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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
F•••• F•••••••• A•••••••
Legal name F•••• F•••••••• S•••••••
Latest filing Feb 16, 2026
First filing on the tape Mar 19, 2012 · 11 filings
SEC status approved since Jul 2, 2021
RAUM
$188M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$188M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$94.1M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$188M as of Feb 16, 2026
Mar 19, 2012$52.9M then
HNW client RAUM$167M as of Feb 16, 2026
Feb 14, 2022$114M then
State-registered IARs (5.B.3)2 as of Feb 16, 2026
Mar 19, 20120 then
Employees (5.A)2 as of Feb 16, 2026
Feb 14, 20222 then
Private funds: no history
RAUM +14% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 16, 2026; 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $94.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $412,757derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$167M89%
- Individuals$20.7M11%
- Corporations and businesses$568,9530.3%
- Individual clients
- 80reported
- HNW clients
- 60reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 456reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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 |
|---|---|---|---|---|
| T••• E••• F••••Personal Financial Specialist | Carlsbad, Ca | Mar 27, 2012 | 25 y | 2 |
| L•••• A• H••••••• | Carlsbad, Ca | Jun 16, 2025 | 12 y | 1 |
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
- L•••• A• H••••••• from U••••• C•••••• F•••••••• A•••••••Jun 16, 2025 · Affiliated broker-dealer or bank to independent RIA
- T••• E••• F•••• from L•• F•••••••• L••Mar 27, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• T•••• E••• · President/Chief Compliance Officercontrolsince 01/2003 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Carlsbad, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 462 to 456Jan 28, 2025 to Feb 16, 2026
- Corporate clients · 5 to 4Jan 28, 2025 to Feb 16, 2026
- HNW clients · 49 to 60Jan 28, 2025 to Feb 16, 2026
- Individual clients · 91 to 80Jan 28, 2025 to Feb 16, 2026
- Financial planning clients · 1-10 to 11-25Jan 28, 2025 to Feb 16, 2026
- Discretionary RAUM · $158M to $182MJan 28, 2025 to Feb 16, 2026
- HNW RAUM · $134M to $167MJan 28, 2025 to Feb 16, 2026
- Individual RAUM · $29.2M to $20.7MJan 28, 2025 to Feb 16, 2026
- Non-discretionary RAUM · $6.0M to $5.8MJan 28, 2025 to Feb 16, 2026
- RAUM · $164M to $188MJan 28, 2025 to Feb 16, 2026
- Accounts · 456 to 462Jan 24, 2024 to Jan 28, 2025
- HNW clients · 43 to 49Jan 24, 2024 to Jan 28, 2025
- Individual clients · 93 to 91Jan 24, 2024 to Jan 28, 2025
- Financial planning clients · 11-25 to 1-10Jan 24, 2024 to Jan 28, 2025
- Discretionary RAUM · $135M to $158MJan 24, 2024 to Jan 28, 2025
- HNW RAUM · $116M to $134MJan 24, 2024 to Jan 28, 2025
- Individual RAUM · $26.8M to $29.2MJan 24, 2024 to Jan 28, 2025
- Non-discretionary RAUM · $8.1M to $6.0MJan 24, 2024 to Jan 28, 2025
- RAUM · $143M to $164MJan 24, 2024 to Jan 28, 2025
- Accounts · 474 to 456Jan 27, 2023 to Jan 24, 2024
- HNW clients · 44 to 43Jan 27, 2023 to Jan 24, 2024
- Individual clients · 104 to 93Jan 27, 2023 to Jan 24, 2024
- Discretionary RAUM · $128M to $135MJan 27, 2023 to Jan 24, 2024
- HNW RAUM · $107M to $116MJan 27, 2023 to Jan 24, 2024
- Individual RAUM · $27.4M to $26.8MJan 27, 2023 to Jan 24, 2024
- Non-discretionary RAUM · $7.2M to $8.1MJan 27, 2023 to Jan 24, 2024
- RAUM · $135M to $143MJan 27, 2023 to Jan 24, 2024
- Accounts · 447 to 474Feb 14, 2022 to Jan 27, 2023
- Corporate clients · unset to 5.0Feb 14, 2022 to Jan 27, 2023
- Individual clients · 102 to 104Feb 14, 2022 to Jan 27, 2023
- Discretionary RAUM · $136M to $128MFeb 14, 2022 to Jan 27, 2023
- HNW RAUM · $114M to $107MFeb 14, 2022 to Jan 27, 2023
- Individual RAUM · $28.9M to $27.4MFeb 14, 2022 to Jan 27, 2023
- Non-discretionary RAUM · $6.7M to $7.2MFeb 14, 2022 to Jan 27, 2023
- RAUM · $142M to $135MFeb 14, 2022 to Jan 27, 2023
- Accounts · 434 to 447Nov 11, 2021 to Feb 14, 2022
- Advisory employees · 3 to 2Nov 11, 2021 to Feb 14, 2022
- HNW clients · 51 to 44Nov 11, 2021 to Feb 14, 2022
- Individual clients · 92 to 102Nov 11, 2021 to Feb 14, 2022
- Employees · 3 to 2Nov 11, 2021 to Feb 14, 2022
Signals
1 dated events
- F•••• F•••••••• A••••••• filed its initial SEC registration (Form ADV)Jun 2, 2021 · 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
- 760-438-3360reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 866-587-1230reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- F••••FINANCIAL.NETreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 760-438-3360reportedpublic record, Form ADV, Feb 16, 2026
- Contact form
- frankfinancialadvisors.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $94.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026