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•••••••• F•••• L••
Latest filing Jan 29, 2026
First filing on the tape Jan 8, 2018 · 23 filings
SEC status approved since Feb 8, 2018
RAUM
$800M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
68%
$543M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$160M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$800M as of Jan 29, 2026
Feb 22, 2018$234M then
HNW client RAUM$506M as of Jan 29, 2026
Feb 22, 2018$127M then
State-registered IARs (5.B.3)5 as of Jan 29, 2026
Feb 22, 20184 then
Employees (5.A)8 as of Jan 29, 2026
Feb 22, 20187 then
Private funds: no history
RAUM +16% over the last fiscal year+18% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Jan 29, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $160MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 116derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $611,621derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 32%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -13%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $352MreportedItem 5.I
- 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$506M63%
- Charitable organizations$254M32%
- Individuals$37.0M4.6%
- Pension and profit-sharing plans$3.0M0.4%
- Individual clients
- 287reported
- HNW clients
- 294reported
- Pension plan clients
- 1reported
- Charitable clients
- 2reported
- Accounts
- 1,308reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.68 fund_share=0.0 institutional_share=0.32 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••••• J••••• W•••••••Certified Financial Planner | C•••Sbad, Ca | Jan 13, 2016 | 44 y | 2 |
| J••••• K•• C•••• | C•••Sbad, Ca | Aug 3, 2016 | 32 y | 2 |
| J•• W•••••• H••••Certified Financial Planner | C•••Sbad, Ca | Jan 8, 2019 | 11 y | 1 |
| B••••• C••• C•••Certified Financial Planner | C•••Sbad, Ca | Oct 31, 2023 | 13 y | 3 |
| O••••• T••••• G•••••Certified Financial Planner | C•••Sbad, Ca | Jun 2, 2025 | 11 y | 2 |
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
- K•••••• M•••• H••••• to H••••• F•••••••• G••••• I•••Feb 4, 2025 · RIA to a newly registered adviser
Joined, latest
- O••••• T••••• G••••• from E•••• W••••• M••••••••• L••Jun 2, 2025 · RIA to RIA
- B••••• C••• C••• from O•••• W•••••• I•••Oct 31, 2023 · Affiliated broker-dealer or bank to independent RIA
- J•• W•••••• H•••• from S•••••••• F••••••••• I•••Jan 8, 2019 · Affiliated broker-dealer or bank to independent RIA
- J••••• K•• C•••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Aug 3, 2016 · Other
- K•••••• M•••• H••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Jan 14, 2016 · Other
- B•••••• J••••• W••••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Jan 13, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Oct 26, 2017 · C•••Sbad, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••••• B••••••• J••••• · Chief Compliance Officercontrolsince 12/2015 · owns 25% to 50%
- H•••••• K••••••• M•••• · Presidentcontrolsince 11/2012 · owns 75% or more of H••••• F•••••••• G••••• I•••
- H••••• J•••• H• · Co-Ownercontrolsince 12/2015 · owns 50% to 75% of H••••••••• I•••
- W•••••••• B••••••• J••••• · Co-Ownercontrolsince 12/2015 · owns 50% to 75% of H••••••••• I•••
Entity owners
- H••••• F•••••••• G••••• I••• · Memberdirect · owns 25% to 50%
- H••••••••• I••• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| C•••Sbad, Ca · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- wealth to institutional shiftCombination · filing Jan 29, 2026private-client share fell 15 points or more while institutional share rose 15 points or more. RAUM $687,000,000 to $800,000,000, advisors 4 to 5, private clients 669 to 581, offices 0 to 0 (2025-02-14 to 2026-01-29)peers: independent wealth managers, $500M to $1B (1,482)
- institutional asset share shiftChange between filings · filing Jan 29, 2026institutional share of RAUM moved from 8.0% to 32.0% between the annual amendments of 2025-02-14 and 2026-01-29peers: independent wealth managers, $500M to $1B (1,482)
