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.

Former SEC-registered adviser

Firstpoint Financial, LLC

Former SEC-registered adviserLeawood, KansasCRD 175252SEC 801-81098IAPD
Latest filing Mar 24, 2016
First filing on the tape Mar 3, 2015 · 5 filings
RAUM
$60,000
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
16 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$60,000 as of Mar 24, 2016
Mar 3, 2015$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)16 as of Mar 24, 2016
Mar 3, 20150 then
Employees (5.A)16 as of Mar 24, 2016
Mar 3, 20151 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 24, 2016; every figure names its basis
RAUM per advisor
$3,750derivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$60,000derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
8.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, publicationsreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Christopher Martin Bicknell · Chief Executive Officercontrol
      since 03/2015 · owns less than 5%
    • Andrew Mark Caplinger · Chief Investment Officercontrol
      since 03/2015 · owns less than 5%
    • Jenelle Pleviak Anne Dorian · Chief Compliance Officercontrol
      since 02/2015 · owns less than 5%
    • Christopher Martin Bicknell · Elected Managercontrol
      since 07/2007 · owns F of Bicknell Family Holding Co., LLC
    Entity owners
    • A+ Institutional Services, LLC · Member
      direct · owns 75% or more
    • Montage Investments, LLC · Manager
      direct · owns less than 5%
    • Bicknell Family Holding Co., LLC · Manager
      indirect · owns 75% or more of Mariner Holdings, LLC
    • Mariner Holdings, LLC · Managing Member
      indirect · owns 75% or more of Montage Investments, LLC
    • Montage Investments, LLC · Managing Member
      indirect · owns 50% to 75% of A+ Institutional Services, LLC
    Related persons
    Schedule D 7.A
    Advisers that list Firstpoint Financial, LLC as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • New York, NY
    What changed
    consecutive filings, newest first
    • Advisory employees · 1 to 16
      Mar 5, 2016 to Mar 24, 2016
    • BD registered reps · 1 to 11
      Mar 5, 2016 to Mar 24, 2016
    • Employees · 1 to 16
      Mar 5, 2016 to Mar 24, 2016
    • Insurance-licensed employees · 0 to 15
      Mar 5, 2016 to Mar 24, 2016
    • State-registered IARs · 1 to 16
      Mar 5, 2016 to Mar 24, 2016
    • Accounts · 0 to 1
      Jan 4, 2016 to Mar 5, 2016
    • Advisory employees · 0 to 1
      Jan 4, 2016 to Mar 5, 2016
    • Insurance-licensed employees · 1 to 0
      Jan 4, 2016 to Mar 5, 2016
    • Financial planning clients · 0 to 1-10
      Jan 4, 2016 to Mar 5, 2016
    • State-registered IARs · 0 to 1
      Jan 4, 2016 to Mar 5, 2016
    • Discretionary RAUM · $0 to $60,000
      Jan 4, 2016 to Mar 5, 2016
    • RAUM · $0 to $60,000
      Jan 4, 2016 to Mar 5, 2016
    Signals
    1 dated events
    • Firstpoint Financial, Llc filed its initial SEC registration (Form ADV)
      Mar 3, 2015 · 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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026