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
Alm First Financial Advisors LLC
Latest filing Mar 30, 2026
First filing on the tape Mar 27, 2012 · 25 filings
SEC status approved since Sep 22, 2000
RAUM
$76B
reported, Item 5.F
Discretionary
3.0%
of RAUM
Private clients
0.1%
$39.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
23
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$76B as of Mar 30, 2026
Mar 27, 2012$16B then
HNW client RAUM$39.7M as of Mar 30, 2026
Mar 23, 2021$62.8M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 27, 20120 then
Employees (5.A)23 as of Mar 30, 2026
Jan 22, 201330 then
Private funds3 as of Mar 30, 2026
Mar 31, 20251 then
RAUM +11% over the last fiscal year+0.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; 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
- $39.7MderivedHNW RAUM over HNW clients
- Average account
- $403MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 3.0%derivedof RAUM
- Institutional
- 2.0%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
- +11%derivedbetween 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, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, publications, educational seminarsreportedItem 5.G
- Custody
- $38.3M, 1 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
- 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)
- 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
- Banks and thrifts$75B98%
- Insurance companies$1.5B2.0%
- Pooled investment vehicles$42.0M0.1%
- High-net-worth individuals$39.7M0.1%
- Individual clients
- n/areported
- HNW clients
- 1reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 189reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $38.3M for 1 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Justin Dausch · Chief Compliance Officercontrolsince 09/2023 · owns less than 5%
- Eddon Michael Ensweiler · Principalcontrolsince 06/2013 · owns less than 5%
- Arthur John Graf · Directorcontrolsince 11/2015 · owns less than 5%
- William Jason Haley · Chief Investment Officercontrolsince 01/2020 · owns less than 5%
- More Emily Hollis · Managing Partner, Ceocontrolsince 07/2001 · owns less than 5%
- Mohan Vikas Kalra · Platform Directorcontrolsince 04/2020 · owns less than 5%
- Robert Perry · Principalcontrolsince 11/2015 · owns less than 5%
- Walter Frederick Brazelton · Platform Directorcontrolsince 07/2018 · owns F of Alm First Group, LLC
- Eugene Travis Goodman · Managing Membercontrolsince 07/2018 · owns F of Alm First Group, LLC
- Arthur John Graf · Rambler Directorcontrolsince 07/2018 · owns F of Alm First Group, LLC
- More Emily Hollis · Directorcontrolsince 07/2018 · owns 25% to 50% of Alm First Group, LLC
- Mohan Vikas Kalra · Platform Directorcontrolsince 07/2018 · owns F of Alm First Group, LLC
Entity owners
- Alm First Group, LLC · Memberdirect · owns 75% or more
- Platform Alm Holdings, LLC · Directorindirect · owns 25% to 50% of Alm First Group, LLC
Related persons
Schedule D 7.A
- Alm First Executive Benefits, LLCreal estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 30, 2026discretionary share of RAUM of 3% against a peer median of 100% (120 comparable advisers, 2.0th percentile, 32.6 robust deviations)peers: other advisers, $20B and over (120) · 1.7% percentile
What changed
consecutive filings, newest first
- Accounts · 160 to 189Jan 26, 2026 to Mar 30, 2026
- Pooled vehicle clients · 1 to 3Jan 26, 2026 to Mar 30, 2026
- Assets in custody · $28.9M to $38.3MJan 26, 2026 to Mar 30, 2026
- Private funds · 1 to 3Jan 26, 2026 to Mar 30, 2026
- Discretionary RAUM · $1.8B to $2.3BJan 26, 2026 to Mar 30, 2026
