DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
SEC-registered adviser
F•••• W••••• A•••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Nov 26, 2012 · 27 filings
SEC status approved since Jan 2, 2013
RAUM
$248M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
95%
$236M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$248M
derived; firm RAUM over IAPD count
Employees
1
1 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$248M as of Mar 23, 2026
Jan 9, 2013$0 then
HNW client RAUM$191M as of Mar 23, 2026
Feb 14, 2018$86.8M then
State-registered IARs (5.B.3)1 as of Mar 23, 2026
Jan 9, 20132 then
Employees (5.A)1 as of Mar 23, 2026
Jan 9, 20133 then
Private funds: no history
RAUM -9.6% over the last fiscal year+9.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 23, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $248MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 115derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $644,796derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -9.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $147M, 81 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)
- 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$191M77%
- Individuals$45.5M18%
- Corporations and businesses$11.5M4.6%
- Individual clients
- 72reported
- HNW clients
- 43reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 384reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $147M for 81 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• A••••• F•••••• | Houston, Tx | Jan 10, 2013 | 31 y | 3 |
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
- M••• A••••• F•••••• from C•••••• W••••• M•••••••••Jan 10, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••• A•••••••• D• · Cfocontrolsince 01/2015 · owns less than 5%
- F••••••• M•••• A••••• · Managing Member & Ccocontrolsince 01/2013 · owns 75% or more
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 · 355 to 384Feb 26, 2025 to Mar 23, 2026
- HNW clients · 40 to 43Feb 26, 2025 to Mar 23, 2026
- Individual clients · 67 to 72Feb 26, 2025 to Mar 23, 2026
- Assets in custody · $188M to $147MFeb 26, 2025 to Mar 23, 2026
- Financial planning clients · 51-100 to 26-50Feb 26, 2025 to Mar 23, 2026
- Discretionary RAUM · $270M to $244MFeb 26, 2025 to Mar 23, 2026
- HNW RAUM · $232M to $191MFeb 26, 2025 to Mar 23, 2026
- Individual RAUM · $32.3M to $45.5MFeb 26, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $3.6M to $4.0MFeb 26, 2025 to Mar 23, 2026
- RAUM · $274M to $248MFeb 26, 2025 to Mar 23, 2026
- Accounts · 357 to 355Mar 13, 2024 to Feb 26, 2025
- Charity clients · 0.0 to unsetMar 13, 2024 to Feb 26, 2025
- HNW clients · 44 to 40Mar 13, 2024 to Feb 26, 2025
- Pension plan clients · 0.0 to unsetMar 13, 2024 to Feb 26, 2025
- Pooled vehicle clients · 0.0 to unsetMar 13, 2024 to Feb 26, 2025
- Assets in custody · $79.6M to $188MMar 13, 2024 to Feb 26, 2025
- Financial planning clients · 51-100 to 51-100Mar 13, 2024 to Feb 26, 2025
- Discretionary RAUM · $244M to $270MMar 13, 2024 to Feb 26, 2025
- HNW RAUM · $216M to $232MMar 13, 2024 to Feb 26, 2025
- Individual RAUM · $30.6M to $32.3MMar 13, 2024 to Feb 26, 2025
- Non-discretionary RAUM · $3.4M to $3.6MMar 13, 2024 to Feb 26, 2025
- RAUM · $248M to $274MMar 13, 2024 to Feb 26, 2025
- Accounts · 359 to 357Oct 20, 2023 to Mar 13, 2024
- Individual clients · 68 to 67Oct 20, 2023 to Mar 13, 2024
- Assets in custody · $128M to $79.6MOct 20, 2023 to Mar 13, 2024
- Discretionary RAUM · $188M to $244MOct 20, 2023 to Mar 13, 2024
- HNW RAUM · $156M to $216MOct 20, 2023 to Mar 13, 2024
- Individual RAUM · $29.0M to $30.6MOct 20, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $3.2M to $3.4MOct 20, 2023 to Mar 13, 2024
- RAUM · $191M to $248MOct 20, 2023 to Mar 13, 2024
- HNW clients · 41 to 44Mar 23, 2022 to Mar 29, 2023
- Individual clients · 69 to 68Mar 23, 2022 to Mar 29, 2023
- Assets in custody · $59.2M to $128MMar 23, 2022 to Mar 29, 2023
- Discretionary RAUM · $217M to $188MMar 23, 2022 to Mar 29, 2023
- HNW RAUM · $178M to $156MMar 23, 2022 to Mar 29, 2023
- Individual RAUM · $34.9M to $29.0MMar 23, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $3.5M to $3.2MMar 23, 2022 to Mar 29, 2023
- RAUM · $221M to $191MMar 23, 2022 to Mar 29, 2023
- Accounts · 411 to 359Feb 17, 2021 to Feb 11, 2022
- HNW clients · 42 to 41Feb 17, 2021 to Feb 11, 2022
Signals
2 dated events
- A••••••• W••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 10, 2013 · Succession (Item 4) · fact
- A••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 26, 2012 · 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@focus-wa.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 713-800-7170reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 800-718-5539reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 888-870-2138reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- F••••-WA.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (713) 800-7170reportedpublic record, Form ADV, Mar 23, 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
- $248Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026