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
Flc Capital Advisors
Latest filing Apr 3, 2026
First filing on the tape Jan 24, 2013 · 26 filings
SEC status approved since Feb 7, 2013
RAUM
$822M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$814M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$206M
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$822M as of Apr 3, 2026
Feb 13, 2014$163M then
HNW client RAUM$680M as of Apr 3, 2026
Mar 7, 2018$262M then
State-registered IARs (5.B.3)5 as of Apr 3, 2026
Feb 13, 20143 then
Employees (5.A)9 as of Apr 3, 2026
Feb 13, 20147 then
Private funds: no history
RAUM +16% over the last fiscal year+17% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Apr 3, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $206MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 80derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.9%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissions, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $821MreportedItem 5.I
- Custody
- $621M, 258 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$680M83%
- Individuals$134M16%
- Other investment advisers$7.4M0.9%
- Corporations and businesses$951,2740.1%
- Individual clients
- 136reported
- HNW clients
- 184reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 821reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $621M for 258 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.99 fund_share=0.01 institutional_share=0.0 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Max A BriggsCertified Financial Planner | Palm Desert, Ca | Jan 29, 1997 | 30 y | 0 |
| Daniel Albert NeilCertified Financial Planner | Palm Desert, Ca | May 17, 2002 | 25 y | 0 |
| Jeremy J. Ofseyer | Palm Desert, Ca | Dec 20, 2013 | 12 y | 0 |
| Brandon Ross | Desert Hot Springs, Ca | Jan 29, 2025 | 11 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 25% of current headcount1 left over 36 months
Left, latest
- Phillip Jared Niblo to Advisory Services NetworkMar 2, 2026 · RIA to RIA
- Jonathan Lesley Chatfield to Ausdal Financial Partners, Inc.Mar 11, 2009 · Other
- Jonathan Lesley Chatfield to Chatfield Investment ServicesApr 24, 2006 · Other
Joined, latest
- Phillip Jared Niblo from Raymond James & Associates, Inc.Sep 11, 2023 · Affiliated broker-dealer or bank to independent RIA
- Jonathan Lesley Chatfield from Anchor Bay Capital, Inc.Oct 15, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A Max Briggs · President & Ceocontrolsince 10/1996 · owns 75% or more
- Darin Brian Ekstrom · Chief Compliance Officersince 03/2017 · owns less than 5%
Related persons
Schedule D 7.A
- Daniel R. Brushinsurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Palm Desert, Ca · principal | 3 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 791 to 821Jan 17, 2025 to Mar 10, 2026
- Advisory employees · 4 to 5Jan 17, 2025 to Mar 10, 2026
- BD registered reps · 5 to 4Jan 17, 2025 to Mar 10, 2026
- HNW clients · 189 to 184Jan 17, 2025 to Mar 10, 2026
- Individual clients · 128 to 136Jan 17, 2025 to Mar 10, 2026
- Assets in custody · $238M to $621MJan 17, 2025 to Mar 10, 2026
- State-registered IARs · 4 to 5Jan 17, 2025 to Mar 10, 2026
- Discretionary RAUM · $702M to $812MJan 17, 2025 to Mar 10, 2026
- HNW RAUM · $620M to $680MJan 17, 2025 to Mar 10, 2026
- Individual RAUM · $80.9M to $134MJan 17, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $8.0M to $10.6MJan 17, 2025 to Mar 10, 2026
- RAUM · $710M to $822MJan 17, 2025 to Mar 10, 2026
- Accounts · 728 to 791Jun 17, 2024 to Jan 17, 2025
- BD registered reps · 4 to 5Jun 17, 2024 to Jan 17, 2025
- Individual clients · 118 to 128Jun 17, 2024 to Jan 17, 2025
- Assets in custody · $213M to $238MJun 17, 2024 to Jan 17, 2025
- Employees · 10 to 9Jun 17, 2024 to Jan 17, 2025
- Financial planning clients · 0 to 0Jun 17, 2024 to Jan 17, 2025
- Discretionary RAUM · $645M to $702MJun 17, 2024 to Jan 17, 2025
- HNW RAUM · $582M to $620MJun 17, 2024 to Jan 17, 2025
- Individual RAUM · $62.6M to $80.9MJun 17, 2024 to Jan 17, 2025
- Non-discretionary RAUM · $6.5M to $8.0MJun 17, 2024 to Jan 17, 2025
- RAUM · $651M to $710MJun 17, 2024 to Jan 17, 2025
- Accounts · 688 to 728Mar 23, 2023 to Mar 15, 2024
- Advisory employees · 3 to 4Mar 23, 2023 to Mar 15, 2024
- BD registered reps · 3 to 4Mar 23, 2023 to Mar 15, 2024
- HNW clients · 192 to 189Mar 23, 2023 to Mar 15, 2024
- Individual clients · 108 to 118Mar 23, 2023 to Mar 15, 2024
- Assets in custody · $202M to $213MMar 23, 2023 to Mar 15, 2024
- Employees · 9 to 10Mar 23, 2023 to Mar 15, 2024
- State-registered IARs · 3 to 4Mar 23, 2023 to Mar 15, 2024
- Discretionary RAUM · $512M to $645MMar 23, 2023 to Mar 15, 2024
- HNW RAUM · $467M to $582MMar 23, 2023 to Mar 15, 2024
- Individual RAUM · $49.7M to $62.6MMar 23, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $6.9M to $6.5MMar 23, 2023 to Mar 15, 2024
- Pension RAUM · 357505.0 to unsetMar 23, 2023 to Mar 15, 2024
- RAUM · $519M to $651MMar 23, 2023 to Mar 15, 2024
- Employees · 8 to 9Mar 3, 2022 to Mar 8, 2023
- Accounts · 596 to 688Mar 3, 2022 to Mar 8, 2023
- HNW clients · 167 to 192Mar 3, 2022 to Mar 8, 2023
Signals
3 dated events
- Phillip Jared Niblo left Flc Capital Advisors for Advisory Services Network (registered 2026-02-27)Mar 2, 2026 · Advisor changed firm · fact
- Flc Capital Advisors reported RAUM $651.1M, up 25% from $519.0M (2023-03-23 to 2024-03-15)Mar 15, 2024 · RAUM change · derived
- Flc Capital Advisors filed its initial SEC registration (Form ADV)Jan 24, 2013 · First SEC registration · 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
- Business email
- bekstrom@flccapital.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 760-779-8110reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 760-779-8112reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 888-763-6867reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- FLCCAPITAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 760-779-8110reportedpublic record, Form ADV, Apr 3, 2026
- Contact form
- flccapital.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $206Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026