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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SEC-registered adviser
F•••• C•••••• P••••••• L••
Latest filing Mar 1, 2026
First filing on the tape Mar 20, 2012 · 23 filings
SEC status approved since Jul 30, 2003
RAUM
$40.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
22%
$8.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$40.9M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$40.9M as of Mar 1, 2026
Mar 20, 2012$20.8M then
HNW client RAUM$8.4M as of Mar 1, 2026
Mar 7, 2023$2.9M then
State-registered IARs (5.B.3)0 as of Mar 1, 2026
Feb 6, 20131 then
Employees (5.A)2 as of Mar 1, 2026
Feb 6, 20134 then
Private funds1 as of Mar 12, 2020
Mar 20, 20121 then
RAUM +7.4% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $40.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 17derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $602,011derivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +42%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, publications, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$30.2M74%
- High-net-worth individuals$8.4M21%
- Pooled investment vehicles$1.8M4.5%
- Individuals$399,8421.0%
- Individual clients
- 3reported
- HNW clients
- 14reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 40reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.22 fund_share=0.78 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 |
|---|---|---|---|---|
| B•••• J••••• F•••• | Key Biscayne, Fl | Feb 9, 2025 | 23 y | 1 |
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
- A••••• C•••••• F•••• to F•••• C•••••• M••••••••• L••Dec 31, 2014 · Other
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••• V•••• E••••• E•••• D••••• F••• L•••no longer reported | Hedge Fund | $10.0M | 10 | Mar 20, 2012 |
| B•••• H•••• F••• L•no longer reported | Hedge Fund | $1.0M | 5 | Mar 9, 2015 |
Owners and control persons
Schedule A and B, latest filing
- F••••• B••••• J••••• · Chief Investment Officer, Chief Compliance Officercontrolsince 06/2003 · owns 25% to 50%
- W••••• M••••••• M•••• · Chief Executive Officercontrolsince 09/2009 · owns 50% to 75%
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 · 15 to 40Feb 22, 2025 to Mar 1, 2026
- HNW clients · 5 to 14Feb 22, 2025 to Mar 1, 2026
- Individual clients · 7 to 3Feb 22, 2025 to Mar 1, 2026
- Financial planning clients · 0 to Feb 22, 2025 to Mar 1, 2026
- Discretionary RAUM · $38.1M to $40.9MFeb 22, 2025 to Mar 1, 2026
- HNW RAUM · $5.0M to $8.4MFeb 22, 2025 to Mar 1, 2026
- Individual RAUM · $1.4M to $399,842Feb 22, 2025 to Mar 1, 2026
- Pooled vehicle RAUM · $1.7M to $1.8MFeb 22, 2025 to Mar 1, 2026
- RAUM · $38.1M to $40.9MFeb 22, 2025 to Mar 1, 2026
- Accounts · 21 to 15Mar 12, 2024 to Feb 22, 2025
- Advisory employees · 2 to 1Mar 12, 2024 to Feb 22, 2025
- HNW clients · 17 to 5Mar 12, 2024 to Feb 22, 2025
- Individual clients · 1 to 7Mar 12, 2024 to Feb 22, 2025
- Employees · 5 to 2Mar 12, 2024 to Feb 22, 2025
- Financial planning clients · 0 to 0Mar 12, 2024 to Feb 22, 2025
- HQ city · unset to Mar 12, 2024 to Feb 22, 2025
- HQ state · unset to Mar 12, 2024 to Feb 22, 2025
- Discretionary RAUM · $32.2M to $38.1MMar 12, 2024 to Feb 22, 2025
- HNW RAUM · $5.0M to $5.0MMar 12, 2024 to Feb 22, 2025
- Individual RAUM · $61,490 to $1.4MMar 12, 2024 to Feb 22, 2025
- Pooled vehicle RAUM · $331,315 to $1.7MMar 12, 2024 to Feb 22, 2025
- RAUM · $32.2M to $38.1MMar 12, 2024 to Feb 22, 2025
- Accounts · 11 to 21Jun 23, 2023 to Mar 12, 2024
- HNW clients · 6 to 17Jun 23, 2023 to Mar 12, 2024
- Individual clients · unset to 1.0Jun 23, 2023 to Mar 12, 2024
- Discretionary RAUM · $30.0M to $32.2MJun 23, 2023 to Mar 12, 2024
- HNW RAUM · $2.9M to $5.0MJun 23, 2023 to Mar 12, 2024
- Individual RAUM · $1.4M to $61,490Jun 23, 2023 to Mar 12, 2024
- Pooled vehicle RAUM · $278,654 to $331,315Jun 23, 2023 to Mar 12, 2024
- RAUM · $30.0M to $32.2MJun 23, 2023 to Mar 12, 2024
- Accounts · 9 to 11Sep 23, 2022 to Mar 7, 2023
- HNW clients · unset to 6.0Sep 23, 2022 to Mar 7, 2023
- Individual clients · 6.0 to unsetSep 23, 2022 to Mar 7, 2023
- Employees · 4 to 5Sep 23, 2022 to Mar 7, 2023
- Discretionary RAUM · $26.6M to $30.0MSep 23, 2022 to Mar 7, 2023
- HNW RAUM · unset to 2905281.0Sep 23, 2022 to Mar 7, 2023
- Individual RAUM · $3.0M to $1.4MSep 23, 2022 to Mar 7, 2023
- Pooled vehicle RAUM · $272,585 to $278,654Sep 23, 2022 to Mar 7, 2023
- RAUM · $26.6M to $30.0MSep 23, 2022 to Mar 7, 2023
- Accounts · 8 to 9Feb 18, 2022 to Sep 23, 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
- 888-217-5426reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/frankfundsreportedpublic record, Form ADV, Sep 19, 2026
- Website
- F••••FUNDS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 973-887-7698reportedpublic record, Form ADV, Mar 1, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $40.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026