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.
Former SEC-registered adviser
Financial Focus, Inc.
Latest filing Feb 12, 2019
First filing on the tape Mar 14, 2012 · 16 filings
RAUM
$276M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
98%
$272M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$276M as of Feb 12, 2019
Mar 14, 2012$149M then
HNW client RAUM$220M as of Feb 12, 2019
Mar 7, 2018$269M then
State-registered IARs (5.B.3)5 as of Feb 12, 2019
Mar 14, 20120 then
Employees (5.A)5 as of Feb 12, 2019
Mar 14, 20134 then
Private funds: no history
RAUM -3.8% over the last fiscal year+11% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Feb 12, 2019; every figure names its basis
- RAUM per advisor
- $55.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $340,107derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.7%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$220M80%
- Individuals$52.1M19%
- Charitable organizations$4.2M1.5%
- Individual clients
- 146reported
- HNW clients
- 87reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 811reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
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
- Kristen Ann Madden to F L Putnam Investment Management Co.Jul 16, 2019 · RIA to RIA
- Daosith Samuel Lemay to F L Putnam Investment Management Co.Jul 16, 2019 · RIA to RIA
- Landon Joe Fritch to F L Putnam Investment Management Co.Jul 16, 2019 · RIA to RIA
- Valerie Jean Brown to F L Putnam Investment Management Co.Jul 16, 2019 · RIA to RIA
- Susan Macmichael John to F L Putnam Investment Management Co.Jul 16, 2019 · RIA to RIA
- Thomas George Goodwin to F L Putnam Investment Management Co.Jul 16, 2019 · RIA to RIA
- Rachel Jean Brown Lawrence to Learnvest Planning Services, LLCSep 4, 2012 · Other
Joined, latest
- Thomas George Goodwin from Integrity Financial PlannersAug 13, 2012 · Other
- Daosith Samuel Lemay from Ameriprise Financial Services, LLCAug 14, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for F L Putnam Investment Management Co.Jul 16, 2019 · Wolfeboro, Nh · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Macmichael Susan John · Presidentcontrolsince 09/2004 · owns 75% or more
- George Thomas Goodwin · Chief Compliance Officersince 03/2014 · owns less than 5%
- Samuel Daosith Lemay · Financial Plannersince 01/2013 · owns 10% to 25%
- Ann Kristen Madden · Vice Presidentsince 10/2008 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 824 to 811Mar 7, 2018 to Feb 12, 2019
- Charity clients · 8 to 6Mar 7, 2018 to Feb 12, 2019
- HNW clients · 174 to 87Mar 7, 2018 to Feb 12, 2019
- Individual clients · 63 to 146Mar 7, 2018 to Feb 12, 2019
- Discretionary RAUM · $279M to $252MMar 7, 2018 to Feb 12, 2019
- HNW RAUM · $269M to $220MMar 7, 2018 to Feb 12, 2019
- Individual RAUM · $12.2M to $52.1MMar 7, 2018 to Feb 12, 2019
- Non-discretionary RAUM · $7.8M to $23.9MMar 7, 2018 to Feb 12, 2019
- RAUM · $287M to $276MMar 7, 2018 to Feb 12, 2019
- Accounts · 764 to 824Feb 2, 2017 to Mar 7, 2018
- Charity clients · unset to 8.0Feb 2, 2017 to Mar 7, 2018
- HNW clients · unset to 174.0Feb 2, 2017 to Mar 7, 2018
- Individual clients · unset to 63.0Feb 2, 2017 to Mar 7, 2018
- Financial planning clients · 101-250 to 251-500Feb 2, 2017 to Mar 7, 2018
- Other offices · unset to 0.0Feb 2, 2017 to Mar 7, 2018
- Discretionary RAUM · $215M to $279MFeb 2, 2017 to Mar 7, 2018
- HNW RAUM · unset to 269459806.0Feb 2, 2017 to Mar 7, 2018
- Individual RAUM · unset to 12196777.0Feb 2, 2017 to Mar 7, 2018
- Non-discretionary RAUM · $16.6M to $7.8MFeb 2, 2017 to Mar 7, 2018
- RAUM · $232M to $287MFeb 2, 2017 to Mar 7, 2018
- Accounts · 683 to 764Feb 3, 2016 to Feb 2, 2017
- Advisory employees · 4 to 5Feb 3, 2016 to Feb 2, 2017
- Employees · 4 to 5Feb 3, 2016 to Feb 2, 2017
- State-registered IARs · 4 to 5Feb 3, 2016 to Feb 2, 2017
- Discretionary RAUM · $197M to $215MFeb 3, 2016 to Feb 2, 2017
- Non-discretionary RAUM · $2.2M to $16.6MFeb 3, 2016 to Feb 2, 2017
- RAUM · $199M to $232MFeb 3, 2016 to Feb 2, 2017
- Accounts · 646 to 683Sep 30, 2015 to Feb 3, 2016
- Discretionary RAUM · $194M to $197MSep 30, 2015 to Feb 3, 2016
- Non-discretionary RAUM · $3.7M to $2.2MSep 30, 2015 to Feb 3, 2016
- RAUM · $197M to $199MSep 30, 2015 to Feb 3, 2016
- Accounts · 649 to 646Mar 23, 2015 to May 23, 2015
- Discretionary RAUM · $191M to $194MMar 23, 2015 to May 23, 2015
- Non-discretionary RAUM · $3.5M to $3.7MMar 23, 2015 to May 23, 2015
- RAUM · $194M to $197MMar 23, 2015 to May 23, 2015
- Accounts · 820 to 649Nov 4, 2014 to Feb 26, 2015
- Discretionary RAUM · $169M to $191MNov 4, 2014 to Feb 26, 2015
- Non-discretionary RAUM · $4.2M to $3.5MNov 4, 2014 to Feb 26, 2015
- RAUM · $173M to $194MNov 4, 2014 to Feb 26, 2015
- Accounts · 697 to 820Mar 14, 2013 to Mar 6, 2014
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.
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
- Former SEC-registered adviserderiveda 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