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

Soho Financial Services LLC

Former SEC-registered adviserMontecito, CaliforniaCRD 142510SEC 801-79526IAPD
Latest filing Jun 23, 2014
First filing on the tape Feb 21, 2012 · 13 filings
RAUM
$100M
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
$100M
derived; firm RAUM over IAPD count
Employees
4
4 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$32.0M as of Apr 12, 2013
Mar 29, 2012$46.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 12, 2013
Mar 29, 20120 then
Employees (5.A): 2
Private funds: no history
RAUM +117% over the last fiscal yearIARs 0 to 4
Practice profile
derived from the filing of Jun 23, 2014; every figure names its basis
RAUM per advisor
$100MderivedRAUM 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
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-30%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
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)
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
75reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Frank Thomas TroiseMontecito, CaJan 1, 202629 y10
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Miki Marion Braswell · Member, Secretarycontrol
    since 05/2014 · owns 50% to 75%
  • Thomas Frank Troise · President, Managing Member And Chief Compliance Officercontrol
    since 05/2014 · owns 50% to 75%
Related persons
Schedule D 7.A
Advisers that list Soho Financial Services LLC as a related person
Offices
Schedule D 1.F, the 25 largest
  • Henderson, NV
What changed
consecutive filings, newest first
  • Accounts · 42 to 75
    Apr 17, 2014 to Jun 23, 2014
  • Advisory employees · 5 to 4
    Apr 17, 2014 to Jun 23, 2014
  • Employees · 6 to 4
    Apr 17, 2014 to Jun 23, 2014
  • Insurance-licensed employees · 6 to 3
    Apr 17, 2014 to Jun 23, 2014
  • HQ city · WESTLAKE VILLAGE to MONTECITO
    Apr 17, 2014 to Jun 23, 2014
  • State-registered IARs · 6 to 4
    Apr 17, 2014 to Jun 23, 2014
  • Discretionary RAUM · $10.8M to $100M
    Apr 17, 2014 to Jun 23, 2014
  • RAUM · $10.8M to $100M
    Apr 17, 2014 to Jun 23, 2014
  • Advisory activities · 2 to 3
    Mar 28, 2014 to Apr 17, 2014
  • Accounts · 65 to 42
    Jun 7, 2013 to Mar 28, 2014
  • Advisory employees · 1 to 5
    Jun 7, 2013 to Mar 28, 2014
  • Employees · 2 to 6
    Jun 7, 2013 to Mar 28, 2014
  • Insurance-licensed employees · 1 to 6
    Jun 7, 2013 to Mar 28, 2014
  • HQ city · MONTECITO to WESTLAKE VILLAGE
    Jun 7, 2013 to Mar 28, 2014
  • State-registered IARs · 1 to 6
    Jun 7, 2013 to Mar 28, 2014
  • Discretionary RAUM · $32.0M to $10.8M
    Jun 7, 2013 to Mar 28, 2014
  • RAUM · $32.0M to $10.8M
    Jun 7, 2013 to Mar 28, 2014
  • Advisory activities · 4 to 2
    Apr 12, 2013 to Apr 30, 2013
  • Insurance-licensed employees · 0 to 1
    Apr 12, 2013 to Apr 30, 2013
  • Financial planning clients · 1-10 to unset
    Apr 12, 2013 to Apr 30, 2013
  • State-registered IARs · 0 to 1
    Apr 12, 2013 to Apr 30, 2013
  • Accounts · 82 to 65
    Mar 19, 2013 to Apr 12, 2013
  • Discretionary RAUM · $46.0M to $32.0M
    Mar 19, 2013 to Apr 12, 2013
  • RAUM · $46.0M to $32.0M
    Mar 19, 2013 to Apr 12, 2013
  • HQ city · HENDERSON to MONTECITO
    Apr 12, 2013 to Apr 12, 2013
  • HQ state · NV to CA
    Apr 12, 2013 to Apr 12, 2013
  • Advisory employees · unset to 1.0
    Mar 29, 2012 to Feb 8, 2013
  • Employees · unset to 2.0
    Mar 29, 2012 to Feb 8, 2013
  • Accounts · 110 to 82
    Feb 21, 2012 to Mar 29, 2012
  • Discretionary RAUM · $46.6M to $46.0M
    Feb 21, 2012 to Mar 29, 2012
  • RAUM · $46.6M to $46.0M
    Feb 21, 2012 to Mar 29, 2012
Signals
1 dated events
  • Soho Financial Services Llc filed its initial SEC registration (Form ADV)
    Mar 28, 2014 · 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
Website
SOHOFSLLC.COMreportedpublic record, Form ADV, Sep 18, 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
$100Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026