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
Secfi Advisory Limited
Latest filing Jun 30, 2026
First filing on the tape Jun 2, 2022 · 14 filings
SEC status approved since Jul 7, 2022
RAUM
$226M
reported, Item 5.F
Discretionary
78%
of RAUM
Private clients
20%
$44.5M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$75.3M
derived; firm RAUM over IAPD count
Employees
15
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$226M as of Jun 30, 2026
Mar 16, 2023$92.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Jun 30, 2026
Mar 16, 20236 then
Employees (5.A)15 as of Jun 30, 2026
Mar 16, 202315 then
Private funds3 as of Jun 30, 2026
Mar 16, 20232 then
RAUM +30% over the last fiscal year+35% a year over threeIARs 5 to 6offices 2 to 1
Practice profile
derived from the filing of Jun 30, 2026; every figure names its basis
- RAUM per advisor
- $75.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $4.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 78%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $144M, 2 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$181M80%
- Individuals$44.5M20%
- Individual clients
- 51reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 55reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $144M for 2 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.2 fund_share=0.8 institutional_share=0.0 related_bd=true related_bank=false bd_reps=6.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John Klingler | St. Louis, Mo | Feb 13, 2023 | 10 y | 0 |
| Michael Lavere AllredCertified Financial Planner | New York, Ny | Jun 4, 2024 | 10 y | 3 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount3 left over 36 months
Left, latest
- Eric M Thompson to TitanJun 15, 2026 · Other
- Christopher Alan Arnold to Xypn SapphireJan 13, 2025 · Other
- Brett Peter Wysopal to Wysopal WealthSep 20, 2024 · Other
- Victoria E Ferguson to Dentist AdvisorsMay 16, 2023 · Other
- Emiliano Rios Caban to FruitfulApr 13, 2023 · Other
Joined, latest
- Eric M Thompson from Cerity Partners LLCJan 15, 2025 · Other
- Michael Lavere Allred from FacetJun 4, 2024 · Other
- Brett Peter Wysopal from Brooklyn Fi, LLCAug 4, 2023 · Other
- Victoria E Ferguson from Origin Investment Advisory LLCFeb 28, 2023 · Other
- Emiliano Rios Caban from M1 AdvisoryJul 21, 2022 · Other
- Christopher Alan Arnold from Plancorp, LLCJul 21, 2022 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Bergamot Trust | Other Private Fund | $34.3M | 2 | Mar 31, 2022 |
| Rioja Fund I LLC | Other Private Fund | $8.0M | 2 | Mar 26, 2024 |
| Sonoma Fund 2022, LLC | Other Private Fund | $1.0M | 2 | Mar 31, 2022 |
Owners and control persons
Schedule A and B, latest filing
- Michelle Marwaha · Chief Compliance Officercontrolsince 01/2024 · owns less than 5%
- Anton Frederik Mijnhardt · Directorcontrolsince 02/2018 · owns less than 5%
- Vicente Jaime Moreno De Los Rios · Chief Operating Officercontrolsince 06/2021 · owns less than 5%
Entity owners
- Secfi, Inc. · Sole Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- Coventure-Secfi Management Limitedpooled vehicle sponsorn
- Secfi Limitedinvestment advisern
- Secfi Securities, LLCbroker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 3 | 0 | 1 | ||
| Brookfield, Il | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Amsterdam, Netherlands4 employees
- San Francisco, CA2 employees
What changed
consecutive filings, newest first
- Accounts · 88 to 55Jun 3, 2025 to Mar 25, 2026
- Individual clients · 84 to 51Jun 3, 2025 to Mar 25, 2026
- Assets in custody · $91.8M to $144MJun 3, 2025 to Mar 25, 2026
- Employees · 16 to 15Jun 3, 2025 to Mar 25, 2026
- State-registered IARs · 5 to 6Jun 3, 2025 to Mar 25, 2026
- Other offices · 2 to 1Jun 3, 2025 to Mar 25, 2026
- Discretionary RAUM · $124M to $176MJun 3, 2025 to Mar 25, 2026
