DFX Intelligence
RIA Intelligence
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SEC-registered adviser
F••••• F•••••••• A•••••••• I•••
Latest filing Mar 3, 2026
First filing on the tape Apr 22, 2022 · 14 filings
SEC status approved since May 23, 2022
RAUM
$72.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$72.0M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$36.0M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$72.0M as of Mar 3, 2026
Feb 10, 2023$45.7M then
HNW client RAUM$68.5M as of Mar 3, 2026
Feb 10, 2023$44.0M then
State-registered IARs (5.B.3)2 as of Mar 3, 2026
Feb 10, 20231 then
Employees (5.A)3 as of Mar 3, 2026
Feb 10, 20233 then
Private funds: no history
RAUM +7.4% over the last fiscal year+16% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Mar 3, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $36.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $666,806derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.6%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $3.2M, 1 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$68.5M95%
- Individuals$3.5M4.9%
- Individual clients
- 12reported
- HNW clients
- 27reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 108reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.2M for 1 clientsreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••••• D•••• F••••• | New York, Ny | Jun 18, 2021 | 34 y | 0 |
| D••••• F••••• V••••Chartered Financial Analyst | New York, Ny | Jan 13, 2026 | 10 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
- D••••• C••••• · Chief Compliance Officercontrolsince 06/2022 · owns less than 5%
- F•••••• E•••••• D•••• · Presidentcontrolsince 09/2005 · owns less than 5%
- F•••••• E•••••• D•••• · Presidentcontrolsince 07/1992 · owns 75% or more of F••••• F•••••••• G••••• I•••
Entity owners
- F••••• F•••••••• G••••• I••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- F••••• • S••• I•••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 105 to 108Jan 27, 2025 to Feb 18, 2026
- Advisory employees · 1 to 2Jan 27, 2025 to Feb 18, 2026
- HNW clients · 28 to 27Jan 27, 2025 to Feb 18, 2026
- Individual clients · 10 to 12Jan 27, 2025 to Feb 18, 2026
- Assets in custody · $4.6M to $3.2MJan 27, 2025 to Feb 18, 2026
- State-registered IARs · 1 to 2Jan 27, 2025 to Feb 18, 2026
- Discretionary RAUM · $67.0M to $72.0MJan 27, 2025 to Feb 18, 2026
- HNW RAUM · $64.4M to $68.5MJan 27, 2025 to Feb 18, 2026
- Individual RAUM · $2.7M to $3.5MJan 27, 2025 to Feb 18, 2026
- RAUM · $67.0M to $72.0MJan 27, 2025 to Feb 18, 2026
- Accounts · 95 to 105Jul 23, 2024 to Jan 27, 2025
- HNW clients · 25 to 28Jul 23, 2024 to Jan 27, 2025
- Individual clients · 8 to 10Jul 23, 2024 to Jan 27, 2025
- Assets in custody · $3.6M to $4.6MJul 23, 2024 to Jan 27, 2025
- Financial planning clients · 11-25 to 26-50Jul 23, 2024 to Jan 27, 2025
- Discretionary RAUM · $54.4M to $67.0MJul 23, 2024 to Jan 27, 2025
- HNW RAUM · $52.4M to $64.4MJul 23, 2024 to Jan 27, 2025
- Individual RAUM · $2.0M to $2.7MJul 23, 2024 to Jan 27, 2025
- RAUM · $54.4M to $67.0MJul 23, 2024 to Jan 27, 2025
- Accounts · 89 to 95Sep 6, 2023 to Feb 2, 2024
- Assets in custody · $6.6M to $3.6MSep 6, 2023 to Feb 2, 2024
- Financial planning clients · 0 to 11-25Sep 6, 2023 to Feb 2, 2024
- Discretionary RAUM · $45.7M to $54.4MSep 6, 2023 to Feb 2, 2024
- HNW RAUM · $44.0M to $52.4MSep 6, 2023 to Feb 2, 2024
- Individual RAUM · $1.7M to $2.0MSep 6, 2023 to Feb 2, 2024
- RAUM · $45.7M to $54.4MSep 6, 2023 to Feb 2, 2024
- Accounts · 77 to 89Nov 3, 2022 to Feb 10, 2023
- HNW clients · 24 to 25Nov 3, 2022 to Feb 10, 2023
- Individual clients · 5 to 8Nov 3, 2022 to Feb 10, 2023
- Assets in custody · $590,747 to $6.6MNov 3, 2022 to Feb 10, 2023
- Employees · 4 to 3Nov 3, 2022 to Feb 10, 2023
- Discretionary RAUM · $47.4M to $45.7MNov 3, 2022 to Feb 10, 2023
- HNW RAUM · $46.6M to $44.0MNov 3, 2022 to Feb 10, 2023
- Individual RAUM · $770,669 to $1.7MNov 3, 2022 to Feb 10, 2023
- RAUM · $47.4M to $45.7MNov 3, 2022 to Feb 10, 2023
- Accounts · 83 to 77Oct 10, 2022 to Nov 3, 2022
- HNW clients · 25 to 24Oct 10, 2022 to Nov 3, 2022
- HNW RAUM · $48.4M to $46.6MOct 10, 2022 to Nov 3, 2022
- Non-discretionary RAUM · $1.7M to $0Oct 10, 2022 to Nov 3, 2022
- RAUM · $49.2M to $47.4MOct 10, 2022 to Nov 3, 2022
Signals
3 dated events
- Carlos Dutan (Chief Compliance Officer) appeared on Schedule A of F••••• F•••••••• A•••••••• I•••Jun 14, 2022 · Control person joined · fact
- Carlos Dutan (Chief Compliance Officer) no longer on Schedule A of F••••• F•••••••• A•••••••• I••• (listed 2022-04-22, absent 2022-05-09)May 9, 2022 · Control person left · inference
- F••••• F•••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Apr 22, 2022 · First SEC registration · 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
- 212-877-1576reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 646-650-2902reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 212-644-0930reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/franco-financial-groupreportedpublic record, Form ADV, Sep 21, 2026
- Website
- f•••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-877-1576reportedpublic record, Form ADV, Mar 3, 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
- $36.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026