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•••••• F••••••••
Legal name F•••••• F••••••••• I•••
Latest filing Mar 10, 2026
First filing on the tape May 15, 2012 · 26 filings
SEC status approved since Jun 7, 2012
RAUM
$803M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
100%
$803M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$80.3M
derived; firm RAUM over IAPD count
Employees
14
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$803M as of Mar 10, 2026
Mar 12, 2013$87.8M then
HNW client RAUM$770M as of Mar 10, 2026
Feb 22, 2018$193M then
State-registered IARs (5.B.3)7 as of Mar 10, 2026
Mar 12, 20130 then
Employees (5.A)14 as of Mar 10, 2026
Mar 12, 20139 then
Private funds: no history
RAUM +18% over the last fiscal year+24% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $80.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $766,446derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 10.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.6%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$770M96%
- Individuals$32.8M4.1%
- Individual clients
- 57reported
- HNW clients
- 199reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,048reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- 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
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• A• F••••••Certified Financial Planner | New York, Ny | Jul 6, 2021 | 23 y | 2 |
| N•••••• C•••••Certified Financial Planner | New York, Ny | Jul 23, 2021 | 11 y | 0 |
| S••••• L••••••Certified Financial Planner | New York, Ny | Jul 23, 2021 | 10 y | 0 |
| A•••• R••••••Certified Financial Planner | New York, Ny | Jul 23, 2021 | 19 y | 2 |
| A•••••••• M• S•••••Certified Financial Planner | New York, Ny | Jul 23, 2021 | 10 y | 0 |
| M•••••• M••••Certified Financial Planner | New York, Ny | Jun 3, 2022 | 13 y | 1 |
| B••••• A•••• S••••Certified Financial Planner | New York, Ny | Feb 15, 2024 | 18 y | 2 |
| M•••••• J••• H•••••••Certified Financial Planner, Chartered Financial Analyst | Chester Springs, Pa | Dec 11, 2025 | 18 y | 2 |
| D••••• J••••• S••••Certified Financial Planner | New York, Ny | Apr 16, 2026 | 11 y | 2 |
| M•••••• A• G•••••Chartered Financial Analyst | Ingleside, Il | Apr 23, 2026 | 29 y | 1 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- P•••• V•••• to S•• C•••••• M••••••••• L••Jan 17, 2024 · RIA to RIA
- D•••• B•••••• to J••• M••••• S••••••••• L••Aug 9, 2022 · RIA to wirehouse
- D•••••• F••••• to F•••••• C•••••• A•••••••Jul 15, 2022 · RIA to RIA
- P••• S•••••• to C••••• C•••••••• W••••• M••••••••• L••Feb 25, 2022 · RIA to RIA
Joined, latest
- M•••••• A• G••••• from G•••• A•• G••••••••• L•••••Apr 23, 2026 · RIA to RIA
- D••••• J••••• S•••• from L•••Apr 16, 2026 · RIA to RIA
- B••••• A•••• S•••• from C•••••• W•••••Feb 15, 2024 · RIA to RIA
- M•••••• M•••• from N••• W••••• P•••••••Jun 3, 2022 · RIA to RIA
- D•••••• F••••• from O••••• I••••••••• A••••••• L••May 11, 2022 · Other
- A•••• R•••••• from H•••••••• W••••• A••••••• • N•• L••Jul 23, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••• S••••• A• · President/Chief Compliance Officercontrolsince 07/2003 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 10 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,014 to 1,048May 23, 2025 to Mar 10, 2026
- HNW clients · 188 to 199May 23, 2025 to Mar 10, 2026
- Individual clients · 50 to 57May 23, 2025 to Mar 10, 2026
