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 Fiduciary Investment Counsel Inc
Latest filing Mar 27, 2026
First filing on the tape Jan 13, 2012 · 38 filings
SEC status approved since Jul 1, 1976
RAUM
$566M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
72%
$409M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$141M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$566M as of Mar 27, 2026
Jan 13, 2012$311M then
HNW client RAUM$379M as of Mar 27, 2026
Mar 28, 2018$254M then
State-registered IARs (5.B.3)4 as of Mar 27, 2026
Feb 1, 20130 then
Employees (5.A)5 as of Mar 27, 2026
Feb 1, 20136 then
Private funds: no history
RAUM +5.3% over the last fiscal year+4.9% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 27, 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
- $141MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 66derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 18%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +26%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$379M70%
- Charitable organizations$97.3M18%
- Corporations and businesses$32.1M5.9%
- Individuals$30.2M5.5%
- Pension and profit-sharing plans$6.5M1.2%
- Individual clients
- 91reported
- HNW clients
- 173reported
- Pension plan clients
- 2reported
- Charitable clients
- 5reported
- Accounts
- 460reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $121M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.72 fund_share=0.0 institutional_share=0.18 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Mary Frances Anderson | Cleveland, Oh | Nov 9, 1999 | 32 y | 0 |
| William Stone Henry | Cleveland, Oh | May 26, 2016 | 32 y | 0 |
| Andrew Joseph GivensChartered Financial Analyst | Cleveland, Oh | Aug 10, 2021 | 10 y | 0 |
| Laura Ann Collins | Cleveland, Oh | Feb 28, 2024 | 17 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
- Sonia Hosono Mintun to Ancora Advisors LLCNov 2, 2011 · Other
- Darian Hong Chen to Gratry & Company, LLCMar 26, 2004 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Frances Mary Anderson · Presidentcontrolsince 01/2006 · owns 50% to 75%
- Stone William Henry · Chief Operating Officercontrolsince 06/2012 · owns 50% to 75%
- Ann Laura Collins · Chief Compliance Officersince 03/2024 · 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 |
|---|---|---|---|---|---|
| Cleveland, Oh · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 467 to 460Feb 20, 2025 to Mar 27, 2026
- HNW clients · 122 to 173Feb 20, 2025 to Mar 27, 2026
- Individual clients · 88 to 91Feb 20, 2025 to Mar 27, 2026
- Pension plan clients · 6 to 2Feb 20, 2025 to Mar 27, 2026
- Discretionary RAUM · $537M to $566MFeb 20, 2025 to Mar 27, 2026
- HNW RAUM · $351M to $379MFeb 20, 2025 to Mar 27, 2026
- Individual RAUM · $24.7M to $30.2MFeb 20, 2025 to Mar 27, 2026
- Pension RAUM · $26.0M to $6.5MFeb 20, 2025 to Mar 27, 2026
- RAUM · $537M to $566MFeb 20, 2025 to Mar 27, 2026
- Wrap assets (manager) · $132M to $121MFeb 20, 2025 to Mar 27, 2026
- Accounts · 474 to 467Oct 17, 2024 to Feb 20, 2025
- HNW clients · 189 to 122Oct 17, 2024 to Feb 20, 2025
- Individual clients · 92 to 88Oct 17, 2024 to Feb 20, 2025
- Financial planning clients · 0 to 0Oct 17, 2024 to Feb 20, 2025
- Discretionary RAUM · $502M to $537MOct 17, 2024 to Feb 20, 2025
- HNW RAUM · $323M to $351MOct 17, 2024 to Feb 20, 2025
- Individual RAUM · $24.4M to $24.7MOct 17, 2024 to Feb 20, 2025
- Pension RAUM · $24.2M to $26.0MOct 17, 2024 to Feb 20, 2025
- RAUM · $502M to $537MOct 17, 2024 to Feb 20, 2025
- Wrap assets (manager) · $124M to $132MOct 17, 2024 to Feb 20, 2025
- Accounts · 469 to 474Mar 22, 2023 to Mar 15, 2024
- Corporate clients · 10 to 3Mar 22, 2023 to Mar 15, 2024
- HNW clients · 176 to 189Mar 22, 2023 to Mar 15, 2024
- Individual clients · 105 to 92Mar 22, 2023 to Mar 15, 2024
- Pension plan clients · 9 to 6Mar 22, 2023 to Mar 15, 2024
- Financial planning clients · 1-10 to 0Mar 22, 2023 to Mar 15, 2024
- State-registered IARs · 3 to 4Mar 22, 2023 to Mar 15, 2024
- Discretionary RAUM · $489M to $502MMar 22, 2023 to Mar 15, 2024
- HNW RAUM · $279M to $323MMar 22, 2023 to Mar 15, 2024
- Individual RAUM · $36.5M to $24.4MMar 22, 2023 to Mar 15, 2024
- Pension RAUM · $33.4M to $24.2MMar 22, 2023 to Mar 15, 2024
- RAUM · $489M to $502MMar 22, 2023 to Mar 15, 2024
- Wrap assets (manager) · $144M to $124MMar 22, 2023 to Mar 15, 2024
- Accounts · 464 to 469Nov 4, 2022 to Mar 22, 2023
- Corporate clients · 8 to 10Nov 4, 2022 to Mar 22, 2023
- HNW clients · 189 to 176Nov 4, 2022 to Mar 22, 2023
- Individual clients · 94 to 105Nov 4, 2022 to Mar 22, 2023
- Pension plan clients · 10 to 9Nov 4, 2022 to Mar 22, 2023
- Discretionary RAUM · $587M to $489MNov 4, 2022 to Mar 22, 2023
- HNW RAUM · $338M to $279MNov 4, 2022 to Mar 22, 2023
Signals
No event on the tape.
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
- Business email
- info@firstfiduciary.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 216-643-9100reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/first-fiduciary-inv-counselreportedpublic record, Form ADV, Sep 18, 2026
- Website
- FIRSTFIDUCIARY.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 216-643-9100reportedpublic record, Form ADV, Mar 27, 2026
- Team page
- firstfiduciary.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $141Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026