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

F••••••••• F•••••••• P•••••••• L•••

Independent wealth managerVenice, FloridaCRD 323060SEC 801-126759websiteIAPD
Latest filing Apr 2, 2026
First filing on the tape Sep 19, 2022 · 18 filings
SEC status approved since Oct 21, 2022
RAUM
$1.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$1.7B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$193M
derived; firm RAUM over IAPD count
Employees
20
20 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$1.9B as of Apr 2, 2026
Mar 29, 2023$1.1B then
HNW client RAUM$1.5B as of Apr 2, 2026
Mar 29, 2023$816M then
State-registered IARs (5.B.3)9 as of Apr 2, 2026
Mar 29, 20236 then
Employees (5.A)20 as of Apr 2, 2026
Mar 29, 202317 then
Private funds: no history
RAUM +21% over the last fiscal year+22% a year over threeIARs 8 to 9
Practice profile
derived from the filing of Apr 2, 2026; every figure names its basis
Archetypes, each a printed rule
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
  • Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
RAUM per advisor
$175MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
88derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.8MderivedHNW RAUM over HNW clients
Average account
$458,951derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
11.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
+13%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.1%derived
Compensation
percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
Financial planning clients
947reportedItem 5.H
Custody
$109M, 149 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$1.5B80%
  • Individuals$187M9.7%
  • Corporations and businesses$149M7.7%
  • Charitable organizations$44.6M2.3%
  • Pension and profit-sharing plans$5.3M0.3%
Individual clients
569reported
HNW clients
401reported
Pension plan clients
8reported
Charitable clients
7reported
Accounts
4,199reported
Financial planning clients
947reported
Wrap fee programs
noreported
Custody of client assets
$109M for 149 clientsreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.9 fund_share=0.0 institutional_share=0.03 related_bd=true related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
11 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
A•••••••• C••••• H•••••••••Certified Financial PlannerVenice, FlNov 9, 202210 y3
B•••••• B•••• P•••••Certified Financial Planner, Chartered Financial ConsultantVenice, FlNov 9, 202222 y8
S•••• G••••• P••••••••Certified Financial PlannerVenice, FlNov 14, 202240 y4
J•••• D• S••••••Venice, FlNov 14, 202218 y2
J••• J••••••Certified Financial PlannerVenice, FlNov 15, 202311 y0
L•••• C•••••Certified Financial PlannerVenice, FlNov 27, 202328 y5
B•••• K••••Venice, FlFeb 21, 202413 y0
N••• M•••••••••Venice, FlJun 3, 202410 y0
P•••• A•••••• L•••Venice, FlSep 25, 202513 y1
K••• P•••••• J••••Venice, FlJun 9, 202612 y0
I••• V••••••••• D••••Venice, FlSep 14, 202612 y0
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
Teams: two or more advisors moving together within fourteen days, from one state
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • P••••••••• S••••• G••••• · Chief Executive Officercontrol
    since 09/2022 · owns less than 5%
  • F•••••• C••••••••• L•••• · Chief Compliance Officer And Director Of Operations
    since 01/2024 · owns less than 5%
Entity owners
  • F•••• O••••••••• L•• · Member (Manager)
    direct · owns 75% or more
  • C••• F•••••••• C••••••••• L•• · Partner
    indirect · owns 25% to 50% of C••• F•••••••• H•••••••• L•••
  • C••• F•••••••• H•••••••• L••• · Partner
    indirect · owns 50% to 75% of F•••••••• F•• U••••••• H•••••••• L•
  • C••••••• D••••••• • R••• F••• X••• L•• · Partner
    indirect · owns 50% to 75% of C••• F•••••••• H•••••••• L•••
  • F•••••••• F•• A••••••••• L•• · Shareholder, Class A Common Stock
    indirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
  • F•••••••• F•• I••••••••• H•••••••• L•• · Member
    indirect · owns 75% or more of F•••••••• F•• A••••••••• L••
  • F•••••••• F•• P•••••• I•• · Member
    indirect · owns 75% or more of F•••••••• F•• I••••••••• H•••••••• L••
  • F•••••••• F•• U••••••• H•••••••• L• · Shareholder, Class B Common Stock
    indirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
  • F•••••••• F•• U••••••• H•••••••• L• · Shareholder
    indirect · owns 75% or more of F•••••••• F•• P•••••• I••
  • F•••• F•••••••• P••••••• I••• · Member
    indirect · owns 75% or more of F•••• F•••••••• P•••••••• L••
