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
I••• W••••• P•••••••
Legal name I••• W••••• A•••••••• L••
Latest filing Apr 9, 2026
First filing on the tape May 16, 2022 · 14 filings
SEC status approved since Jun 21, 2022
RAUM
$2.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$2.5B individuals and HNW
Advisors
18
registered through the firm on IAPD
RAUM per advisor
$143M
derived; firm RAUM over IAPD count
Employees
22
15 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$2.6B as of Apr 9, 2026
Mar 30, 2023$1.8B then
HNW client RAUM$2.4B as of Apr 9, 2026
Mar 30, 2023$1.6B then
State-registered IARs (5.B.3)15 as of Apr 9, 2026
Mar 30, 202315 then
Employees (5.A)22 as of Apr 9, 2026
Mar 30, 202319 then
Private funds: no history
RAUM +14% over the last fiscal year+14% a year over threeIARs 16 to 15
Practice profile
derived from the filing of Apr 9, 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
- $143MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.0MderivedHNW RAUM over HNW clients
- Average account
- $621,044derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 9.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- -6.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.6%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $490M, 244 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)
- has custody of client securities (9.A.1.b)
- controlled by a public reporting company (10.A)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.4B93%
- Individuals$103M4.0%
- Charitable organizations$48.2M1.9%
- Corporations and businesses$30.8M1.2%
- Individual clients
- 276reported
- HNW clients
- 341reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 4,150reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $490M for 244 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=true bd_reps=8.0 bank_owner=falsederived
Advisors registered through the firm
18 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• M•••••Certified Financial Planner | Houston, Tx | Aug 1, 2022 | 29 y | 2 |
| J••• C•••• T••••• | Houston, Tx | Aug 1, 2022 | 19 y | 1 |
| S•••••• T••••• S••••••••• | Houston, Tx | Aug 1, 2022 | 18 y | 3 |
| B••••• H••••• M•••• | Houston, Tx | Aug 1, 2022 | 14 y | 2 |
| A•••••• K••••••• M••••••• | Houston, Tx | Aug 1, 2022 | 11 y | 2 |
| J••• W•••• W••••• | Houston, Tx | Aug 1, 2022 | 11 y | 1 |
| M••• B•••• M•••••• | Houston, Tx | Aug 1, 2022 | 32 y | 3 |
| J•••• A••• P••••• | Houston, Tx | Aug 1, 2022 | 20 y | 2 |
| B••••• P••••••••• | Houston, Tx | Aug 2, 2022 | 16 y | 2 |
| B•••• A••••• P•••• | Houston, Tx | Aug 2, 2022 | 42 y | 4 |
| D••••• R••• S••••••••Certified Financial Planner | Houston, Tx | Aug 2, 2022 | 45 y | 4 |
| J••••••• M•••• M•••• | Houston, Tx | Aug 2, 2022 | 19 y | 3 |
| M•••••• J••••• C••••• | Houston, Tx | Aug 5, 2022 | 24 y | 3 |
| K••• R••• B••••••••• | Houston, Tx | Jan 24, 2024 | 12 y | 0 |
| S••••• M•••••• N••••••Certified Financial Planner | Houston, Tx | Sep 9, 2024 | 12 y | 3 |
| P•••••• S•••• I•••••• | Houston, Tx | May 8, 2025 | 12 y | 0 |
| M•••• P•••• D• L••• V•••• | Houston, Tx | Feb 2, 2026 | 13 y | 1 |
| R••••• C•••••••• M••••• | Houston, Tx | May 14, 2026 | 10 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- M•••• P•••• D• L••• V•••• from A•••• A•••••••Feb 2, 2026 · Other
- S••••• M•••••• N•••••• from N•••••• W••••• M•••••••••Sep 9, 2024 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 13 joined from I••• W••••• P•••••••• L••Aug 1, 2022 · Houston, Tx · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• A••• S••••••••• · Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- M••••••• M•••• B•••• · Founder And Managing Partnercontrolsince 03/2022 · owns less than 5%
- M••••• B•••••• H••••• · Managing Partnercontrolsince 03/2022 · owns less than 5%
