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
S••• F•••• I•••
Latest filing May 26, 2026
First filing on the tape Aug 22, 2023 · 6 filings
SEC status approved since Sep 21, 2023
RAUM
$251M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$248M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$83.7M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$251M as of May 26, 2026
Mar 19, 2024$135M then
HNW client RAUM$229M as of May 26, 2026
Apr 2, 2025$183M then
State-registered IARs (5.B.3)3 as of May 26, 2026
Mar 19, 20243 then
Employees (5.A)6 as of May 26, 2026
Mar 19, 20246 then
Private funds: no history
RAUM +24% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of May 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $83.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $491,194derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.6%derived
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$229M91%
- Individuals$19.0M7.6%
- Corporations and businesses$3.0M1.2%
- Individual clients
- 22reported
- HNW clients
- 63reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 511reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• J•••• P•••••••Certified Financial Planner | Campbell, Ca | Jun 8, 2021 | 16 y | 2 |
| A•••• S•••• B••••• | Ellensburg, Wa | Jun 14, 2021 | 14 y | 0 |
| T•••••• C•••••• | San Diego, Ca | Jan 6, 2026 | 11 y | 0 |
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
- S•••• J•••• P••••••• from E••••• F•••••••• G••••• L••Jun 8, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••••• S••••• J•••• · President, Chief Compliance Officercontrolsince 04/2018 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Campbell, Ca · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 464 to 511May 15, 2025 to Mar 29, 2026
- Corporate clients · 3 to 1May 15, 2025 to Mar 29, 2026
- HNW clients · 55 to 63May 15, 2025 to Mar 29, 2026
- Individual clients · 36 to 22May 15, 2025 to Mar 29, 2026
- Employees · 7 to 6May 15, 2025 to Mar 29, 2026
- Discretionary RAUM · $203M to $251MMay 15, 2025 to Mar 29, 2026
- HNW RAUM · $183M to $229MMay 15, 2025 to Mar 29, 2026
- Individual RAUM · $16.8M to $19.0MMay 15, 2025 to Mar 29, 2026
- RAUM · $203M to $251MMay 15, 2025 to Mar 29, 2026
- Financial planning clients · 51-100 to 51-100Apr 2, 2025 to May 15, 2025
- Accounts · 150 to 464Mar 19, 2024 to Apr 2, 2025
- Charity clients · unset to 0.0Mar 19, 2024 to Apr 2, 2025
- Corporate clients · unset to 3.0Mar 19, 2024 to Apr 2, 2025
- HNW clients · unset to 55.0Mar 19, 2024 to Apr 2, 2025
- Individual clients · 67 to 36Mar 19, 2024 to Apr 2, 2025
- Pension plan clients · unset to 0.0Mar 19, 2024 to Apr 2, 2025
- Pooled vehicle clients · unset to 0.0Mar 19, 2024 to Apr 2, 2025
- Employees · 6 to 7Mar 19, 2024 to Apr 2, 2025
- Discretionary RAUM · $135M to $203MMar 19, 2024 to Apr 2, 2025
- HNW RAUM · unset to 182823151.0Mar 19, 2024 to Apr 2, 2025
- Individual RAUM · $135M to $16.8MMar 19, 2024 to Apr 2, 2025
- Pension RAUM · unset to 0.0Mar 19, 2024 to Apr 2, 2025
- Pooled vehicle RAUM · unset to 0.0Mar 19, 2024 to Apr 2, 2025
- RAUM · $135M to $203MMar 19, 2024 to Apr 2, 2025
- Accounts · 305 to 150Aug 22, 2023 to Mar 19, 2024
- Advisory employees · 2 to 3Aug 22, 2023 to Mar 19, 2024
- Business name · S••• F•••• I••••••••• to S••• F•••• I•••Aug 22, 2023 to Mar 19, 2024
- HNW clients · 40.0 to unsetAug 22, 2023 to Mar 19, 2024
- Individual clients · 10 to 67Aug 22, 2023 to Mar 19, 2024
- Employees · 4 to 6Aug 22, 2023 to Mar 19, 2024
- State-registered IARs · 2 to 3Aug 22, 2023 to Mar 19, 2024
- Discretionary RAUM · $111M to $135MAug 22, 2023 to Mar 19, 2024
- HNW RAUM · 106000000.0 to unsetAug 22, 2023 to Mar 19, 2024
- Individual RAUM · $5.0M to $135MAug 22, 2023 to Mar 19, 2024
- RAUM · $111M to $135MAug 22, 2023 to Mar 19, 2024
Signals
1 dated events
- S••• F•••• I••••••••• filed its initial SEC registration (Form ADV)Aug 22, 2023 · 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
- 866-398-4044reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- seekfirstinc.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 866-398-4044reportedpublic record, Form ADV, May 26, 2026
- Contact form
- seekfirstinc.com/contact-usreportedpublished by the firm, firm site, Sep 15, 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
- $83.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026