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•••••••
Legal name F••••••• A•••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Mar 27, 2013 · 21 filings
SEC status approved since Apr 18, 2013
RAUM
$1.5B
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$250M
derived; firm RAUM over IAPD count
Employees
11
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$1.5B as of Mar 26, 2026
Mar 31, 2015$690,000 then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Mar 26, 2026
Mar 27, 20141 then
Employees (5.A)11 as of Mar 26, 2026
Mar 27, 20146 then
Private funds: no history
RAUM +12% over the last fiscal year-1.2% a year over threeIARs 7 to 6
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- i••••••••• asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $250MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 5,135derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $47,932derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -33%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- pension consulting, 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$1.5B100%
- Individual clients
- 30,809reported
- HNW clients
- 0reported
- Pension plan clients
- 428reported
- Charitable clients
- 0reported
- Accounts
- 31,237reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• J•••• P••••• | Scottsdale, Az | Apr 13, 2023 | 13 y | 0 |
| B•••• A•••• B••••• | Westerville, Oh | Jul 10, 2024 | 10 y | 1 |
| D•••• A••••••• | Milford, Ct | Jun 12, 2025 | 15 y | 1 |
| J••• R•• H••••••• | Oakland, Ca | Dec 23, 2025 | 17 y | 5 |
| J••••• D•••• R••••••Chartered Financial Analyst | Oakland, Ca | Jan 14, 2026 | 25 y | 3 |
| J•••• T••••••• S••• | Oakland, Ca | Mar 18, 2026 | 15 y | 1 |
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 17% of current headcount2 left over 36 months
Left, latest
- I•• T• J•••• to S••• I••••••••• A••••••• S••••••• L••Mar 12, 2026 · Other
- D•••• N• D••••• to M••••• S••••••Mar 15, 2024 · Other
- N••• C••••••• to F••••••• P••••••• A•• W•••••••• A•••••••Oct 5, 2022 · Other
- S••••• P••• L•••••• to N•••• W•••••Sep 7, 2022 · Other
- T••••• W••• T••••• to C••• I••••••••• A••••••• S•••••••• L••Mar 15, 2022 · Other
- T•••••• H•••• to F••••••• P••••••• A•• W•••••••• A•••••••Jan 3, 2022 · Other
- P•••• T••••••• L••••• to W•••• I••••••••• A•••••••• L••Nov 9, 2021 · Other
- J••••• T••••• M••••••• to F••••••Dec 9, 2019 · Other
- M•••••• R•••• S•• M••••• L•••• to S•• F•••••••• A•••••••• L•••Dec 9, 2019 · Other
- E••• Z•••••• W••••••• to C••••••• P••••••• I••••••••• A•••••••• L••Mar 6, 2018 · Other
Joined, latest
- J•••• T••••••• S••• from S••••••••• 4•••Mar 18, 2026 · Other
- J••• R•• H••••••• from C••• B•••••••• S•••••••• I•••Dec 23, 2025 · Other
- D•••• A••••••• from C••••••••• F•••••••• N••••••Jun 12, 2025 · Other
- I•• T• J•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 21, 2025 · Other
- B•••• A•••• B••••• from R••••••••• P••••• I•••Jul 10, 2024 · Other
- D•••• N• D••••• from T•••• G••• L••Mar 1, 2024 · Other
- N••• C••••••• from E•••••••• A•••••••• L••Jan 6, 2022 · Other
- S••••• P••• L•••••• from S••••• W••••• M••••••••• L••Nov 30, 2021 · Other
- M•••••• R•••• S•• M••••• L•••• from C•••••• S••••• • C••• I•••Oct 10, 2018 · Other
- E••• Z•••••• W••••••• from B•• A•••••••• I•••Aug 10, 2017 · Other
- J••••• D•••• R•••••• from F••••Apr 22, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• J•••••• D•••• · Chief Executive Officer, Chief Compliance Officercontrolsince 09/2022 · owns less than 5%
Entity owners
- F•••••••• I••• · Ownerdirect · owns 75% or more
- F••••••••• C•••••• V•••• L• · Shareholderindirect · owns 50% to 75% of F•••••••• I•••
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 |
|---|---|---|---|---|---|
| Oakland, Ca | 6 | 3 | 0 | ||
| Miami, Fl | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 26, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $1,337,900,000 to $1,497,250,257, advisors 7 to 6, private clients 46323 to 30809, offices 0 to 0 (2025-03-28 to 2026-03-26)peers: I•••••••••, $1B to $5B (121)
- employee count dropChange between filings · filing Mar 26, 2026employees (Item 5.A) moved from 16.0 to 11.0 (-31.0%) between the annual amendments of 2025-03-28 and 2026-03-26; the peer median change was 0.0% (55 comparable advisers, 2.0th percentile of changes)peers: I•••••••••, $1B to $5B (55) · 1.9% percentile
What changed
consecutive filings, newest first
- Accounts · 46,824 to 31,237Mar 28, 2025 to Mar 26, 2026
- Individual clients · 46,323 to 30,809Mar 28, 2025 to Mar 26, 2026