- P•••••• J••••• A••• · Managing Partnercontrolsince 03/2022 · owns less than 5%
- P••••• B••••• A••••• · Founder And Managing Partnercontrolsince 03/2022 · owns less than 5%
- S••••••••• S••••••• T••••• · Founder And Managing Partnercontrolsince 03/2022 · 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• · 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 |
|---|---|---|---|---|---|
| Houston, Tx · principal | 18 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 4,238 to 4,150Jan 29, 2026 to Mar 31, 2026
- Advisory employees · 16 to 15Jan 29, 2026 to Mar 31, 2026
- Charity clients · unset to 6.0Jan 29, 2026 to Mar 31, 2026
- Corporate clients · 5 to 6Jan 29, 2026 to Mar 31, 2026
- HNW clients · 295 to 341Jan 29, 2026 to Mar 31, 2026
- Individual clients · 273 to 276Jan 29, 2026 to Mar 31, 2026
- Assets in custody · $543M to $490MJan 29, 2026 to Mar 31, 2026
- State-registered IARs · 16 to 15Jan 29, 2026 to Mar 31, 2026
- Discretionary RAUM · $2.3B to $2.6BJan 29, 2026 to Mar 31, 2026
- HNW RAUM · $2.1B to $2.4BJan 29, 2026 to Mar 31, 2026
- Individual RAUM · $94.9M to $103MJan 29, 2026 to Mar 31, 2026
- RAUM · $2.3B to $2.6BJan 29, 2026 to Mar 31, 2026
- Accounts · 3,998 to 4,238Apr 25, 2024 to Mar 21, 2025
- Advisory employees · 15 to 16Apr 25, 2024 to Mar 21, 2025
- BD registered reps · 12 to 8Apr 25, 2024 to Mar 21, 2025
- Corporate clients · 6 to 5Apr 25, 2024 to Mar 21, 2025
- HNW clients · 252 to 295Apr 25, 2024 to Mar 21, 2025
- Individual clients · 245 to 273Apr 25, 2024 to Mar 21, 2025
- Assets in custody · $521M to $543MApr 25, 2024 to Mar 21, 2025
- Employees · 21 to 22Apr 25, 2024 to Mar 21, 2025
- Financial planning clients · 26-50 to 26-50Apr 25, 2024 to Mar 21, 2025
- State-registered IARs · 15 to 16Apr 25, 2024 to Mar 21, 2025
- Discretionary RAUM · $1.9B to $2.3BApr 25, 2024 to Mar 21, 2025
- HNW RAUM · $1.7B to $2.1BApr 25, 2024 to Mar 21, 2025
- Individual RAUM · $90.5M to $94.9MApr 25, 2024 to Mar 21, 2025
- RAUM · $1.9B to $2.3BApr 25, 2024 to Mar 21, 2025
- Related insurance company · false to trueApr 25, 2024 to Mar 21, 2025
- Accounts · 3,318 to 3,998Sep 26, 2023 to Mar 28, 2024
- Corporate clients · 5 to 6Sep 26, 2023 to Mar 28, 2024
- HNW clients · 243 to 252Sep 26, 2023 to Mar 28, 2024
- Individual clients · 248 to 245Sep 26, 2023 to Mar 28, 2024
- Assets in custody · $474M to $521MSep 26, 2023 to Mar 28, 2024
- Employees · 19 to 21Sep 26, 2023 to Mar 28, 2024
- Other offices · 0 to 1Sep 26, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.8B to $1.9BSep 26, 2023 to Mar 28, 2024
- HNW RAUM · $1.6B to $1.7BSep 26, 2023 to Mar 28, 2024
- Individual RAUM · $101M to $90.5MSep 26, 2023 to Mar 28, 2024
- RAUM · $1.8B to $1.9BSep 26, 2023 to Mar 28, 2024
- Accounts · 3,178 to 3,318Dec 5, 2022 to Mar 30, 2023
- BD registered reps · 15 to 12Dec 5, 2022 to Mar 30, 2023
Signals
2 dated events
- I••• W••••• P•••••••• L••'s advisors moved to I••• W••••• P••••••• (Houston, TX): 13 of 13 registered, on the same dayAug 1, 2022 · Firm absorbed (people side) · derived
- I••• W••••• P••••••• filed its initial SEC registration (Form ADV)May 16, 2022 · 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
- 561-200-2070reportedpublished by the firm, firm site, Sep 17, 2026
- 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
- Firm profile
- LINKEDIN.COM/COMPANY/16197639reportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/focus-financial-partnersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- focusfinancialpartners.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 713-904-5020reportedpublic record, Form ADV, Apr 9, 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
- $143Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026