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
H••••• C•••••• M••••••••• G••••• L••
Latest filing Mar 30, 2026
First filing on the tape Aug 20, 2020 · 12 filings
SEC status approved since Sep 21, 2020
RAUM
$2.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
78%
$2.0B individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$854M
derived; firm RAUM over IAPD count
Employees
12
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$2.6B as of Mar 30, 2026
Mar 9, 2021$1.7B then
HNW client RAUM$1.9B as of Mar 30, 2026
Mar 9, 2021$1.5B then
State-registered IARs (5.B.3)3 as of Mar 30, 2026
Mar 9, 20214 then
Employees (5.A)12 as of Mar 30, 2026
Mar 9, 202117 then
Private funds: no history
RAUM +11% over the last fiscal year+15% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
- RAUM per advisor
- $854MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 176derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.8MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $946M, 195 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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$1.9B74%
- Corporations and businesses$481M19%
- Charitable organizations$84.0M3.3%
- Individuals$81.3M3.2%
- Pension and profit-sharing plans$9.9M0.4%
- Individual clients
- 197reported
- HNW clients
- 331reported
- Pension plan clients
- 6reported
- Charitable clients
- 7reported
- Accounts
- 1,442reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $946M for 195 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.78 fund_share=0.0 institutional_share=0.04 related_bd=true related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• C•••••• W••••• | Westminster, Md | Dec 10, 2020 | 26 y | 1 |
| J•••• D•••• K••••• | Los Angeles, Ca | Dec 10, 2020 | 27 y | 1 |
| D•••• A••••• R•••••••Chartered Financial Analyst | Los Angeles, Ca | Dec 10, 2020 | 31 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• J••••• D•••• · Evp, Director, Ccocontrolsince 08/2020 · owns less than 5%
- R•••••••• D••••• A••••• · President And Directorcontrolsince 08/2020 · owns less than 5%
Entity owners
- F•••• O••••••••• L•• · Member, Managerdirect · 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• · Shareholder, Class B Common Stockindirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
- F•••••••• F•• U••••••• H•••••••• L• · Shareholderindirect · owns 75% or more of F•••••••• F•• P•••••• I•••
- F•••• F•••••••• P••••••• I••• · 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 |
|---|---|---|---|---|---|
| Los Angeles, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
- , 1 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- wealth to institutional shiftCombination · filing Mar 30, 2026private-client share fell 15 points or more while institutional share rose 15 points or more. RAUM $2,304,564,538 to $2,563,442,499, advisors 3 to 3, private clients 522 to 528, offices 2 to 2 (2025-03-27 to 2026-03-30)peers: independent wealth managers, $1B to $5B (1,362)
- very high RAUM per advisorStatic outlier · filing Mar 30, 2026RAUM per registered advisor of $854,480,833 against a peer median of $147,054,737 (1222 comparable advisers, 99.0th percentile, 7.2 robust deviations)peers: independent wealth managers, $1B to $5B (1,222) · 99% percentile
- client mix shiftChange between filings · filing Mar 30, 2026private-client share of RAUM moved from 94.0% to 78.0% between the annual amendments of 2025-03-27 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
- HNW share shiftChange between filings · filing Mar 30, 2026HNW share of RAUM moved from 90.0% to 74.0% between the annual amendments of 2025-03-27 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
- institutional asset share shiftChange between filings · filing Mar 30, 2026institutional share of RAUM moved from 6.0% to 22.0% between the annual amendments of 2025-03-27 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,380 to 1,442Mar 27, 2025 to Mar 30, 2026
- Advisory employees · 7 to 5Mar 27, 2025 to Mar 30, 2026
- Charity clients · unset to 7.0Mar 27, 2025 to Mar 30, 2026
- Corporate clients · 10 to 20Mar 27, 2025 to Mar 30, 2026
- HNW clients · 323 to 331Mar 27, 2025 to Mar 30, 2026
- Individual clients · 199 to 197Mar 27, 2025 to Mar 30, 2026
- Pension plan clients · 12 to 6Mar 27, 2025 to Mar 30, 2026
- Assets in custody · $820M to $946MMar 27, 2025 to Mar 30, 2026
- Employees · 14 to 12Mar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $2.3B to $2.6BMar 27, 2025 to Mar 30, 2026
- HNW RAUM · $2.1B to $1.9BMar 27, 2025 to Mar 30, 2026
- Individual RAUM · $81.4M to $81.3MMar 27, 2025 to Mar 30, 2026
- Pension RAUM · $49.7M to $9.9MMar 27, 2025 to Mar 30, 2026
- RAUM · $2.3B to $2.6BMar 27, 2025 to Mar 30, 2026
- Accounts · 1,389 to 1,380Mar 18, 2024 to Mar 27, 2025
- Corporate clients · 8 to 10Mar 18, 2024 to Mar 27, 2025
- HNW clients · 274 to 323Mar 18, 2024 to Mar 27, 2025
- Individual clients · 257 to 199Mar 18, 2024 to Mar 27, 2025
- Pension plan clients · 11 to 12Mar 18, 2024 to Mar 27, 2025
- Assets in custody · $608M to $820MMar 18, 2024 to Mar 27, 2025
- Employees · 16 to 14Mar 18, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 18, 2024 to Mar 27, 2025
- State-registered IARs · 4 to 3Mar 18, 2024 to Mar 27, 2025
- Discretionary RAUM · $2.0B to $2.3BMar 18, 2024 to Mar 27, 2025
- HNW RAUM · $1.5B to $2.1BMar 18, 2024 to Mar 27, 2025
- Individual RAUM · $192M to $81.4MMar 18, 2024 to Mar 27, 2025
- Pension RAUM · $48.5M to $49.7MMar 18, 2024 to Mar 27, 2025
- RAUM · $2.0B to $2.3BMar 18, 2024 to Mar 27, 2025
- Related insurance company · false to trueMar 18, 2024 to Mar 27, 2025
- Accounts · 1,375 to 1,389Dec 22, 2023 to Mar 18, 2024
- Corporate clients · 5 to 8Dec 22, 2023 to Mar 18, 2024
- HNW clients · 221 to 274Dec 22, 2023 to Mar 18, 2024
- Individual clients · 144 to 257Dec 22, 2023 to Mar 18, 2024
- Pension plan clients · 13 to 11Dec 22, 2023 to Mar 18, 2024
- Assets in custody · $519M to $608MDec 22, 2023 to Mar 18, 2024
- Discretionary RAUM · $1.7B to $2.0BDec 22, 2023 to Mar 18, 2024
- HNW RAUM · $1.5B to $1.5BDec 22, 2023 to Mar 18, 2024
- Individual RAUM · $59.9M to $192MDec 22, 2023 to Mar 18, 2024
- Pension RAUM · $46.6M to $48.5MDec 22, 2023 to Mar 18, 2024
- RAUM · $1.7B to $2.0BDec 22, 2023 to Mar 18, 2024
Signals
1 dated events
- H••••• C•••••• M••••••••• G••••• L•• filed its initial SEC registration (Form ADV)Aug 20, 2020 · 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
- 310-473-7200reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 310-473-9100reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 800-221-0052reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/focus-financial-partnersreportedpublic record, Form ADV, Sep 19, 2026
- Firm profile
- linkedin.com/company/howard-capital-management-howardcapitalreportedpublic record, Form ADV, Sep 19, 2026
- Website
- howardcapital.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 310-473-9100reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- howardcapital.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- $854Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026