- Pension plan clients · 411 to 428Mar 28, 2025 to Mar 26, 2026
- Employees · 16 to 11Mar 28, 2025 to Mar 26, 2026
- State-registered IARs · 7 to 6Mar 28, 2025 to Mar 26, 2026
- Discretionary RAUM · $1.3B to $1.4BMar 28, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $12.4M to $123MMar 28, 2025 to Mar 26, 2026
- Pension RAUM · $1.3B to $1.5BMar 28, 2025 to Mar 26, 2026
- RAUM · $1.3B to $1.5BMar 28, 2025 to Mar 26, 2026
- Accounts · 35,460 to 46,824Mar 27, 2024 to Mar 28, 2025
- Advisory employees · 8 to 6Mar 27, 2024 to Mar 28, 2025
- Individual clients · 34,953 to 46,323Mar 27, 2024 to Mar 28, 2025
- Pension plan clients · 507 to 411Mar 27, 2024 to Mar 28, 2025
- Employees · 13 to 16Mar 27, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 28, 2025
- HQ city · unset to Mar 27, 2024 to Mar 28, 2025
- HQ state · unset to Mar 27, 2024 to Mar 28, 2025
- State-registered IARs · 9 to 7Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.5B to $1.3BMar 27, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $16.2M to $12.4MMar 27, 2024 to Mar 28, 2025
- Pension RAUM · $1.5B to $1.3BMar 27, 2024 to Mar 28, 2025
- RAUM · $1.5B to $1.3BMar 27, 2024 to Mar 28, 2025
- Accounts · 59,965 to 35,460Mar 30, 2023 to Mar 27, 2024
- Advisory employees · 12 to 8Mar 30, 2023 to Mar 27, 2024
- Individual clients · 59,442 to 34,953Mar 30, 2023 to Mar 27, 2024
- Pension plan clients · 523 to 507Mar 30, 2023 to Mar 27, 2024
- Employees · 16 to 13Mar 30, 2023 to Mar 27, 2024
- State-registered IARs · 12 to 9Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.5B to $1.5BMar 30, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $27.7M to $16.2MMar 30, 2023 to Mar 27, 2024
- Pension RAUM · $1.6B to $1.5BMar 30, 2023 to Mar 27, 2024
- RAUM · $1.6B to $1.5BMar 30, 2023 to Mar 27, 2024
- Accounts · 41,054 to 59,965Oct 19, 2022 to Mar 30, 2023
- Advisory employees · 18 to 12Oct 19, 2022 to Mar 30, 2023
- Individual clients · 40,596 to 59,442Oct 19, 2022 to Mar 30, 2023
- Pension plan clients · 458 to 523Oct 19, 2022 to Mar 30, 2023
- Employees · 30 to 16Oct 19, 2022 to Mar 30, 2023
- State-registered IARs · 18 to 12Oct 19, 2022 to Mar 30, 2023
- Other offices · 1 to 0Oct 19, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.7B to $1.5BOct 19, 2022 to Mar 30, 2023
Signals
14 dated events
- I•• T• J•••• left Forusall for S••• I••••••••• A••••••• S••••••• L•• (registered 2026-04-15)Mar 12, 2026 · Advisor changed firm · fact
- Stephens Cynthia Bloch (Chief Compliance Officer) no longer on Schedule A of Forusall (listed 2023-03-30, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- D•••• N• D••••• left Forusall for M••••• S•••••• (registered 2024-03-26)Mar 15, 2024 · Advisor changed firm · fact
- D•••• Jeffrey Schulte (Chief Executive Officer) no longer on Schedule A of Forusall (listed 2022-10-19, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- N••• C••••••• left Forusall for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-02-16)Oct 5, 2022 · Advisor changed firm · fact
- S••••• P••• L•••••• left Forusall for N•••• W••••• (registered 2022-09-09)Sep 7, 2022 · Advisor changed firm · fact
- T••••• W••• T••••• left Forusall for C••• I••••••••• A••••••• S•••••••• L•• (registered 2024-12-12)Mar 15, 2022 · Advisor changed firm · fact
- T•••••• H•••• left Forusall for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-04-05)Jan 3, 2022 · Advisor changed firm · fact
- Forusall reported RAUM $1.5B, up 27% from $1.1B (2020-11-03 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- Forusall reported RAUM $1.1B, up 47% from $777.2M (2019-03-28 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Forusall reported RAUM $777.2M, up 36% from $573.0M (2018-03-30 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
- D•••• Jeffrey Schulte (Chief Executive Officer) appeared on Schedule A of ForusallMar 28, 2019 · Control person joined · fact
- Forusall reported RAUM $573.0M, up 449% from $104.3M (2017-03-15 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
- F•••• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 27, 2013 · 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
- Firm profile
- LINKEDIN.COM/COMPANY/F••••-INC-reportedpublic record, Form ADV, Sep 19, 2026
- Website
- F•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 844-401-2253reportedpublic record, Form ADV, Mar 26, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $250Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026