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••••• F•••• C••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Mar 6, 2019 · 27 filings
SEC status approved since Apr 8, 2019
RAUM
$270M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
100%
$270M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$270M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$270M as of Mar 23, 2026
Jan 14, 2020$136M then
HNW client RAUM$267M as of Mar 23, 2026
Jan 14, 2020$134M then
State-registered IARs (5.B.3)2 as of Mar 23, 2026
Jan 14, 20202 then
Employees (5.A)4 as of Mar 23, 2026
Jan 14, 20202 then
Private funds: no history
RAUM +14% over the last fiscal year+13% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $270MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $4.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +22%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $38.0M, 1 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$267M99%
- Individuals$3.0M1.1%
- Individual clients
- 9reported
- HNW clients
- 64reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 64reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $38.0M for 1 clientsreported
- Compensation
- % of AUM, 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 |
|---|---|---|---|---|
| A••• N• S•••Certified Financial Planner, Chartered Financial Analyst | San Diego, Ca | Apr 8, 2019 | 22 y | 4 |
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
- L•••• C•••• B••••• to L••••••• S••••••••• C••••Sep 30, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- L•••• C•••• B••••• from J••• M••••• S••••••••• L••Aug 2, 2019 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- A••• N• S••• from U••• I••••••••• S••••••• C••••••Apr 8, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••• A•••• N• · Managing Member & Chief Compliance Officercontrolsince 02/2019 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Mar 23, 2026accounts (Item 5.F.2.f) moved from 265.0 to 64.0 (-76.0%) between the annual amendments of 2025-03-11 and 2026-03-23; the peer median change was +5.0% (3687 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 0.6% percentile
What changed
consecutive filings, newest first
- Accounts · 265 to 64Mar 11, 2025 to Mar 23, 2026
- HNW clients · 53 to 64Mar 11, 2025 to Mar 23, 2026
- Individual clients · 7 to 9Mar 11, 2025 to Mar 23, 2026
- Assets in custody · $37.8M to $38.0MMar 11, 2025 to Mar 23, 2026
- Employees · 5 to 4Mar 11, 2025 to Mar 23, 2026
- Financial planning clients · 1-10 to 51-100Mar 11, 2025 to Mar 23, 2026
- State-registered IARs · 3 to 2Mar 11, 2025 to Mar 23, 2026
- Discretionary RAUM · $223M to $260MMar 11, 2025 to Mar 23, 2026
- HNW RAUM · $235M to $267MMar 11, 2025 to Mar 23, 2026
- Individual RAUM · $1.4M to $3.0MMar 11, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $13.3M to $10.0MMar 11, 2025 to Mar 23, 2026
- RAUM · $237M to $270MMar 11, 2025 to Mar 23, 2026
- Accounts · 221 to 265Feb 28, 2024 to Mar 11, 2025
- Advisory employees · 1 to 2Feb 28, 2024 to Mar 11, 2025
- HNW clients · 51 to 53Feb 28, 2024 to Mar 11, 2025
- Individual clients · 2 to 7Feb 28, 2024 to Mar 11, 2025
- Assets in custody · $35.3M to $37.8MFeb 28, 2024 to Mar 11, 2025
- Employees · 4 to 5Feb 28, 2024 to Mar 11, 2025
- Financial planning clients · 1-10 to 1-10Feb 28, 2024 to Mar 11, 2025
- HQ city · unset to Feb 28, 2024 to Mar 11, 2025
- HQ state · unset to Feb 28, 2024 to Mar 11, 2025
- Discretionary RAUM · $179M to $223MFeb 28, 2024 to Mar 11, 2025
- HNW RAUM · $193M to $235MFeb 28, 2024 to Mar 11, 2025
- Individual RAUM · $150,000 to $1.4MFeb 28, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $13.8M to $13.3MFeb 28, 2024 to Mar 11, 2025
- RAUM · $193M to $237MFeb 28, 2024 to Mar 11, 2025
- Accounts · 194 to 221Mar 14, 2023 to Feb 28, 2024
- HNW clients · 56 to 51Mar 14, 2023 to Feb 28, 2024
- Individual clients · unset to 2.0Mar 14, 2023 to Feb 28, 2024
- Assets in custody · $32.7M to $35.3MMar 14, 2023 to Feb 28, 2024
- Employees · 3 to 4Mar 14, 2023 to Feb 28, 2024
- State-registered IARs · 1 to 3Mar 14, 2023 to Feb 28, 2024
- Discretionary RAUM · $174M to $179MMar 14, 2023 to Feb 28, 2024
- HNW RAUM · $188M to $193MMar 14, 2023 to Feb 28, 2024
- Individual RAUM · unset to 150000.0Mar 14, 2023 to Feb 28, 2024
- Non-discretionary RAUM · $14.4M to $13.8MMar 14, 2023 to Feb 28, 2024
- RAUM · $188M to $193MMar 14, 2023 to Feb 28, 2024
- Accounts · 225 to 194Sep 30, 2022 to Mar 14, 2023
- Advisory employees · 2 to 1Sep 30, 2022 to Mar 14, 2023
- HNW clients · 71 to 56Sep 30, 2022 to Mar 14, 2023
Signals
2 dated events
- L•••• C•••• B••••• left C••••• F•••• C••••••• L•• for L••••••• S••••••••• C•••• (registered 2022-09-30)Sep 30, 2022 · Advisor changed firm · fact
- C••••• F•••• C••••••• L•• filed its initial SEC registration (Form ADV)Mar 6, 2019 · ria f•••• adv filing · 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
- 800-310-2828reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- clientfirstcap.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-310-2828reportedpublic record, Form ADV, Mar 23, 2026
- Contact form
- clientfirstcap.com/contactreportedpublished 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
- $270Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026