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
A•••• C••••••
Legal name A•••• I••••••••• M••••••••• C••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Nov 11, 2021 · 15 filings
SEC status approved since Dec 16, 2021
RAUM
$907M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$845M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$181M
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$907M as of Mar 30, 2026
Mar 11, 2022$780M then
HNW client RAUM$830M as of Mar 30, 2026
Mar 11, 2022$704M then
State-registered IARs (5.B.3)5 as of Mar 30, 2026
Mar 11, 20223 then
Employees (5.A)9 as of Mar 30, 2026
Mar 11, 20226 then
Private funds: no history
RAUM +7.5% over the last fiscal year+9.9% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- RAUM per advisor
- $181MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.6MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Custody
- $180M, 46 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.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$830M92%
- Corporations and businesses$42.7M4.7%
- Charitable organizations$19.9M2.2%
- Individuals$14.1M1.6%
- Individual clients
- 36reported
- HNW clients
- 125reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 486reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $180M for 46 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• J•••• A•••• | Lake Forest, Il | Jan 3, 2022 | 35 y | 1 |
| R•• W••••• D•••••Chartered Financial Analyst | Lake Forest, Il | Jan 3, 2022 | 30 y | 1 |
| T••••• F••••• V•• V••••Chartered Financial Analyst | Lake Forest, Il | Jan 4, 2022 | 24 y | 1 |
| R••••• J•••• D•••••••Chartered Financial Analyst | Lake Forest, Il | Oct 18, 2023 | 12 y | 0 |
| J••••• R••• S•••••• | Lake Forest, Il | Aug 22, 2025 | 27 y | 2 |
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
- J••••• R••• S•••••• from M••••••••• I••••••••• S••••••• L••Aug 22, 2025 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from A•••• C••••••• L••Jan 3, 2022 · Lake Forest, Il · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• S•••••• J•••• · President & Foundercontrolsince 11/2021 · owns less than 5%
- D•••••• R••• W••••• · Managing Directorcontrolsince 11/2021 · owns less than 5%
- V•• V••••• T•••••• F••••• · Managing Directorcontrolsince 11/2021 · owns less than 5%
- A••••••••• S••••• C•••• · Chief Compliance Officersince 03/2024 · owns less than 5%
Entity owners
- F•••• O••••••••• L•• · Member (Manager)direct · 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• · Shareholderindirect · owns 75% or more of F•••••••• F•• P•••••• I•••
- F•••••••• F•• U••••••• H•••••••• L• · Shareholder, Class B Common Stockindirect · 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 |
|---|---|---|---|---|---|
| Lake Forest, Il · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 30, 2026wrap fee program participation (Item 5.I): yes on the filing of 2025-11-26, no on the filing of 2026-03-30peers: independent wealth managers, $500M to $1B (1,482)
- business activity changedChange between filings · filing Mar 30, 2026selection of other advisers (Item 5.G.7): no on the filing of 2025-11-26, yes on the filing of 2026-03-30peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 455 to 486Nov 26, 2025 to Mar 30, 2026
- Advisory employees · 4 to 5Nov 26, 2025 to Mar 30, 2026
- Advisory activities · 2 to 4Nov 26, 2025 to Mar 30, 2026
- Charity clients · 2 to 3Nov 26, 2025 to Mar 30, 2026
- Corporate clients · 5 to 6Nov 26, 2025 to Mar 30, 2026
- HNW clients · 119 to 125Nov 26, 2025 to Mar 30, 2026
- Individual clients · 41 to 36Nov 26, 2025 to Mar 30, 2026
- Assets in custody · $132M to $180MNov 26, 2025 to Mar 30, 2026
- Employees · 8 to 9Nov 26, 2025 to Mar 30, 2026
- State-registered IARs · 4 to 5Nov 26, 2025 to Mar 30, 2026
- Discretionary RAUM · $844M to $907MNov 26, 2025 to Mar 30, 2026
- HNW RAUM · $778M to $830MNov 26, 2025 to Mar 30, 2026
- Individual RAUM · $17.2M to $14.1MNov 26, 2025 to Mar 30, 2026
- RAUM · $844M to $907MNov 26, 2025 to Mar 30, 2026
- Wrap assets (manager) · 4197178426.0 to unsetNov 26, 2025 to Mar 30, 2026
- Wrap assets (sponsor) · 0.0 to unsetNov 26, 2025 to Mar 30, 2026
- Accounts · 402 to 455Jan 3, 2025 to Mar 25, 2025
- HNW clients · 110 to 119Jan 3, 2025 to Mar 25, 2025
- Individual clients · 38 to 41Jan 3, 2025 to Mar 25, 2025
- Assets in custody · $105M to $132MJan 3, 2025 to Mar 25, 2025
- Financial planning clients · unset to Jan 3, 2025 to Mar 25, 2025
- Discretionary RAUM · $727M to $844MJan 3, 2025 to Mar 25, 2025
- HNW RAUM · $705M to $778MJan 3, 2025 to Mar 25, 2025
- Individual RAUM · $15.2M to $17.2MJan 3, 2025 to Mar 25, 2025
- Non-discretionary RAUM · $38.4M to $0Jan 3, 2025 to Mar 25, 2025
- RAUM · $765M to $844MJan 3, 2025 to Mar 25, 2025
- Related insurance company · false to trueJan 3, 2025 to Mar 25, 2025
- Wrap assets (manager) · $3.5B to $4.2BJan 3, 2025 to Mar 25, 2025
- Accounts · 385 to 402Sep 25, 2023 to Mar 27, 2024
- Advisory employees · 3 to 4Sep 25, 2023 to Mar 27, 2024
- HNW clients · 107 to 110Sep 25, 2023 to Mar 27, 2024
- Assets in custody · $90.4M to $105MSep 25, 2023 to Mar 27, 2024
- Employees · 6 to 8Sep 25, 2023 to Mar 27, 2024
- State-registered IARs · 3 to 4Sep 25, 2023 to Mar 27, 2024
- Discretionary RAUM · $612M to $727MSep 25, 2023 to Mar 27, 2024
- HNW RAUM · $622M to $705MSep 25, 2023 to Mar 27, 2024
- Individual RAUM · $14.4M to $15.2MSep 25, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $71.5M to $38.4MSep 25, 2023 to Mar 27, 2024
- RAUM · $684M to $765MSep 25, 2023 to Mar 27, 2024
- Wrap assets (manager) · $2.7B to $3.5BSep 25, 2023 to Mar 27, 2024
Signals
2 dated events
- A•••• C••••••• L••'s advisors moved to A•••• C•••••• (Lake Forest, IL): 3 of 3 registered, on the same dayJan 3, 2022 · Firm absorbed (people side) · derived
- A•••• C•••••• filed its initial SEC registration (Form ADV)Nov 11, 2021 · 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
- 415-900-3871reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 512-498-7080reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 561-200-2070reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- focusfinancialpartners.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 847-482-0938reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- corporate.focuspartners.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
- $181Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026