- Employees · 13 to 14May 23, 2025 to Mar 10, 2026
- Discretionary RAUM · $623M to $741MMay 23, 2025 to Mar 10, 2026
- HNW RAUM · $653M to $770MMay 23, 2025 to Mar 10, 2026
- Individual RAUM · $27.4M to $32.8MMay 23, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $57.5M to $62.0MMay 23, 2025 to Mar 10, 2026
- RAUM · $680M to $803MMay 23, 2025 to Mar 10, 2026
- Financial planning clients · 11-25 to 11-25Mar 28, 2025 to May 23, 2025
- Accounts · 884 to 1,014Jul 9, 2024 to Mar 28, 2025
- HNW clients · 179 to 188Jul 9, 2024 to Mar 28, 2025
- Individual clients · 30 to 50Jul 9, 2024 to Mar 28, 2025
- Employees · 12 to 13Jul 9, 2024 to Mar 28, 2025
- Discretionary RAUM · $454M to $623MJul 9, 2024 to Mar 28, 2025
- HNW RAUM · $493M to $653MJul 9, 2024 to Mar 28, 2025
- Individual RAUM · $16.5M to $27.4MJul 9, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $56.2M to $57.5MJul 9, 2024 to Mar 28, 2025
- RAUM · $510M to $680MJul 9, 2024 to Mar 28, 2025
- Accounts · 856 to 884Mar 31, 2023 to Mar 27, 2024
- Advisory employees · 6 to 7Mar 31, 2023 to Mar 27, 2024
- HNW clients · 148 to 179Mar 31, 2023 to Mar 27, 2024
- Individual clients · 56 to 30Mar 31, 2023 to Mar 27, 2024
- Employees · 13 to 12Mar 31, 2023 to Mar 27, 2024
- State-registered IARs · 6 to 7Mar 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $376M to $454MMar 31, 2023 to Mar 27, 2024
- HNW RAUM · $391M to $493MMar 31, 2023 to Mar 27, 2024
- Individual RAUM · $28.7M to $16.5MMar 31, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $43.4M to $56.2MMar 31, 2023 to Mar 27, 2024
- RAUM · $419M to $510MMar 31, 2023 to Mar 27, 2024
- Accounts · 823 to 856May 4, 2022 to Mar 31, 2023
- Advisory employees · 7 to 6May 4, 2022 to Mar 31, 2023
- Advisory activities · 4 to 5May 4, 2022 to Mar 31, 2023
- HNW clients · 154 to 148May 4, 2022 to Mar 31, 2023
- Individual clients · 38 to 56May 4, 2022 to Mar 31, 2023
- Employees · 11 to 13May 4, 2022 to Mar 31, 2023
- State-registered IARs · 7 to 6May 4, 2022 to Mar 31, 2023
- Discretionary RAUM · $418M to $376MMay 4, 2022 to Mar 31, 2023
- HNW RAUM · $448M to $391MMay 4, 2022 to Mar 31, 2023
- Individual RAUM · $18.2M to $28.7MMay 4, 2022 to Mar 31, 2023
Signals
5 dated events
- F•••••• F•••••••• reported RAUM $680.3M, up 33% from $509.7M (2024-07-09 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- P•••• V•••• left F•••••• F•••••••• for S•• C•••••• M••••••••• L•• (registered 2024-02-14)Jan 17, 2024 · Advisor changed firm · fact
- D•••• B•••••• left F•••••• F•••••••• for J••• M••••• S••••••••• L•• (registered 2022-07-27)Aug 9, 2022 · Advisor changed firm · fact
- D•••••• F••••• left F•••••• F•••••••• for F•••••• C•••••• A••••••• (registered 2022-09-01)Jul 15, 2022 · Advisor changed firm · fact
- P••• S•••••• left F•••••• F•••••••• for C••••• C•••••••• W••••• M••••••••• L•• (registered 2022-03-22)Feb 25, 2022 · Advisor changed firm · fact
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
- 212-374-9008reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 646-219-6799reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/F••••••-FINANCIAL-INCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-374-9008reportedpublic record, Form ADV, Mar 10, 2026
- Contact form
- francisfinancial.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- francisfinancial.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $80.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026