- Individual RAUM · $48.8M to $44.5MJun 3, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $125M to $181MJun 3, 2025 to Mar 25, 2026
- RAUM · $174M to $226MJun 3, 2025 to Mar 25, 2026
- Financial planning clients · 1-10 to 1-10Apr 29, 2025 to Jun 3, 2025
- Accounts · 139 to 88Jan 14, 2025 to Apr 29, 2025
- Individual clients · 136 to 84Jan 14, 2025 to Apr 29, 2025
- Pooled vehicle clients · 3 to 4Jan 14, 2025 to Apr 29, 2025
- Assets in custody · $9.0M to $91.8MJan 14, 2025 to Apr 29, 2025
- Employees · 15 to 16Jan 14, 2025 to Apr 29, 2025
- Financial planning clients · 26-50 to 1-10Jan 14, 2025 to Apr 29, 2025
- State-registered IARs · 6 to 5Jan 14, 2025 to Apr 29, 2025
- Discretionary RAUM · $122M to $124MJan 14, 2025 to Apr 29, 2025
- Individual RAUM · $22.1M to $48.8MJan 14, 2025 to Apr 29, 2025
- Non-discretionary RAUM · $34.3M to $50.3MJan 14, 2025 to Apr 29, 2025
- Pooled vehicle RAUM · $134M to $125MJan 14, 2025 to Apr 29, 2025
- RAUM · $156M to $174MJan 14, 2025 to Apr 29, 2025
- Accounts · 43 to 139Jan 9, 2024 to Mar 26, 2024
- Advisory employees · 10 to 9Jan 9, 2024 to Mar 26, 2024
- Individual clients · 5 to 136Jan 9, 2024 to Mar 26, 2024
- Pooled vehicle clients · 2 to 3Jan 9, 2024 to Mar 26, 2024
- Assets in custody · $34.5M to $9.0MJan 9, 2024 to Mar 26, 2024
- Financial planning clients · 11-25 to 26-50Jan 9, 2024 to Mar 26, 2024
- Private funds · 2 to 3Jan 9, 2024 to Mar 26, 2024
- Discretionary RAUM · $54.5M to $122MJan 9, 2024 to Mar 26, 2024
- Individual RAUM · $4.5M to $22.1MJan 9, 2024 to Mar 26, 2024
- Non-discretionary RAUM · $38.3M to $34.3MJan 9, 2024 to Mar 26, 2024
- Pooled vehicle RAUM · $88.3M to $134MJan 9, 2024 to Mar 26, 2024
- RAUM · $92.8M to $156MJan 9, 2024 to Mar 26, 2024
- Accounts · 2 to 43Jan 24, 2023 to Mar 16, 2023
- Advisory employees · 7 to 10Jan 24, 2023 to Mar 16, 2023
- BD registered reps · 3 to 6Jan 24, 2023 to Mar 16, 2023
- Individual clients · unset to 5.0Jan 24, 2023 to Mar 16, 2023
- Employees · 10 to 15Jan 24, 2023 to Mar 16, 2023
Signals
10 dated events
- Eric M Thompson left Secfi Advisory Limited for Titan (registered 2026-06-29)Jun 15, 2026 · Advisor changed firm · fact
- Christopher Alan Arnold left Secfi Advisory Limited for Xypn Sapphire (registered 2024-12-23)Jan 13, 2025 · Advisor changed firm · fact
- Brett Peter Wysopal left Secfi Advisory Limited for Wysopal Wealth (registered 2024-09-23)Sep 20, 2024 · Advisor changed firm · fact
- Andrew David Muckley (Chief Compliance Officer And General Counsel) no longer on Schedule A of Secfi Advisory Limited (listed 2023-08-02, absent 2024-01-09)Jan 9, 2024 · Control person left · inference
- Michelle Marwaha (Chief Compliance Officer) appeared on Schedule A of Secfi Advisory LimitedJan 9, 2024 · Control person joined · fact
- Vicente Jaime Moreno De Los Rios (Chief Operating Officer) appeared on Schedule A of Secfi Advisory LimitedJan 9, 2024 · Control person joined · fact
- Victoria E Ferguson left Secfi Advisory Limited for Dentist Advisors (registered 2023-06-02)May 16, 2023 · Advisor changed firm · fact
- Emiliano Rios Caban left Secfi Advisory Limited for Fruitful (registered 2023-09-21)Apr 13, 2023 · Advisor changed firm · fact
- Emiliano Rios Caban (Chief Compliance Officer) no longer on Schedule A of Secfi Advisory Limited (listed 2023-03-16, absent 2023-04-12)Apr 12, 2023 · Control person left · inference
- Secfi Advisory Limited filed its initial SEC registration (Form ADV)Jun 2, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Secfi Advisory Limited · Independent Sponsorsshared crd · capital_provider
- Secfi Advisory Limited · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/secfiincreportedpublic record, Form ADV, Sep 17, 2026
- Website
- secfi.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (707) 652-9961reportedpublic record, Form ADV, Jun 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $75.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026