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
C••••••• D••••• F••••••••
Legal name C••••••• D••••• W••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Feb 16, 2018 · 18 filings
SEC status approved since Mar 26, 2018
RAUM
$745M
reported, Item 5.F
Discretionary
78%
of RAUM
Private clients
100%
$743M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$186M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$745M as of Mar 30, 2026
Mar 21, 2019$308M then
HNW client RAUM$569M as of Mar 30, 2026
Mar 21, 2019$108M then
State-registered IARs (5.B.3)4 as of Mar 30, 2026
Mar 21, 20194 then
Employees (5.A)7 as of Mar 30, 2026
Mar 21, 20194 then
Private funds: no history
RAUM +14% over the last fiscal year+14% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 30, 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
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- RAUM per advisor
- $186MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 192derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $401,645derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 78%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $35.5M, 562 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$569M76%
- Individuals$174M23%
- Corporations and businesses$2.3M0.3%
- Individual clients
- 571reported
- HNW clients
- 195reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,855reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $35.5M for 562 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• R••• D••••• | Richmond, Va | May 7, 2018 | 15 y | 2 |
| S••• C•••• C••••••• | Richmond, Va | May 7, 2018 | 27 y | 2 |
| M••• G••••• S••• | Richmond, Va | Apr 27, 2021 | 12 y | 1 |
| A••••• S••••• B•••• | Richmond, Va | Jul 9, 2021 | 10 y | 1 |
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
- A••••• S••••• B•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 9, 2021 · Wirehouse to independent RIA
- M••• G••••• S••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 27, 2021 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• S•••• C•••• · Managing Partner, Ceocontrolsince 02/2018 · owns less than 5%
- D•••••• T••••••• R••• · Chief Compliance Officer, Coocontrolsince 02/2018 · owns less than 5%
Entity owners
- F•••• O••••••••• L•• · Member (Manager)direct · owns 75% or more
- C••• F•••••••• C••••••••• L••• · Partnerindirect · owns 25% to 50% of C••• F•••••••• H•••••••• L•••
- C••• F•••••••• H•••••••• L••• · Partnerindirect · owns 50% to 75% of F•••••••• F•• U••••••• H•••••••• L•
- C••••••• D••••••• • R••• F••• X••• L••• · Partnerindirect · owns 50% to 75% of C••• F•••••••• H•••••••• L•••
- F•••••••• F•• A••••••••• L•• · Shareholder, Class A Common Stockindirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
- F•••••••• F•• I••••••••• H•••••••• L•• · Memberindirect · owns 75% or more of F•••••••• F•• A••••••••• L••
- F•••••••• F•• P•••••• I••• · Memberindirect · owns 75% or more of F•••••••• F•• I••••••••• H•••••••• L••
- F•••••••• F•• U••••••• H•••••••• L• · Shareholderindirect · owns 75% or more of F•••••••• F•• P•••••• I•••
- F•••••••• F•• U••••••• H•••••••• L• · Shareholder, Class B Common Stockindirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
- F•••• F•••••••• P••••••• I••• · Managing Memberindirect · owns 75% or more of F•••• F•••••••• P•••••••• L••
- F•••• F•••••••• P•••••••• L•• · Memberindirect · owns 75% or more of F•••• O••••••••• L••
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 |
|---|---|---|---|---|---|
| Richmond, Va · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,760 to 1,855Mar 20, 2025 to Mar 30, 2026
- Corporate clients · 2 to 4Mar 20, 2025 to Mar 30, 2026
- HNW clients · 184 to 195Mar 20, 2025 to Mar 30, 2026
- Individual clients · 555 to 571Mar 20, 2025 to Mar 30, 2026
- Assets in custody · $229M to $35.5MMar 20, 2025 to Mar 30, 2026
- Employees · 6 to 7Mar 20, 2025 to Mar 30, 2026
- Discretionary RAUM · $524M to $578MMar 20, 2025 to Mar 30, 2026
- HNW RAUM · $509M to $569MMar 20, 2025 to Mar 30, 2026
- Individual RAUM · $143M to $174MMar 20, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $129M to $167MMar 20, 2025 to Mar 30, 2026
- RAUM · $654M to $745MMar 20, 2025 to Mar 30, 2026
- Accounts · 1,611 to 1,760Mar 28, 2024 to Mar 20, 2025
- Advisory activities · 5 to 4Mar 28, 2024 to Mar 20, 2025
- HNW clients · 169 to 184Mar 28, 2024 to Mar 20, 2025
- Individual clients · 548 to 555Mar 28, 2024 to Mar 20, 2025
- Financial planning clients · 51-100 to 51-100Mar 28, 2024 to Mar 20, 2025
- Discretionary RAUM · $391M to $524MMar 28, 2024 to Mar 20, 2025
- HNW RAUM · $428M to $509MMar 28, 2024 to Mar 20, 2025
- Individual RAUM · $135M to $143MMar 28, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $174M to $129MMar 28, 2024 to Mar 20, 2025
- RAUM · $565M to $654MMar 28, 2024 to Mar 20, 2025
- Related insurance company · false to trueMar 28, 2024 to Mar 20, 2025
- Accounts · 1,507 to 1,611Sep 27, 2023 to Mar 28, 2024
- Corporate clients · 1 to 2Sep 27, 2023 to Mar 28, 2024
- HNW clients · 142 to 169Sep 27, 2023 to Mar 28, 2024
- Individual clients · 588 to 548Sep 27, 2023 to Mar 28, 2024
- Assets in custody · $229M to $229MSep 27, 2023 to Mar 28, 2024
- Discretionary RAUM · $390M to $391MSep 27, 2023 to Mar 28, 2024
- HNW RAUM · $357M to $428MSep 27, 2023 to Mar 28, 2024
- Individual RAUM · $148M to $135MSep 27, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $115M to $174MSep 27, 2023 to Mar 28, 2024
- RAUM · $506M to $565MSep 27, 2023 to Mar 28, 2024
- Accounts · 1,569 to 1,507Dec 21, 2022 to Mar 30, 2023
- HNW clients · 135 to 142Dec 21, 2022 to Mar 30, 2023
- Individual clients · 546 to 588Dec 21, 2022 to Mar 30, 2023
- Assets in custody · $318M to $229MDec 21, 2022 to Mar 30, 2023
- Employees · 5 to 6Dec 21, 2022 to Mar 30, 2023
- Discretionary RAUM · $0 to $390MDec 21, 2022 to Mar 30, 2023
- HNW RAUM · $366M to $357MDec 21, 2022 to Mar 30, 2023
- Individual RAUM · $191M to $148MDec 21, 2022 to Mar 30, 2023
Signals
2 dated events
- C••••••• D••••• F•••••••• reported RAUM $498.5M, up 42% from $351.6M (2020-12-11 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- C••••••• D••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 16, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C••••••• D••••• F•••••••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business email
- info@cdfva.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-218-6434reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 804-913-1112reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/focus-financial-partnersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- CDFVA.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 804-913-1114reportedpublic record, Form ADV, Mar 30, 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
- $186Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026