 · Affiliated broker-dealer or bank to a state-registered adviser
- D••••• J••••••• B••••••• from W••••• G••••Jan 15, 2025 · RIA to a state-registered adviser
- L••• E• S•••• R••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 7, 2024 · Wirehouse to a state-registered adviser
- J••••• D••••• G••••• from E••••• J••••Mar 10, 2011 · Affiliated broker-dealer or bank to a state-registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Pasadena, Ca · principal | 8 | 3 | 0 |
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
- L•••• C•••• N•••••••• left F•••• F•••••••• C••••••••• for P••• A••••• S••••••••• L•• (registered 2022-01-26)Feb 25, 2022 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/first-financial-consultingreportedpublic record, Form ADV, Sep 18, 2026
- Website
- F••••FINANCIAL.ISreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 626-844-4630reportedpublic record, Form ADV, Mar 17, 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026