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.
SEC-registered adviser
Foundry Financial LLC
Latest filing Sep 1, 2026
First filing on the tape May 28, 2025 · 8 filings
SEC status approved since Jun 27, 2025
RAUM
$233M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$233M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$25.8M
derived; firm RAUM over IAPD count
Employees
12
9 advisory (5.B.1)
Offices
9
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$233M as of Aug 13, 2026
May 28, 2025$105M then
HNW client RAUM$189M as of Aug 13, 2026
May 28, 2025$72.7M then
State-registered IARs (5.B.3)7 as of Aug 13, 2026
May 28, 20253 then
Employees (5.A)10 as of Aug 13, 2026
May 28, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 1, 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
- RAUM per advisor
- $25.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $371,584derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 0.9derived10 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 assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$189M81%
- Individuals$43.3M19%
- Individual clients
- 103reported
- HNW clients
- 81reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 626reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Kevin Duane LumCertified Financial Planner | Pasadena, Ca | May 10, 2024 | 13 y | 0 |
| Noah Bronson HankinCertified Financial Planner | Fort Lauderdale, Fl | Oct 10, 2024 | 12 y | 0 |
| Robert John Mcalister | Pasadena, Ca | Feb 12, 2025 | 11 y | 1 |
| John Gilbert FrechetteCertified Financial Planner | Davidson, Nc | Oct 28, 2025 | 11 y | 0 |
| Nicholas Bryan Hiebert | Pasadena, Ca | Jan 26, 2026 | 11 y | 1 |
| Kyle Alan HurtCertified Financial Planner | Pasadena, Ca | Apr 22, 2026 | 10 y | 3 |
| Michael Leone ZarrelliCertified Financial Planner | Laurel, Md | May 6, 2026 | 11 y | 1 |
| Jackson Timothy Steuber | Placentia, Ca | Aug 24, 2026 | 10 y | 0 |
| Joseph Andrew AulisiCertified Financial Planner | Raleigh, Nc | Aug 31, 2026 | 13 y | 0 |
Advisor movement
0 left, 3 joined in 12 months
net +3 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
- Michael Leone Zarrelli from Fsa Wealth PartnersMay 6, 2026 · RIA to RIA
- Kyle Alan Hurt from Ep Wealth AdvisorsApr 22, 2026 · RIA to RIA
- Nicholas Bryan Hiebert from Tru Independence Asset Management 2, LLCJan 26, 2026 · RIA to RIA
- Robert John Mcalister from Meridian Wealth Management, LLCFeb 12, 2025 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Pasadena, Ca · principal | 9 | 6 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 7 to 9Aug 13, 2026 to Sep 1, 2026
- Employees · 10 to 12Aug 13, 2026 to Sep 1, 2026
- Financial planning clients · 101-250 to 101-250Aug 13, 2026 to Sep 1, 2026
- State-registered IARs · 7 to 9Aug 13, 2026 to Sep 1, 2026
- Other offices · 7 to 9Aug 13, 2026 to Sep 1, 2026
- Succession · false to unsetAug 13, 2026 to Sep 1, 2026
- Other offices · 6 to 7May 6, 2026 to Jun 16, 2026
- Advisory employees · 5 to 7Mar 19, 2026 to May 6, 2026
- Employees · 8 to 10Mar 19, 2026 to May 6, 2026
- State-registered IARs · 5 to 7Mar 19, 2026 to May 6, 2026
- Other offices · 4 to 6Mar 19, 2026 to May 6, 2026
- Accounts · 443 to 626Jan 9, 2026 to Mar 19, 2026
- Advisory employees · 4 to 5Jan 9, 2026 to Mar 19, 2026
- Advisory activities · 2 to 3Jan 9, 2026 to Mar 19, 2026
- Charity clients · unset to 0.0Jan 9, 2026 to Mar 19, 2026
- Corporate clients · unset to 0.0Jan 9, 2026 to Mar 19, 2026
- HNW clients · 38 to 81Jan 9, 2026 to Mar 19, 2026
- Individual clients · 123 to 103Jan 9, 2026 to Mar 19, 2026
- Pension plan clients · unset to 0.0Jan 9, 2026 to Mar 19, 2026
- Pooled vehicle clients · unset to 0.0Jan 9, 2026 to Mar 19, 2026
- Employees · 5 to 8Jan 9, 2026 to Mar 19, 2026
- Financial planning clients · 26-50 to 101-250Jan 9, 2026 to Mar 19, 2026
- State-registered IARs · 4 to 5Jan 9, 2026 to Mar 19, 2026
- Other offices · 3 to 4Jan 9, 2026 to Mar 19, 2026
- Discretionary RAUM · $105M to $233MJan 9, 2026 to Mar 19, 2026
- HNW RAUM · $72.7M to $189MJan 9, 2026 to Mar 19, 2026
- Individual RAUM · $31.7M to $43.3MJan 9, 2026 to Mar 19, 2026
- RAUM · $105M to $233MJan 9, 2026 to Mar 19, 2026
- Advisory employees · 3 to 4May 28, 2025 to Nov 4, 2025
- Employees · 4 to 5May 28, 2025 to Nov 4, 2025
- HQ city · LOS ANGELES to PASADENAMay 28, 2025 to Nov 4, 2025
- State-registered IARs · 3 to 4May 28, 2025 to Nov 4, 2025
- Other offices · 2 to 3May 28, 2025 to Nov 4, 2025
- Related insurance company · false to trueMay 28, 2025 to Nov 4, 2025
Signals
1 dated events
- Foundry Financial Llc reported RAUM $232.6M, up 122% from $104.7M (2026-01-09 to 2026-03-19)Mar 19, 2026 · RAUM change · derived
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/financial-advisor-los-angelesreportedpublic record, Form ADV, Sep 17, 2026
- Website
- foundryfinancial.orgreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (213) 802-8662reportedpublic record, Form ADV, Sep 1, 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
- $25.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026