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.
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SEC-registered adviser
F•••••• I••••••••• S••••••••• L••
Latest filing Feb 11, 2026
First filing on the tape Nov 28, 2011 · 27 filings
SEC status approved since Jul 22, 2019
RAUM
$252M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$250M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$63.0M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$252M as of Feb 11, 2026
Mar 13, 2012$20.0M then
HNW client RAUM$149M as of Feb 11, 2026
Mar 24, 2020$65.8M then
State-registered IARs (5.B.3)3 as of Feb 11, 2026
Mar 24, 20202 then
Employees (5.A)5 as of Feb 11, 2026
Mar 24, 20203 then
Private funds: no history
RAUM +26% over the last fiscal year+18% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 11, 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
- RAUM per advisor
- $63.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 105derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $223,929derivedRAUM 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
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +22%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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)
- 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$149M59%
- Individuals$101M40%
- Corporations and businesses$1.8M0.7%
- Charitable organizations$12,4290.0%
- Individual clients
- 331reported
- HNW clients
- 87reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,125reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••••• J•••• F••••••Certified Financial Planner | Westlake Village, Ca | Dec 16, 2011 | 31 y | 2 |
| D••• J••••• | Westlake Village, Ca | Jan 4, 2018 | 25 y | 0 |
| J•••••• M•• A•• | Westlake Village, Ca | Jun 9, 2023 | 11 y | 0 |
| L••• S•••••••• | Westlake Village, Ca | Aug 27, 2026 | 26 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 headcount1 left over 36 months
Left, latest
- P••••• J•••••• G••••••• to C••• C•••• F•••••••• S••••••••Apr 12, 2024 · RIA to a state-registered adviser
- L••• R•••••• P••••• to E•••••• F•••••••• E••••••Aug 22, 2022 · RIA to RIA
Joined, latest
- P••••• J•••••• G••••••• from C••• C•••• F•••••••• S••••••••Sep 29, 2021 · Other
- L••• R•••••• P••••• from A•••••• C•••••• P••••••• L••Aug 6, 2021 · RIA to RIA
- T••••••• J•••• F•••••• from I•••• F••• A•••••••• I•••Dec 16, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••• T•••••••• J•••• · Managing Member & Chief Compliance Officercontrolsince 12/2011 · 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 |
|---|---|---|---|---|---|
| Westlake Village, Ca · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Feb 11, 2026selection of other advisers (Item 5.G.7): no on the filing of 2025-03-31, yes on the filing of 2026-02-11peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 974 to 1,125Mar 31, 2025 to Feb 11, 2026
- Advisory activities · 3 to 5Mar 31, 2025 to Feb 11, 2026
- HNW clients · 78 to 87Mar 31, 2025 to Feb 11, 2026
- Individual clients · 265 to 331Mar 31, 2025 to Feb 11, 2026
- Discretionary RAUM · $200M to $252MMar 31, 2025 to Feb 11, 2026
- HNW RAUM · $125M to $149MMar 31, 2025 to Feb 11, 2026
- Individual RAUM · $73.5M to $101MMar 31, 2025 to Feb 11, 2026
- RAUM · $200M to $252MMar 31, 2025 to Feb 11, 2026
- Accounts · 862 to 974Mar 29, 2024 to Mar 31, 2025
- Individual clients · 222 to 265Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Mar 29, 2024 to Mar 31, 2025
- State-registered IARs · 4 to 3Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $159M to $200MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $113M to $125MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $57.6M to $73.5MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $12.0M to $0Mar 29, 2024 to Mar 31, 2025
- RAUM · $171M to $200MMar 29, 2024 to Mar 31, 2025
- Accounts · 834 to 862Mar 16, 2023 to Mar 29, 2024
- Advisory employees · 3 to 5Mar 16, 2023 to Mar 29, 2024
- HNW clients · 89 to 78Mar 16, 2023 to Mar 29, 2024
- Individual clients · 198 to 222Mar 16, 2023 to Mar 29, 2024
- Employees · 4 to 5Mar 16, 2023 to Mar 29, 2024
- State-registered IARs · 3 to 4Mar 16, 2023 to Mar 29, 2024
- Other offices · 1 to 0Mar 16, 2023 to Mar 29, 2024
- Discretionary RAUM · $155M to $159MMar 16, 2023 to Mar 29, 2024
- HNW RAUM · $115M to $113MMar 16, 2023 to Mar 29, 2024
- Individual RAUM · $39.7M to $57.6MMar 16, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $0 to $12.0MMar 16, 2023 to Mar 29, 2024
- RAUM · $155M to $171MMar 16, 2023 to Mar 29, 2024
- Accounts · 803 to 834Mar 29, 2022 to Mar 16, 2023
- Advisory employees · 4 to 3Mar 29, 2022 to Mar 16, 2023
- HNW clients · 85 to 89Mar 29, 2022 to Mar 16, 2023
- Individual clients · 195 to 198Mar 29, 2022 to Mar 16, 2023
- Employees · 5 to 4Mar 29, 2022 to Mar 16, 2023
- State-registered IARs · 4 to 3Mar 29, 2022 to Mar 16, 2023
- Other offices · 2 to 1Mar 29, 2022 to Mar 16, 2023
- Discretionary RAUM · $180M to $155MMar 29, 2022 to Mar 16, 2023
- HNW RAUM · $134M to $115MMar 29, 2022 to Mar 16, 2023
- Individual RAUM · $45.8M to $39.7MMar 29, 2022 to Mar 16, 2023
- RAUM · $180M to $155MMar 29, 2022 to Mar 16, 2023
Signals
5 dated events
- P••••• J•••••• G••••••• left F•••••• I••••••••• S••••••••• L•• for C••• C•••• F•••••••• S•••••••• (registered 2024-10-21)Apr 12, 2024 · Advisor changed firm · fact
- C••••• A••••• U•••••••• (Chief Compliance Officer) no longer on Schedule A of F•••••• I••••••••• S••••••••• L•• (listed 2022-03-29, absent 2023-03-16)Mar 16, 2023 · Control person left · inference
- L••• R•••••• P••••• left F•••••• I••••••••• S••••••••• L•• for E•••••• F•••••••• E•••••• (registered 2024-01-12)Aug 22, 2022 · Advisor changed firm · fact
- C••••• A••••• U•••••••• (Chief Compliance Officer) appeared on Schedule A of F•••••• I••••••••• S••••••••• L••Mar 29, 2022 · Control person joined · fact
- F•••••• I••••••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Jun 19, 2019 · 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 email
- info@fischerinvestmentstrategies.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 805-418-7686reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/fischer-investment-strategiesreportedpublic record, Form ADV, Sep 18, 2026
- Website
- fischerinvestmentstrategies.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 805-418-7686reportedpublic record, Form ADV, Feb 11, 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
- $63.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026