- HNW RAUM · $78.9M to $39.7MJan 26, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $67B to $74BJan 26, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $28.9M to $42.0MJan 26, 2026 to Mar 30, 2026
- RAUM · $69B to $76BJan 26, 2026 to Mar 30, 2026
- Financial planning clients · unset to Jul 15, 2024 to Mar 31, 2025
- Accounts · 217 to 160Jul 15, 2024 to Mar 31, 2025
- Advisory activities · 3 to 4Jul 15, 2024 to Mar 31, 2025
- Pooled vehicle clients · unset to 1.0Jul 15, 2024 to Mar 31, 2025
- Assets in custody · $25.0M to $28.9MJul 15, 2024 to Mar 31, 2025
- Employees · 21 to 23Jul 15, 2024 to Mar 31, 2025
- Private funds · unset to 1Jul 15, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.5B to $1.8BJul 15, 2024 to Mar 31, 2025
- HNW RAUM · $108M to $78.9MJul 15, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $67B to $67BJul 15, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · unset to 28877765.0Jul 15, 2024 to Mar 31, 2025
- RAUM · $69B to $69BJul 15, 2024 to Mar 31, 2025
- Assets in custody · unset to 25000000.0Mar 29, 2024 to Jul 15, 2024
- Custody of client assets · false to trueMar 29, 2024 to Jul 15, 2024
- Accounts · 212 to 217Sep 18, 2023 to Mar 29, 2024
- Advisory activities · 4 to 3Sep 18, 2023 to Mar 29, 2024
- Discretionary RAUM · $2.0B to $1.5BSep 18, 2023 to Mar 29, 2024
- HNW RAUM · $14.0M to $108MSep 18, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $72B to $67BSep 18, 2023 to Mar 29, 2024
- RAUM · $74B to $69BSep 18, 2023 to Mar 29, 2024
- Accounts · 191 to 212Mar 30, 2022 to Mar 31, 2023
- Advisory activities · 3 to 4Mar 30, 2022 to Mar 31, 2023
- Employees · 14 to 21Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $7.0B to $2.0BMar 30, 2022 to Mar 31, 2023
- HNW RAUM · $75.3M to $14.0MMar 30, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $61B to $72BMar 30, 2022 to Mar 31, 2023
- RAUM · $68B to $74BMar 30, 2022 to Mar 31, 2023
- Accounts · 159 to 191Mar 23, 2021 to Mar 30, 2022
- Discretionary RAUM · $5.9B to $7.0BMar 23, 2021 to Mar 30, 2022
- HNW RAUM · $62.8M to $75.3MMar 23, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $45B to $61BMar 23, 2021 to Mar 30, 2022
Signals
8 dated events
- Justin Dausch (Chief Compliance Officer) appeared on Schedule A of Alm First Financial Advisors LlcSep 18, 2023 · Control person joined · fact
- Alm First Financial Advisors Llc reported RAUM $68.3B, up 34% from $51.0B (2021-03-23 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Mohan Vikas Kalra (Platform Director) appeared on Schedule A of Alm First Financial Advisors LlcMar 30, 2022 · Control person joined · fact
- Alm First Financial Advisors Llc reported RAUM $51.0B, up 88% from $27.2B (2020-08-17 to 2021-03-23)Mar 23, 2021 · RAUM change · derived
- Scott Kevin Kirksey (Chief Compliance Officer) no longer on Schedule A of Alm First Financial Advisors Llc (listed 2020-03-24, absent 2020-05-20)May 20, 2020 · Control person left · inference
- Carter Justin Dausch (Chief Compliance Officer) appeared on Schedule A of Alm First Financial Advisors LlcMay 20, 2020 · Control person joined · fact
- Alm First Financial Advisors Llc reported RAUM $27.2B, up 44% from $18.8B (2019-02-21 to 2020-03-23)Mar 23, 2020 · RAUM change · derived
- William Jason Haley (Chief Investment Officer) appeared on Schedule A of Alm First Financial Advisors LlcMar 23, 2020 · Control person joined · 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/alm-firstreportedpublic record, Form ADV, Sep 18, 2026
- Website
- ALMFIRST.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-752-4628reportedpublic record, Form ADV, Mar 30, 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
- Other 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