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.
SEC-registered adviser
Sfe Investment Counsel Inc.
Latest filing Dec 3, 2025
First filing on the tape Dec 2, 2011 · 58 filings
SEC status approved since Oct 24, 2007
RAUM
$748M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
89%
$663M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$68.0M
derived; firm RAUM over IAPD count
Employees
14
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
58 filings and snapshots on the tape
RAUM$748M as of Dec 3, 2025
Dec 2, 2011$222M then
HNW client RAUM$466M as of Dec 3, 2025
Dec 12, 2017$180M then
State-registered IARs (5.B.3)9 as of Dec 3, 2025
Dec 2, 20110 then
Employees (5.A)14 as of Dec 3, 2025
Dec 10, 20128 then
Private funds2 as of Dec 3, 2025
Dec 10, 20122 then
RAUM +69% over the last fiscal year+19% a year over threeIARs 8 to 9
Practice profile
derived from the filing of Dec 3, 2025; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $68.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 80derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $829,659derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 9.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 11.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +17%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $108,726, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$466M63%
- Individuals$197M27%
- Charitable organizations$70.5M9.5%
- Corporations and businesses$9.1M1.2%
- Individual clients
- 684reported
- HNW clients
- 193reported
- Pension plan clients
- n/areported
- Charitable clients
- 12reported
- Accounts
- 902reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $108,726 for 1 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| James Thomas MoylanChartered Financial Analyst | Los Angeles, Ca | Nov 30, 2007 | 19 y | 0 |
| Charles Eustis BohlenChartered Financial Analyst | Los Angeles, Ca | Nov 30, 2007 | 31 y | 1 |
| Jon Michael Kmett | Los Angeles, Ca | Nov 30, 2007 | 35 y | 1 |
| Edward James Ternan | Los Angeles, Ca | Jan 7, 2008 | 21 y | 0 |
| David John Thomsen | Los Angeles, Ca | Jan 30, 2008 | 22 y | 0 |
| Mark Larry Delgadillo | Los Angeles, Ca | May 27, 2020 | 40 y | 6 |
| Gregory Cannon Giauque | San Luis Obispo, Ca | Mar 31, 2023 | 28 y | 2 |
| Jeffrey N. EisfelderCertified Financial Planner | Los Angeles, Ca | Dec 8, 2025 | 29 y | 5 |
| Teri May Mccasland | Los Angeles, Ca | Jan 1, 2026 | 29 y | 1 |
| Peter Nicholas Scholl Bohlen | Los Angeles, Ca | Feb 3, 2026 | 10 y | 0 |
| Charles Eustis Bohlen | Los Angeles, Ca | Feb 3, 2026 | 11 y | 0 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Teri May Mccasland from Stern Fisher Edwards IncJan 1, 2026 · Other
- Jeffrey N. Eisfelder from First Foundation AdvisorsDec 8, 2025 · RIA to RIA
- Gregory Cannon Giauque from The Caprock Group, LLCMar 31, 2023 · Other
- Mark Larry Delgadillo from D.A. Davidson & Co.May 27, 2020 · RIA to RIA
- Charles Eustis Bohlen from Stern Fisher Edwards IncNov 30, 2007 · Other
- Jon Michael Kmett from Stern Fisher Edwards IncNov 30, 2007 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Sfe Alternative Investment Fund II LLC | Private Equity Fund | $625,580 | 25 | Dec 10, 2012 |
| Sfe Alternative Investment Fund I LLC | Private Equity Fund | $494,340 | 14 | Dec 10, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Eustis Charles Bohlen · Vice President, Co-Chief Investment Officercontrolsince 09/2007 · owns less than 5%
- Michael Jon Kmett · President, Director & Cfocontrolsince 09/2007 · owns 25% to 50%
- May Teri Mccasland · Vp, & Directorcontrolsince 09/2007 · owns less than 5%
- Thomas James Moylan · Vice President/Co-Chief Investment Officercontrolsince 12/2020 · owns 25% to 50%
- Salinas Donna Arnold · Chief Compliance Officersince 09/2024 · owns less than 5%
- John David Thomsen · Vp, Director, Business Developmentsince 09/2007 · owns 25% to 50%
Entity owners
- Kmett Family Trust Dated 12/14/2018 · Direct Ownerdirect · owns 25% to 50%
- The Alana Moylan And James Moylan Living Trust Dated 2/23/2012 · Direct Ownerdirect · owns 25% to 50%
