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•••• P••••••• G••••
Legal name F•••• P••••••• G••••• L••
Latest filing Mar 9, 2026
First filing on the tape Apr 17, 2025 · 3 filings
SEC status approved since May 19, 2025
RAUM
$41.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$41.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$41.8M
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
3 filings and snapshots on the tape
RAUM$41.8M as of Mar 9, 2026
Apr 17, 2025$35.6M then
HNW client RAUM$24.0M as of Mar 9, 2026
Apr 17, 2025$18.1M then
State-registered IARs (5.B.3)0 as of Mar 9, 2026
Apr 17, 20250 then
Employees (5.A)1 as of Mar 9, 2026
Apr 17, 20251 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 9, 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
- $41.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $267,744derivedRAUM 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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminars, 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
- 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$24.0M57%
- Individuals$17.8M43%
- Individual clients
- 75reported
- HNW clients
- 7reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 156reported
- Financial planning clients
- 1-10reported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• A•••••• C••••••Certified Financial Planner | Bayport, Ny | Nov 7, 2015 | 28 y | 6 |
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
- J••••• A•••••• C•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Nov 7, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• J•••••• A•••••• · Managing Member/Chief Compliance Officer/Financial Plannercontrolsince 12/2002 · 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 · 176 to 156Jul 16, 2025 to Mar 9, 2026
- HNW clients · 6 to 7Jul 16, 2025 to Mar 9, 2026
- Individual clients · 78 to 75Jul 16, 2025 to Mar 9, 2026
- Discretionary RAUM · $35.6M to $41.8MJul 16, 2025 to Mar 9, 2026
- HNW RAUM · $18.1M to $24.0MJul 16, 2025 to Mar 9, 2026
- Individual RAUM · $17.5M to $17.8MJul 16, 2025 to Mar 9, 2026
- RAUM · $35.6M to $41.8MJul 16, 2025 to Mar 9, 2026
- Financial planning clients · 1-10 to 1-10Apr 17, 2025 to Jul 16, 2025
Signals
No event on the tape.
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
- 631-714-6869reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- focusplanninggroup.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 631-714-6869reportedpublic record, Form ADV, Mar 9, 2026
- Contact form
- focusplanninggroup.net/contact-us-3reportedpublished 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
- $41.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026