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•••• I••••••••• A•••••••• I••
Latest filing Mar 30, 2026
First filing on the tape Apr 24, 2012 · 40 filings
SEC status approved since Apr 10, 2000
RAUM
$956M
reported, Item 5.F
Discretionary
49%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$191M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$956M as of Mar 30, 2026
Apr 24, 2012$170M then
HNW client RAUM$0 as of Mar 30, 2026
Mar 19, 2018$0 then
State-registered IARs (5.B.3)4 as of Mar 30, 2026
Apr 24, 20120 then
Employees (5.A)7 as of Mar 30, 2026
May 8, 20134 then
Private funds: no history
RAUM +8.0% over the last fiscal year+12% a year over threeIARs 6 to 4
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $191MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $28.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 49%derivedof RAUM
- Institutional
- 84%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$798M84%
- Banks and thrifts$158M16%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 35reported
- Charitable clients
- 0reported
- Accounts
- 34reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.84 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• R•••• R••••••Certified Financial Planner | Solana Beach, Ca | Dec 5, 2012 | 18 y | 3 |
| A••••• Y••••••• W••• | Solana Beach, Ca | Dec 5, 2012 | 41 y | 4 |
| H•••• J••••• F•••• | Solana Beach, Ca | Dec 5, 2012 | 33 y | 5 |
| D•••• E•••••• L••Certified Financial Planner | Solana Beach, Ca | Nov 27, 2018 | 20 y | 1 |
| J••••••••• M•••• L•• | Solana Beach, Ca | Feb 18, 2025 | 12 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 headcount1 left over 36 months
Left, latest
- F•••• M•••• A••••• to L•• F•••••••• L••Feb 14, 2025 · RIA to affiliated broker-dealer or bank
- H•••• J••••• F•••• to S••••• S••••••••• C•••••••••Dec 31, 2011 · Other
- A••••• Y••••••• W••• to S••••• S••••••••• C•••••••••Dec 31, 2011 · Other
- T••••• J••••• D••••• to S••••••••• A•••••• A•••••••• I•••Dec 31, 2011 · Other
Joined, latest
- D•••• E•••••• L•• from E••••• J••••Nov 27, 2018 · Affiliated broker-dealer or bank to independent RIA
- F•••• M•••• A••••• from 1•• G••••• A••••••• I••Aug 6, 2013 · Other
- A••••• Y••••••• W••• from G••••• S••••••••• I•••Dec 5, 2012 · Other
- H•••• J••••• F•••• from G••••• S••••••••• I•••Dec 5, 2012 · Other
- A•••• R•••• R•••••• from L•• F•••••••• L••Nov 17, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• H••••• J••••• · Partner/Cfocontrolsince 03/1994 · owns 50% to 75%
- W•••• A•••••• Y••••••• · Partner/Chief Compliance Officer/Ceocontrolsince 03/1994 · owns 50% to 75%
- R••••••• A••••• R•••• · Coosince 02/2021 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Solana Beach, Ca · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- advisor count dropChange between filings · filing Mar 30, 2026advisory representatives (Item 5.B.3) moved from 6.0 to 4.0 (-33.0%) between the annual amendments of 2025-03-20 and 2026-03-30; the peer median change was -4.0% (8 comparable advisers, 0.0th percentile of changes)peers: institutional managers, $500M to $1B (8) · 0.0% percentile
- compensation changedChange between filings · filing Mar 30, 2026hourly charges (Item 5.E.2): yes on the filing of 2025-03-20, no on the filing of 2026-03-30peers: institutional managers, $500M to $1B (71)
What changed
consecutive filings, newest first
- Advisory employees · 6 to 4Mar 20, 2025 to Mar 30, 2026
- BD registered reps · 5 to 4Mar 20, 2025 to Mar 30, 2026
- Pension plan clients · 33 to 35Mar 20, 2025 to Mar 30, 2026
- Employees · 6 to 7Mar 20, 2025 to Mar 30, 2026
- State-registered IARs · 6 to 4Mar 20, 2025 to Mar 30, 2026
- Discretionary RAUM · $433M to $469MMar 20, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $452M to $487MMar 20, 2025 to Mar 30, 2026
- Pension RAUM · $883M to $798MMar 20, 2025 to Mar 30, 2026
- RAUM · $885M to $956MMar 20, 2025 to Mar 30, 2026
- Accounts · 181 to 34Jan 9, 2025 to Mar 20, 2025
- Advisory employees · 5 to 6Jan 9, 2025 to Mar 20, 2025
- BD registered reps · 4 to 5Jan 9, 2025 to Mar 20, 2025
- HNW clients · 115 to 0Jan 9, 2025 to Mar 20, 2025
- Individual clients · 40 to 0Jan 9, 2025 to Mar 20, 2025
- Pension plan clients · 20 to 33Jan 9, 2025 to Mar 20, 2025
- Employees · 5 to 6Jan 9, 2025 to Mar 20, 2025
- Financial planning clients · 1-10 to 1-10Jan 9, 2025 to Mar 20, 2025
- State-registered IARs · 5 to 6Jan 9, 2025 to Mar 20, 2025
- Discretionary RAUM · $389M to $433MJan 9, 2025 to Mar 20, 2025
- HNW RAUM · $24.6M to $0Jan 9, 2025 to Mar 20, 2025
- Individual RAUM · $151M to $0Jan 9, 2025 to Mar 20, 2025
- Non-discretionary RAUM · $391M to $452MJan 9, 2025 to Mar 20, 2025
- Pension RAUM · $226M to $883MJan 9, 2025 to Mar 20, 2025
- RAUM · $780M to $885MJan 9, 2025 to Mar 20, 2025
- Accounts · 178 to 181May 1, 2023 to Mar 18, 2024
- HNW clients · 110 to 115May 1, 2023 to Mar 18, 2024
- Individual clients · 36 to 40May 1, 2023 to Mar 18, 2024
- Pension plan clients · 16 to 20May 1, 2023 to Mar 18, 2024
- Discretionary RAUM · $337M to $389MMay 1, 2023 to Mar 18, 2024
- HNW RAUM · $134M to $24.6MMay 1, 2023 to Mar 18, 2024
- Individual RAUM · $15.2M to $151MMay 1, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $347M to $391MMay 1, 2023 to Mar 18, 2024
- Pension RAUM · $197M to $226MMay 1, 2023 to Mar 18, 2024
- RAUM · $684M to $780MMay 1, 2023 to Mar 18, 2024
- Accounts · 173 to 178Mar 29, 2022 to Mar 31, 2023
- HNW clients · 109 to 110Mar 29, 2022 to Mar 31, 2023
- Individual clients · 33 to 36Mar 29, 2022 to Mar 31, 2023
- Pension plan clients · 10 to 16Mar 29, 2022 to Mar 31, 2023
- Discretionary RAUM · $333M to $337MMar 29, 2022 to Mar 31, 2023
- HNW RAUM · $123M to $134MMar 29, 2022 to Mar 31, 2023
Signals
2 dated events
- F•••• M•••• A••••• left F•••• I••••••••• A•••••••• I•• for L•• F•••••••• L•• (registered 2025-01-19)Feb 14, 2025 · Advisor changed firm · fact
- F•••• I••••••••• A•••••••• I•• reported RAUM $512.9M, up 30% from $396.0M (2019-03-21 to 2020-03-27)Mar 27, 2020 · 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/focus-investment-advisors-inc.reportedpublic record, Form ADV, Sep 19, 2026
- Website
- F••••INVESTMENT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 760-230-1880reportedpublic 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $191Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026