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
Fiduciary Counselors Inc.
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 15 filings
SEC status approved since Nov 29, 1999
RAUM
$20B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$20B as of Mar 31, 2026
Mar 30, 2012$3.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)8 as of Mar 31, 2026
Mar 28, 201310 then
Private funds: no history
RAUM +20% over the last fiscal year+9.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- unknownderivedRAUM 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
- $1.6BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- 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
- 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$20B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 13reported
- Charitable clients
- n/areported
- Accounts
- 13reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourlyreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 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
- Stephen John Caflisch · Director, Senior Vice President & General Counselcontrolsince 10/2005 · owns 50% to 75%
- E Thomas O'Connor · Director, President & Ceocontrolsince 01/2018 · owns 50% to 75%
- A Kathryn Ricard · Chief Compliance Officersince 03/2017 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- RAUM · $17B to $20BMar 31, 2025 to Mar 31, 2026
- Accounts · 12 to 13Mar 31, 2025 to Mar 31, 2026
- Pension plan clients · 12 to 13Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $16B to $20BMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $722M to $570MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $17B to $20BMar 31, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $14B to $16BMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $712M to $722MMar 29, 2024 to Mar 31, 2025
- Pension RAUM · $14B to $17BMar 29, 2024 to Mar 31, 2025
- RAUM · $14B to $17BMar 29, 2024 to Mar 31, 2025
- Accounts · 14 to 12Mar 31, 2023 to Mar 29, 2024
- Pension plan clients · 14 to 12Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $15B to $14BMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $664M to $712MMar 31, 2023 to Mar 29, 2024
- Pension RAUM · $16B to $14BMar 31, 2023 to Mar 29, 2024
- RAUM · $16B to $14BMar 31, 2023 to Mar 29, 2024
- Accounts · 16 to 14Mar 31, 2022 to Mar 31, 2023
- Pension plan clients · 16 to 14Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $18B to $15BMar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $729M to $664MMar 31, 2022 to Mar 31, 2023
- Pension RAUM · $19B to $16BMar 31, 2022 to Mar 31, 2023
- RAUM · $19B to $16BMar 31, 2022 to Mar 31, 2023
- Accounts · 17 to 16Mar 31, 2021 to Mar 31, 2022
- Pension plan clients · 17 to 16Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $17B to $18BMar 31, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $527M to $729MMar 31, 2021 to Mar 31, 2022
- Pension RAUM · $18B to $19BMar 31, 2021 to Mar 31, 2022
- RAUM · $18B to $19BMar 31, 2021 to Mar 31, 2022
- Accounts · 18 to 17Mar 31, 2020 to Mar 31, 2021
- Pension plan clients · 18 to 17Mar 31, 2020 to Mar 31, 2021
- Discretionary RAUM · $19B to $17BMar 31, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $546M to $527MMar 31, 2020 to Mar 31, 2021
- Pension RAUM · $19B to $18BMar 31, 2020 to Mar 31, 2021
- RAUM · $19B to $18BMar 31, 2020 to Mar 31, 2021
- Accounts · 17 to 18Mar 29, 2019 to Mar 31, 2020
- Advisory employees · 4 to 6Mar 29, 2019 to Mar 31, 2020
- Pension plan clients · 17 to 18Mar 29, 2019 to Mar 31, 2020
- Discretionary RAUM · $17B to $19BMar 29, 2019 to Mar 31, 2020
- Non-discretionary RAUM · $0 to $546MMar 29, 2019 to Mar 31, 2020
Signals
5 dated events
- J Catherine O'Bryant (Director) no longer on Schedule A of Fiduciary Counselors Inc. (listed 2020-03-31, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- J Catherine O'Bryant (Director) appeared on Schedule A of Fiduciary Counselors Inc.Mar 31, 2020 · Control person joined · fact
- Sue Laura Rosenberg (Director, Senior Vice President) no longer on Schedule A of Fiduciary Counselors Inc. (listed 2019-03-29, absent 2020-03-31)Mar 31, 2020 · Control person left · inference
- Mary Ann Arlt (Shareholder Only) no longer on Schedule A of Fiduciary Counselors Inc. (listed 2019-03-29, absent 2020-03-31)Mar 31, 2020 · Control person left · inference
- Fiduciary Counselors Inc. reported RAUM $19.2B, up 66% from $11.5B (2017-03-31 to 2018-03-30)Mar 30, 2018 · 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
- Website
- PLANFIDUCIARY.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 202-558-5130reportedpublic record, Form ADV, Mar 31, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026