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

First Financial Advisors, LLC

Former SEC-registered adviserSaint Augustine, FloridaCRD 134897SEC 801-68867IAPD
Latest filing Apr 26, 2016
First filing on the tape Mar 30, 2012 · 14 filings
RAUM
$28.4M
reported, Item 5.F
Discretionary
54%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$28.4M as of Mar 29, 2016
Mar 30, 2012$37.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Mar 29, 2016
Mar 28, 20137 then
Employees (5.A)11 as of Mar 29, 2016
Mar 28, 201313 then
Private funds: no history
RAUM +0.7% over the last fiscal year-7.0% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Apr 26, 2016; every figure names its basis
RAUM per advisor
$4.7MderivedRAUM 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
$62,648derivedRAUM over accounts (5.F.2.f)
Discretionary
54%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
1.5derived4 offices incl. principal (1.F.5)
RAUM growth, one year
+0.7%derivedbetween the last two annual amendments
Advisor growth, one year
+20%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
  • compensates persons for client referrals (8.G.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
454reported
Financial planning clients
0reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Woodson Lewis Burge · President, Managing Member And Chief Compliance Officercontrol
    since 03/2005 · owns 75% or more
Related persons
Schedule D 7.A
  • First Financial Education Centers, LLC
    real estaten
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Easley, Sc000
Offices
Schedule D 1.F, the 25 largest
  • Tewksbury, MA
  • W. Des Moines, IA
  • ,
What changed
consecutive filings, newest first
  • Advisory employees · 8 to 6
    Apr 14, 2016 to Apr 26, 2016
  • Employees · 11 to 9
    Apr 14, 2016 to Apr 26, 2016
  • Accounts · 634 to 454
    Mar 7, 2016 to Mar 29, 2016
  • Advisory employees · 6 to 8
    Mar 7, 2016 to Mar 29, 2016
  • Employees · 8 to 11
    Mar 7, 2016 to Mar 29, 2016
  • Insurance-licensed employees · 1 to 3
    Mar 7, 2016 to Mar 29, 2016
  • State-registered IARs · 5 to 6
    Mar 7, 2016 to Mar 29, 2016
  • Discretionary RAUM · $28.2M to $15.3M
    Mar 7, 2016 to Mar 29, 2016
  • Non-discretionary RAUM · $0 to $13.1M
    Mar 7, 2016 to Mar 29, 2016
  • RAUM · $28.2M to $28.4M
    Mar 7, 2016 to Mar 29, 2016
  • Accounts · 229 to 634
    Jul 8, 2014 to Mar 24, 2015
  • Advisory employees · 8 to 6
    Jul 8, 2014 to Mar 24, 2015
  • Employees · 11 to 8
    Jul 8, 2014 to Mar 24, 2015
  • Insurance-licensed employees · 3 to 1
    Jul 8, 2014 to Mar 24, 2015
  • State-registered IARs · 6 to 5
    Jul 8, 2014 to Mar 24, 2015
  • Discretionary RAUM · $27.8M to $28.2M
    Jul 8, 2014 to Mar 24, 2015
  • RAUM · $27.8M to $28.2M
    Jul 8, 2014 to Mar 24, 2015
  • Accounts · 903 to 229
    Jan 8, 2014 to Mar 26, 2014
  • Advisory employees · 13 to 8
    Jan 8, 2014 to Mar 26, 2014
  • Employees · 13 to 11
    Jan 8, 2014 to Mar 26, 2014
  • Insurance-licensed employees · 6 to 3
    Jan 8, 2014 to Mar 26, 2014
  • State-registered IARs · 7 to 6
    Jan 8, 2014 to Mar 26, 2014
  • Discretionary RAUM · $35.4M to $27.8M
    Jan 8, 2014 to Mar 26, 2014
  • RAUM · $35.4M to $27.8M
    Jan 8, 2014 to Mar 26, 2014
  • Accounts · 996 to 903
    Mar 30, 2012 to Mar 28, 2013
  • Advisory employees · unset to 13.0
    Mar 30, 2012 to Mar 28, 2013
  • Employees · unset to 13.0
    Mar 30, 2012 to Mar 28, 2013
  • Insurance-licensed employees · 0 to 6
    Mar 30, 2012 to Mar 28, 2013
  • State-registered IARs · unset to 7.0
    Mar 30, 2012 to Mar 28, 2013
  • Discretionary RAUM · $37.1M to $35.4M
    Mar 30, 2012 to Mar 28, 2013
  • RAUM · $37.1M to $35.4M
    Mar 30, 2012 to Mar 28, 2013
Signals
1 dated events
  • Kurt Theodore Cole left First Financial Advisors, Llc for Cambridge Investment Research Advisors, Inc. (registered 2025-08-07)
    Dec 31, 2024 · 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.
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