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

Powers Capital Investments, Inc.

Former SEC-registered adviserAnaheim Hills, CaliforniaCRD 145045SEC 801-68377IAPD
Latest filing Jan 29, 2016
First filing on the tape Nov 22, 2011 · 13 filings
RAUM
$182M
reported, Item 5.F
Discretionary
100%
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
5
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$19.5M gross assets
History
13 filings and snapshots on the tape
RAUM$182M as of Mar 25, 2015
Mar 21, 2012$132M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 25, 2015
Mar 22, 20134 then
Employees (5.A)5 as of Mar 25, 2015
Mar 22, 20135 then
Private funds1 as of Mar 25, 2015
Mar 21, 20121 then
RAUM +5.2% over the last fiscal year+11% a year over threeIARs 2 to 4
Practice profile
derived from the filing of Jan 29, 2016; every figure names its basis
RAUM per advisor
$45.5MderivedRAUM 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
$270,251derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+5.2%derivedbetween the last two annual amendments
Advisor growth, one year
+100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, selection of other advisers, educational seminars, otherreportedItem 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
673reported
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
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Deborah Powers · Vice President/Directorcontrol
      since 03/2014 · owns less than 5%
    • David Patrick Powers · Ceo/Ciocontrol
      since 08/2007 · owns less than 5%
    • Angelo Michael Allbee · Chief Compliance Officer
      since 08/2007 · owns less than 5%
    Entity owners
    • Focus Operating, LLC · Member
      direct · owns 75% or more
    • Focus Financial Partners, LLC · Member
      indirect · owns 75% or more of Focus Operating, LLC
    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 · 642 to 673
      Mar 21, 2014 to Mar 25, 2015
    • Advisory activities · 8 to 7
      Mar 21, 2014 to Mar 25, 2015
    • State-registered IARs · 2 to 4
      Mar 21, 2014 to Mar 25, 2015
    • Discretionary RAUM · $171M to $181M
      Mar 21, 2014 to Mar 25, 2015
    • Non-discretionary RAUM · $2.0M to $399,570
      Mar 21, 2014 to Mar 25, 2015
    • RAUM · $173M to $182M
      Mar 21, 2014 to Mar 25, 2015
    • Accounts · 602 to 642
      Dec 11, 2013 to Mar 21, 2014
    • Employees · 4 to 5
      Dec 11, 2013 to Mar 21, 2014
    • Discretionary RAUM · $133M to $171M
      Dec 11, 2013 to Mar 21, 2014
    • Non-discretionary RAUM · $4.3M to $2.0M
      Dec 11, 2013 to Mar 21, 2014
    • RAUM · $137M to $173M
      Dec 11, 2013 to Mar 21, 2014
    • Advisory employees · 3 to 2
      Jul 10, 2013 to Jul 30, 2013
    • State-registered IARs · 3 to 2
      Jul 10, 2013 to Jul 30, 2013
    • Employees · 5 to 4
      Mar 22, 2013 to Apr 5, 2013
    • State-registered IARs · 4 to 3
      Mar 22, 2013 to Apr 5, 2013
    • Accounts · 561 to 602
      Mar 21, 2012 to Mar 22, 2013
    • Advisory employees · unset to 3.0
      Mar 21, 2012 to Mar 22, 2013
    • Employees · unset to 5.0
      Mar 21, 2012 to Mar 22, 2013
    • State-registered IARs · unset to 4.0
      Mar 21, 2012 to Mar 22, 2013
    • Discretionary RAUM · $131M to $133M
      Mar 21, 2012 to Mar 22, 2013
    • Non-discretionary RAUM · $1.9M to $4.3M
      Mar 21, 2012 to Mar 22, 2013
    • RAUM · $132M to $137M
      Mar 21, 2012 to Mar 22, 2013
    • Accounts · 558 to 561
      Nov 22, 2011 to Mar 21, 2012
    • Advisory activities · 6 to 8
      Nov 22, 2011 to Mar 21, 2012
    • Insurance-licensed employees · unset to 0.0
      Nov 22, 2011 to Mar 21, 2012
    • Private funds · unset to 1
      Nov 22, 2011 to Mar 21, 2012
    • Discretionary RAUM · $134M to $131M
      Nov 22, 2011 to Mar 21, 2012
    • Non-discretionary RAUM · $2.0M to $1.9M
      Nov 22, 2011 to Mar 21, 2012
    • RAUM · $136M to $132M
      Nov 22, 2011 to Mar 21, 2012
    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.
    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