DFX Intelligence
RIA Intelligence
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SEC-registered adviser
F•• F•••••••• S•••••••• I•••
Latest filing Feb 26, 2026
First filing on the tape Jan 19, 2012 · 24 filings
SEC status approved since Sep 12, 2001
RAUM
$111M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$111M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$111M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$111M as of Feb 26, 2026
Jan 19, 2012$55.4M then
HNW client RAUM$94.1M as of Feb 26, 2026
Feb 13, 2018$61.9M then
State-registered IARs (5.B.3)1 as of Feb 26, 2026
Jan 19, 20120 then
Employees (5.A)1 as of Feb 26, 2026
Mar 13, 20131 then
Private funds: no history
RAUM +22% over the last fiscal year+9.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 26, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $111MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 84derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $409,081derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +29%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $2.2M, 7 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)
- 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$94.1M85%
- Individuals$16.5M15%
- Corporations and businesses$191,9110.2%
- Charitable organizations$46,2910.0%
- Individual clients
- 53reported
- HNW clients
- 31reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 271reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.2M for 7 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• R•••• F••Certified Financial Planner | White Plains, Ny | Mar 14, 2011 | 33 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
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
- F••• A•••••• R•••• · President And Chief Compliance Officercontrolsince 08/1993 · owns 75% or more
- F••• G•••••••• •••• · Secretarysince 08/1993 · 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
- Accounts · 162 to 271Feb 13, 2025 to Feb 26, 2026
- Advisory activities · 2 to 3Feb 13, 2025 to Feb 26, 2026
- HNW clients · 26 to 31Feb 13, 2025 to Feb 26, 2026
- Individual clients · 39 to 53Feb 13, 2025 to Feb 26, 2026
- Assets in custody · $1.9M to $2.2MFeb 13, 2025 to Feb 26, 2026
- Discretionary RAUM · $90.9M to $111MFeb 13, 2025 to Feb 26, 2026
- HNW RAUM · $73.2M to $94.1MFeb 13, 2025 to Feb 26, 2026
- Individual RAUM · $17.7M to $16.5MFeb 13, 2025 to Feb 26, 2026
- RAUM · $90.9M to $111MFeb 13, 2025 to Feb 26, 2026
- Accounts · 64 to 162Jan 26, 2024 to Feb 13, 2025
- HNW clients · 20 to 26Jan 26, 2024 to Feb 13, 2025
- Individual clients · 44 to 39Jan 26, 2024 to Feb 13, 2025
- Assets in custody · unset to 1876829.0Jan 26, 2024 to Feb 13, 2025
- Custody of client assets · false to trueJan 26, 2024 to Feb 13, 2025
- Financial planning clients · 51-100 to 51-100Jan 26, 2024 to Feb 13, 2025
- Discretionary RAUM · $84.4M to $90.9MJan 26, 2024 to Feb 13, 2025
- HNW RAUM · $62.3M to $73.2MJan 26, 2024 to Feb 13, 2025
- Individual RAUM · $22.2M to $17.7MJan 26, 2024 to Feb 13, 2025
- RAUM · $84.4M to $90.9MJan 26, 2024 to Feb 13, 2025
- Accounts · 71 to 64Sep 8, 2023 to Jan 26, 2024
- HNW clients · 22 to 20Sep 8, 2023 to Jan 26, 2024
- Individual clients · 49 to 44Sep 8, 2023 to Jan 26, 2024
- Discretionary RAUM · $84.2M to $84.4MSep 8, 2023 to Jan 26, 2024
- HNW RAUM · $61.8M to $62.3MSep 8, 2023 to Jan 26, 2024
- Individual RAUM · $22.4M to $22.2MSep 8, 2023 to Jan 26, 2024
- RAUM · $84.2M to $84.4MSep 8, 2023 to Jan 26, 2024
- Accounts · 68 to 71Feb 4, 2022 to Feb 3, 2023
- HNW clients · 25 to 22Feb 4, 2022 to Feb 3, 2023
- Individual clients · 43 to 49Feb 4, 2022 to Feb 3, 2023
- Other offices · 0 to 1Feb 4, 2022 to Feb 3, 2023
- Discretionary RAUM · $95.7M to $84.2MFeb 4, 2022 to Feb 3, 2023
- HNW RAUM · $73.9M to $61.8MFeb 4, 2022 to Feb 3, 2023
- Individual RAUM · $21.8M to $22.4MFeb 4, 2022 to Feb 3, 2023
- RAUM · $95.7M to $84.2MFeb 4, 2022 to Feb 3, 2023
- Accounts · 64 to 68Jan 26, 2021 to Feb 4, 2022
- HNW clients · 21 to 25Jan 26, 2021 to Feb 4, 2022
- Assets in custody · 5771176.0 to unsetJan 26, 2021 to Feb 4, 2022
- Custody of client assets · true to falseJan 26, 2021 to Feb 4, 2022
- Employees · 2 to 1Jan 26, 2021 to Feb 4, 2022
- Discretionary RAUM · $86.0M to $95.7MJan 26, 2021 to Feb 4, 2022
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 phone
- 877-761-1639reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 914-761-1639reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/fox-financial-services-inc-reportedpublic record, Form ADV, Sep 21, 2026
- Website
- f•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (914) 761-1639reportedpublic record, Form ADV, Feb 26, 2026
- Contact form
- f•••••••••.comreportedpublished 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
- $111Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026