- client mix shiftChange between filings · filing Jan 29, 2026private-client share of RAUM moved from 92.0% to 68.0% between the annual amendments of 2025-02-14 and 2026-01-29peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 482 to 1,308Aug 25, 2025 to Jan 29, 2026
- Charity clients · 1 to 2Aug 25, 2025 to Jan 29, 2026
- HNW clients · 264 to 294Aug 25, 2025 to Jan 29, 2026
- Individual clients · 252 to 287Aug 25, 2025 to Jan 29, 2026
- Financial planning clients · 11-25 to 1-10Aug 25, 2025 to Jan 29, 2026
- Discretionary RAUM · $453M to $800MAug 25, 2025 to Jan 29, 2026
- HNW RAUM · $318M to $506MAug 25, 2025 to Jan 29, 2026
- Individual RAUM · $71.0M to $37.0MAug 25, 2025 to Jan 29, 2026
- RAUM · $453M to $800MAug 25, 2025 to Jan 29, 2026
- Accounts · 1,612 to 482Feb 14, 2025 to Aug 25, 2025
- Advisory employees · 4 to 5Feb 14, 2025 to Aug 25, 2025
- BD registered reps · 4 to 5Feb 14, 2025 to Aug 25, 2025
- HNW clients · 275 to 264Feb 14, 2025 to Aug 25, 2025
- Individual clients · 394 to 252Feb 14, 2025 to Aug 25, 2025
- Pension plan clients · 2 to 1Feb 14, 2025 to Aug 25, 2025
- Employees · 7 to 8Feb 14, 2025 to Aug 25, 2025
- State-registered IARs · 4 to 5Feb 14, 2025 to Aug 25, 2025
- Discretionary RAUM · $687M to $453MFeb 14, 2025 to Aug 25, 2025
- HNW RAUM · $499M to $318MFeb 14, 2025 to Aug 25, 2025
- Individual RAUM · $132M to $71.0MFeb 14, 2025 to Aug 25, 2025
- RAUM · $687M to $453MFeb 14, 2025 to Aug 25, 2025
- Accounts · 1,849 to 1,612Dec 9, 2024 to Feb 14, 2025
- Advisory employees · 5 to 4Dec 9, 2024 to Feb 14, 2025
- HNW clients · 230 to 275Dec 9, 2024 to Feb 14, 2025
- Individual clients · 360 to 394Dec 9, 2024 to Feb 14, 2025
- Employees · 8 to 7Dec 9, 2024 to Feb 14, 2025
- Insurance-licensed employees · 4 to 0Dec 9, 2024 to Feb 14, 2025
- Financial planning clients · 26-50 to 11-25Dec 9, 2024 to Feb 14, 2025
- State-registered IARs · 5 to 4Dec 9, 2024 to Feb 14, 2025
- Discretionary RAUM · $624M to $687MDec 9, 2024 to Feb 14, 2025
- HNW RAUM · $435M to $499MDec 9, 2024 to Feb 14, 2025
- Individual RAUM · $170M to $132MDec 9, 2024 to Feb 14, 2025
- Non-discretionary RAUM · $9.6M to $0Dec 9, 2024 to Feb 14, 2025
- Pension RAUM · $1.5M to $3.0MDec 9, 2024 to Feb 14, 2025
- RAUM · $633M to $687MDec 9, 2024 to Feb 14, 2025
- Accounts · 1,451 to 1,849Mar 29, 2024 to Jul 9, 2024
- HNW clients · 222 to 230Mar 29, 2024 to Jul 9, 2024
- Individual clients · 354 to 360Mar 29, 2024 to Jul 9, 2024
- Discretionary RAUM · $565M to $624MMar 29, 2024 to Jul 9, 2024
- HNW RAUM · $460M to $435MMar 29, 2024 to Jul 9, 2024
Signals
8 dated events
- F•••••••• F•••• L•• reported RAUM $800.0M, up 77% from $453.0M (2025-08-25 to 2026-01-29)Jan 29, 2026 · RAUM change · derived
- F•••••••• F•••• L•• reported RAUM $453.0M, down 34% from $687.0M (2025-02-14 to 2025-08-25)Aug 25, 2025 · RAUM change · derived
- K•••••• M•••• H••••• left F•••••••• F•••• L•• for H••••• F•••••••• G••••• I••• (registered 2024-12-06)Feb 4, 2025 · Advisor changed firm · fact
- F•••••••• F•••• L•• reported RAUM $642.0M, up 32% from $487.1M (2023-10-31 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- Dawn Gloria F•••• (President) no longer on Schedule A of F•••••••• F•••• L•• (listed 2020-06-17, absent 2021-01-08)Jan 8, 2021 · Control person left · inference
- R•••••• F•••• (Co-Owner) no longer on Schedule A of F•••••••• F•••• L•• (listed 2020-06-17, absent 2021-01-08)Jan 8, 2021 · Control person left · inference
- F•••••••• F•••• L•• reported RAUM $233.7M, up 124% from $104.3M (2018-01-08 to 2018-02-22)Feb 22, 2018 · RAUM change · derived
- F•••••••• F•••• L•• filed its initial SEC registration (Form ADV)Jan 8, 2018 · 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 phone
- 760-431-3040reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 760-431-3040reportedpublic record, Form ADV, Jan 29, 2026
- Team page
- financialfocusllc.com/team-jerrie.htmlreportedpublished by the firm, firm site, Sep 15, 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
- $160Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026