  • F•••• F•••••••• P•••••••• L•• · Member
    indirect · owns 75% or more of F•••• O••••••••• L••
Related persons
Schedule D 7.A
Advisers that list F••••••••• F•••••••• P•••••••• L••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Venice, Fl · principal1020
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 3,882 to 4,199
    Dec 26, 2025 to Mar 26, 2026
  • Advisory employees · 18 to 20
    Dec 26, 2025 to Mar 26, 2026
  • Charity clients · 4 to 7
    Dec 26, 2025 to Mar 26, 2026
  • Corporate clients · 19 to 17
    Dec 26, 2025 to Mar 26, 2026
  • HNW clients · 368 to 401
    Dec 26, 2025 to Mar 26, 2026
  • Individual clients · 546 to 569
    Dec 26, 2025 to Mar 26, 2026
  • Pension plan clients · 10 to 8
    Dec 26, 2025 to Mar 26, 2026
  • Assets in custody · $213M to $109M
    Dec 26, 2025 to Mar 26, 2026
  • State-registered IARs · 8 to 9
    Dec 26, 2025 to Mar 26, 2026
  • Discretionary RAUM · $1.6B to $1.9B
    Dec 26, 2025 to Mar 26, 2026
  • HNW RAUM · $1.2B to $1.5B
    Dec 26, 2025 to Mar 26, 2026
  • Individual RAUM · $178M to $187M
    Dec 26, 2025 to Mar 26, 2026
  • Pension RAUM · $4.4M to $5.3M
    Dec 26, 2025 to Mar 26, 2026
  • RAUM · $1.6B to $1.9B
    Dec 26, 2025 to Mar 26, 2026
  • Related insurance company · false to true
    Dec 26, 2025 to Mar 26, 2026
  • Accounts · 3,791 to 3,882
    Apr 24, 2024 to Mar 26, 2025
  • Advisory employees · 21 to 18
    Apr 24, 2024 to Mar 26, 2025
  • Corporate clients · 20 to 19
    Apr 24, 2024 to Mar 26, 2025
  • HNW clients · 391 to 368
    Apr 24, 2024 to Mar 26, 2025
  • Individual clients · 465 to 546
    Apr 24, 2024 to Mar 26, 2025
  • Pension plan clients · 11 to 10
    Apr 24, 2024 to Mar 26, 2025
  • Assets in custody · $201M to $213M
    Apr 24, 2024 to Mar 26, 2025
  • Employees · 21 to 20
    Apr 24, 2024 to Mar 26, 2025
  • Financial planning clients · More than 500 to More than 500
    Apr 24, 2024 to Mar 26, 2025
  • Discretionary RAUM · $1.3B to $1.6B
    Apr 24, 2024 to Mar 26, 2025
  • HNW RAUM · $1.0B to $1.2B
    Apr 24, 2024 to Mar 26, 2025
  • Individual RAUM · $135M to $178M
    Apr 24, 2024 to Mar 26, 2025
  • Pension RAUM · $4.9M to $4.4M
    Apr 24, 2024 to Mar 26, 2025
  • RAUM · $1.3B to $1.6B
    Apr 24, 2024 to Mar 26, 2025
  • Accounts · 3,097 to 3,791
    Sep 27, 2023 to Mar 22, 2024
  • Advisory employees · 6 to 21
    Sep 27, 2023 to Mar 22, 2024
  • HNW clients · 373 to 391
    Sep 27, 2023 to Mar 22, 2024
  • Individual clients · 461 to 465
    Sep 27, 2023 to Mar 22, 2024
  • Pension plan clients · 1 to 11
    Sep 27, 2023 to Mar 22, 2024
  • Assets in custody · $195M to $201M
    Sep 27, 2023 to Mar 22, 2024
  • Employees · 17 to 21
    Sep 27, 2023 to Mar 22, 2024
  • State-registered IARs · 6 to 8
    Sep 27, 2023 to Mar 22, 2024
  • Discretionary RAUM · $1.1B to $1.3B
    Sep 27, 2023 to Mar 22, 2024
  • HNW RAUM · $816M to $1.0B
    Sep 27, 2023 to Mar 22, 2024
  • Individual RAUM · $117M to $135M
    Sep 27, 2023 to Mar 22, 2024
Signals
5 dated events
  • I••• V••••••••• D•••• registered as an investment adviser representative at F••••••••• F•••••••• P•••••••• L•••
    Sep 14, 2026 · Advisor registered · fact
  • J. Donna Guinta (Chief Compliance Officer And Chief Operating Officer) no longer on Schedule A of F••••••••• F•••••••• P•••••••• L••• (listed 2023-09-27, absent 2024-03-22)
    Mar 22, 2024 · Control person left · inference
  • A•••••••• C••••• W•••• left F••••••••• F•••••••• P•••••••• L••• for B••• W••••• M••••••••• (registered 2023-08-15)
    Jul 10, 2023 · Advisor changed firm · fact
  • F••••••••• P•••••• W•••••'s advisors moved to F••••••••• F•••••••• P•••••••• L••• (Venice, FL): 5 of 5 registered, on the same day
    Dec 9, 2022 · Firm absorbed (people side) · derived
  • F••••••••• F•••••••• P•••••••• L••• filed its initial SEC registration (Form ADV)
    Sep 19, 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 email
chrisfagley@fourthought.comreportedpublished by the firm, firm site, Sep 17, 2026
Business phone
866-209-8557reportedpublished by the firm, firm site, Sep 17, 2026
Business phone
941-408-8557reportedpublished by the firm, firm site, Sep 17, 2026
Firm profile
linkedin.com/company/focus-financial-partnersreportedpublic record, Form ADV, Sep 18, 2026
Website
fourthought.comreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
941-408-8557reportedpublic record, Form ADV, Apr 2, 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
$193Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026