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
Financial Alternatives, Inc.
Latest filing Mar 13, 2026
First filing on the tape Mar 22, 2012 · 19 filings
SEC status approved since Aug 25, 2000
RAUM
$615M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$614M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$102M
derived; firm RAUM over IAPD count
Employees
13
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$615M as of Mar 13, 2026
Mar 22, 2012$94.9M then
HNW client RAUM$560M as of Mar 13, 2026
Mar 30, 2018$175M then
State-registered IARs (5.B.3)6 as of Mar 13, 2026
Mar 22, 20120 then
Employees (5.A)13 as of Mar 13, 2026
Feb 6, 20133 then
Private funds: no history
RAUM +12% over the last fiscal year+10% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Mar 13, 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
- RAUM per advisor
- $102MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $488,700derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $156M, 86 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$560M91%
- Individuals$54.5M8.9%
- Charitable organizations$577,1890.1%
- Individual clients
- 121reported
- HNW clients
- 148reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 1,258reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $156M for 86 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| James Alan FreemanCertified Financial Planner | La Jolla, Ca | Jan 11, 2005 | 40 y | 0 |
| Pei-Shan Ellen LiCertified Financial Planner | La Jolla, Ca | Apr 11, 2011 | 16 y | 0 |
| Christopher Edward JaccardCertified Financial Planner, Chartered Financial Analyst | La Jolla, Ca | Mar 30, 2018 | 26 y | 0 |
| Andrew Raymond HoffarthCertified Financial Planner | La Jolla, Ca | Jul 23, 2021 | 16 y | 2 |
| Damon Anthony RobertsonCertified Financial Planner | La Jolla, Ca | Mar 10, 2025 | 10 y | 1 |
| Connor Andrew Mackenzie | La Jolla, Ca | Dec 8, 2025 | 20 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Thao Thien Truong to Morton WealthMar 1, 2021 · RIA to RIA
Joined, latest
- Damon Anthony Robertson from Wells Fargo AdvisorsMar 10, 2025 · Wirehouse to independent RIA
- Andrew Raymond Hoffarth from Essential PlannersJul 23, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Alan James Freeman · President/Chief Compliance Officercontrolsince 01/2001 · owns 50% to 75%
- Edward Christopher Jaccard · Chief Operating Officercontrolsince 07/2001 · owns 25% to 50%
- Raymond Andrew Hoffarth · Partnersince 01/2023 · owns 5% to 10%
- Ellen Pei-Shan Li · Partnersince 05/2021 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| La Jolla, Ca · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- La Jolla, CA3 employees
What changed
consecutive filings, newest first
- Accounts · 1,259 to 1,258Sep 27, 2025 to Mar 13, 2026
- Charity clients · 1 to 2Sep 27, 2025 to Mar 13, 2026
- HNW clients · 141 to 148Sep 27, 2025 to Mar 13, 2026
- Individual clients · 122 to 121Sep 27, 2025 to Mar 13, 2026
- Assets in custody · $146M to $156MSep 27, 2025 to Mar 13, 2026
- Employees · 12 to 13Sep 27, 2025 to Mar 13, 2026
- State-registered IARs · 5 to 6Sep 27, 2025 to Mar 13, 2026
- Discretionary RAUM · $554M to $607MSep 27, 2025 to Mar 13, 2026
- HNW RAUM · $515M to $560MSep 27, 2025 to Mar 13, 2026
- Individual RAUM · $43.3M to $54.5MSep 27, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $4.9M to $7.3MSep 27, 2025 to Mar 13, 2026
- RAUM · $559M to $615MSep 27, 2025 to Mar 13, 2026
- Accounts · 1,238 to 1,259Mar 24, 2025 to Sep 27, 2025
- HNW clients · 138 to 141Mar 24, 2025 to Sep 27, 2025
- Individual clients · 121 to 122Mar 24, 2025 to Sep 27, 2025
- Assets in custody · $157M to $146MMar 24, 2025 to Sep 27, 2025
- Discretionary RAUM · $540M to $554MMar 24, 2025 to Sep 27, 2025
- HNW RAUM · $505M to $515MMar 24, 2025 to Sep 27, 2025
- Individual RAUM · $41.7M to $43.3MMar 24, 2025 to Sep 27, 2025
- Non-discretionary RAUM · $7.8M to $4.9MMar 24, 2025 to Sep 27, 2025
- RAUM · $548M to $559MMar 24, 2025 to Sep 27, 2025
- Accounts · 1,218 to 1,238Mar 28, 2024 to Mar 24, 2025
- Advisory employees · 5 to 7Mar 28, 2024 to Mar 24, 2025
- HNW clients · 137 to 138Mar 28, 2024 to Mar 24, 2025
- Individual clients · 120 to 121Mar 28, 2024 to Mar 24, 2025
- Assets in custody · $169M to $157MMar 28, 2024 to Mar 24, 2025
- Financial planning clients · 251-500 to 251-500Mar 28, 2024 to Mar 24, 2025
- Discretionary RAUM · $504M to $540MMar 28, 2024 to Mar 24, 2025
- HNW RAUM · $472M to $505MMar 28, 2024 to Mar 24, 2025
- Individual RAUM · $34.2M to $41.7MMar 28, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $3.2M to $7.8MMar 28, 2024 to Mar 24, 2025
- RAUM · $507M to $548MMar 28, 2024 to Mar 24, 2025
- HNW clients · 127 to 137Aug 24, 2023 to Mar 28, 2024
- Individual clients · 127 to 120Aug 24, 2023 to Mar 28, 2024
- Assets in custody · $127M to $169MAug 24, 2023 to Mar 28, 2024
- Financial planning clients · 101-250 to 251-500Aug 24, 2023 to Mar 28, 2024
- State-registered IARs · 6 to 5Aug 24, 2023 to Mar 28, 2024
- Discretionary RAUM · $455M to $504MAug 24, 2023 to Mar 28, 2024
- HNW RAUM · $413M to $472MAug 24, 2023 to Mar 28, 2024
- Individual RAUM · $44.5M to $34.2MAug 24, 2023 to Mar 28, 2024
Signals
1 dated events
- Financial Alternatives, Inc. reported RAUM $458.5M, up 67% from $274.5M (2021-08-03 to 2022-03-23)Mar 23, 2022 · RAUM change · derived
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/FINANCIAL-ALTERNATIVES-INC-reportedpublic record, Form ADV, Sep 17, 2026
- Website
- haswealth.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 858-459-8289reportedpublic record, Form ADV, Mar 13, 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
- $102Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026