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.
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Former SEC-registered adviser
F•• F•••••••• S•••••••• I•••
Latest filing Apr 24, 2017
First filing on the tape Nov 9, 2011 · 13 filings
RAUM
$40.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$40.5M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$40.5M as of Mar 24, 2017
Mar 28, 2012$104M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 24, 2017
Mar 26, 20132 then
Employees (5.A)3 as of Mar 24, 2017
Mar 26, 20133 then
Private funds: no history
RAUM -60% over the last fiscal year-29% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 24, 2017; every figure names its basis
- RAUM per advisor
- $40.5MderivedRAUM 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
- $134,864derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -60%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 300reported
- Financial planning clients
- 51-100reported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••• L•• H••••• | Lincoln, Ne | Sep 7, 2023 | 25 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••• E•••••• D••••• · Presidentcontrolsince 11/1997 · owns 75% or more
- K•••••• A•••••• J•• · Chief Compliance Officersince 01/2003 · owns less than 5%
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 · 699 to 300Dec 14, 2016 to Jan 18, 2017
- Advisory activities · 4 to 2Dec 14, 2016 to Jan 18, 2017
- Discretionary RAUM · $79.5M to $40.5MDec 14, 2016 to Jan 18, 2017
- RAUM · $79.5M to $40.5MDec 14, 2016 to Jan 18, 2017
- Accounts · 991 to 699Mar 11, 2016 to Dec 14, 2016
- Discretionary RAUM · $101M to $79.5MMar 11, 2016 to Dec 14, 2016
- RAUM · $101M to $79.5MMar 11, 2016 to Dec 14, 2016
- Accounts · 1,195 to 991Mar 24, 2015 to Mar 11, 2016
- Discretionary RAUM · $118M to $101MMar 24, 2015 to Mar 11, 2016
- RAUM · $118M to $101MMar 24, 2015 to Mar 11, 2016
- Accounts · 1,179 to 1,195Aug 18, 2014 to Mar 24, 2015
- Discretionary RAUM · $112M to $118MAug 18, 2014 to Mar 24, 2015
- RAUM · $112M to $118MAug 18, 2014 to Mar 24, 2015
- Accounts · 1,379 to 1,179Dec 12, 2013 to Mar 12, 2014
- Discretionary RAUM · $98.5M to $112MDec 12, 2013 to Mar 12, 2014
- RAUM · $98.5M to $112MDec 12, 2013 to Mar 12, 2014
- Accounts · 1,578 to 1,379Dec 6, 2012 to Mar 26, 2013
- Discretionary RAUM · $104M to $98.5MDec 6, 2012 to Mar 26, 2013
- RAUM · $104M to $98.5MDec 6, 2012 to Mar 26, 2013
- Advisory employees · unset to 2.0Mar 28, 2012 to Dec 6, 2012
- Employees · unset to 3.0Mar 28, 2012 to Dec 6, 2012
- State-registered IARs · unset to 2.0Mar 28, 2012 to Dec 6, 2012
- Accounts · 1,501 to 1,578Nov 9, 2011 to Mar 28, 2012
- Insurance-licensed employees · unset to 0.0Nov 9, 2011 to Mar 28, 2012
- Financial planning clients · 26-50 to 51-100Nov 9, 2011 to Mar 28, 2012
- Discretionary RAUM · $102M to $104MNov 9, 2011 to Mar 28, 2012
- RAUM · $102M to $104MNov 9, 2011 to Mar 28, 2012
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
- Firm profile
- linkedin.com/company/foy-financial-services-inc.reportedpublic record, Form ADV, Sep 19, 2026
- Website
- FOYFINANCIAL.COMreportedpublic record, Form ADV, Sep 19, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $40.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026