- The Thomsen Family Trust Dated 9/27/2007 · Direct Ownerdirect · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Los Angeles, Ca · principal | 11 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 772 to 902Aug 13, 2025 to Dec 3, 2025
- Advisory employees · 8 to 9Aug 13, 2025 to Dec 3, 2025
- Charity clients · 10 to 12Aug 13, 2025 to Dec 3, 2025
- Corporate clients · 2 to 3Aug 13, 2025 to Dec 3, 2025
- HNW clients · 138 to 193Aug 13, 2025 to Dec 3, 2025
- Individual clients · 724 to 684Aug 13, 2025 to Dec 3, 2025
- Assets in custody · $105,879 to $108,726Aug 13, 2025 to Dec 3, 2025
- Employees · 11 to 14Aug 13, 2025 to Dec 3, 2025
- State-registered IARs · 8 to 9Aug 13, 2025 to Dec 3, 2025
- Discretionary RAUM · $550M to $728MAug 13, 2025 to Dec 3, 2025
- HNW RAUM · $332M to $466MAug 13, 2025 to Dec 3, 2025
- Individual RAUM · $162M to $197MAug 13, 2025 to Dec 3, 2025
- Non-discretionary RAUM · $31.5M to $20.1MAug 13, 2025 to Dec 3, 2025
- RAUM · $582M to $748MAug 13, 2025 to Dec 3, 2025
- Financial planning clients · 0 to 0Jul 7, 2025 to Aug 13, 2025
- Accounts · 773 to 772Mar 21, 2024 to Dec 12, 2024
- Charity clients · 9 to 10Mar 21, 2024 to Dec 12, 2024
- HNW clients · 102 to 138Mar 21, 2024 to Dec 12, 2024
- Individual clients · 637 to 724Mar 21, 2024 to Dec 12, 2024
- Assets in custody · $104,712 to $105,879Mar 21, 2024 to Dec 12, 2024
- Discretionary RAUM · $410M to $550MMar 21, 2024 to Dec 12, 2024
- HNW RAUM · $222M to $332MMar 21, 2024 to Dec 12, 2024
- Individual RAUM · $160M to $162MMar 21, 2024 to Dec 12, 2024
- Non-discretionary RAUM · $31.6M to $31.5MMar 21, 2024 to Dec 12, 2024
- RAUM · $442M to $582MMar 21, 2024 to Dec 12, 2024
- Accounts · 758 to 773Apr 24, 2023 to Nov 29, 2023
- Advisory employees · 7 to 8Apr 24, 2023 to Nov 29, 2023
- Corporate clients · 3 to 2Apr 24, 2023 to Nov 29, 2023
- HNW clients · 87 to 102Apr 24, 2023 to Nov 29, 2023
- Individual clients · 644 to 637Apr 24, 2023 to Nov 29, 2023
- Assets in custody · $352,972 to $104,712Apr 24, 2023 to Nov 29, 2023
- Employees · 10 to 11Apr 24, 2023 to Nov 29, 2023
- State-registered IARs · 7 to 8Apr 24, 2023 to Nov 29, 2023
- Discretionary RAUM · $364M to $410MApr 24, 2023 to Nov 29, 2023
- HNW RAUM · $186M to $222MApr 24, 2023 to Nov 29, 2023
- Individual RAUM · $153M to $160MApr 24, 2023 to Nov 29, 2023
- Non-discretionary RAUM · $24.9M to $31.6MApr 24, 2023 to Nov 29, 2023
- RAUM · $389M to $442MApr 24, 2023 to Nov 29, 2023
- Assets in custody · $351,503 to $352,972Dec 22, 2022 to Feb 21, 2023
- Accounts · 716 to 758Apr 4, 2022 to Dec 22, 2022
Signals
5 dated events
- Sfe Investment Counsel Inc. reported RAUM $748.4M, up 29% from $581.6M (2025-08-13 to 2025-12-03)Dec 3, 2025 · RAUM change · derived
- Sfe Investment Counsel Inc. reported RAUM $581.6M, up 32% from $441.8M (2024-03-21 to 2024-12-12)Dec 12, 2024 · RAUM change · derived
- Eustis Charles Bohlen (Vice President, Co-Chief Investment Officer) appeared on Schedule A of Sfe Investment Counsel Inc.Nov 29, 2023 · Control person joined · fact
- Sfe Investment Counsel Inc. reported RAUM $445.7M, up 31% from $339.9M (2021-02-23 to 2021-11-29)Nov 29, 2021 · RAUM change · derived
- Eustis Charles Bohlen (Vp, Director & Cio) no longer on Schedule A of Sfe Investment Counsel Inc. (listed 2020-05-27, absent 2020-12-23)Dec 23, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- SFE Investment Counsel Inc. · Independent Sponsorsshared crd · capital_provider
- SFE Investment Counsel Inc. · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- info@sfeic.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 213-612-0220reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 213-612-0329reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-445-6320reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- SFEIC.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 213-612-0220reportedpublic record, Form ADV, Dec 3, 2025
- Contact form
- sfeic.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- sfeic.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
- $68.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026