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•••
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
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••••• C••••• H•••••••••Certified Financial Planner | Venice, Fl | Nov 9, 2022 | 10 y | 3 |
| B•••••• B•••• P•••••Certified Financial Planner, Chartered Financial Consultant | Venice, Fl | Nov 9, 2022 | 22 y | 8 |
| S•••• G••••• P••••••••Certified Financial Planner | Venice, Fl | Nov 14, 2022 | 40 y | 4 |
| J•••• D• S•••••• | Venice, Fl | Nov 14, 2022 | 18 y | 2 |
| J••• J••••••Certified Financial Planner | Venice, Fl | Nov 15, 2023 | 11 y | 0 |
| L•••• C•••••Certified Financial Planner | Venice, Fl | Nov 27, 2023 | 28 y | 5 |
| B•••• K•••• | Venice, Fl | Feb 21, 2024 | 13 y | 0 |
| N••• M••••••••• | Venice, Fl | Jun 3, 2024 | 10 y | 0 |
| P•••• A•••••• L••• | Venice, Fl | Sep 25, 2025 | 13 y | 1 |
| K••• P•••••• J•••• | Venice, Fl | Jun 9, 2026 | 12 y | 0 |
| I••• V••••••••• D•••• | Venice, Fl | Sep 14, 2026 | 12 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
- A•••••••• C••••• W•••• to B••• W••••• M•••••••••Jul 10, 2023 · RIA to RIA
Joined, latest
- P•••• A•••••• L••• from A••••••• W••••• A•••••••Sep 25, 2025 · Affiliated broker-dealer or bank to independent RIA
- L•••• C••••• from T••••• A••••••• S•••••••• I•••Nov 27, 2023 · Affiliated broker-dealer or bank to independent RIA
- J•••• D• S•••••• from F••••••••• P•••••• W•••••Nov 14, 2022 · RIA to a newly registered adviser
- S•••• G••••• P•••••••• from F••••••••• P•••••• W•••••Nov 14, 2022 · RIA to a newly registered adviser
- B•••••• B•••• P••••• from F••••••••• P•••••• W•••••Nov 9, 2022 · RIA to a newly registered adviser
- A•••••••• C••••• W•••• from F••••••••• P•••••• W•••••Nov 9, 2022 · RIA to a newly registered adviser
- A•••••••• C••••• H••••••••• from F••••••••• P•••••• W•••••Nov 9, 2022 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 5 joined from F••••••••• P•••••• W•••••Dec 9, 2022 · Venice, Fl · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••••• S••••• G••••• · Chief Executive Officercontrolsince 09/2022 · owns less than 5%
- F•••••• C••••••••• L•••• · Chief Compliance Officer And Director Of Operationssince 01/2024 · 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• · 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
- F•••• R••• S••••••••• L••real estaten
- O••••• C••••• A•••••••• L••investment adviserpooled vehicle sponsornRAUM $538M
- S•• C•••••• M••••••••• L••investment adviserpooled vehicle sponsornRAUM $49B
Advisers that list F••••••••• F•••••••• P•••••••• L••• as a related person
- 122258 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Venice, Fl · principal | 10 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 3,882 to 4,199Dec 26, 2025 to Mar 26, 2026
- Advisory employees · 18 to 20Dec 26, 2025 to Mar 26, 2026
- Charity clients · 4 to 7Dec 26, 2025 to Mar 26, 2026
- Corporate clients · 19 to 17Dec 26, 2025 to Mar 26, 2026
- HNW clients · 368 to 401Dec 26, 2025 to Mar 26, 2026
- Individual clients · 546 to 569Dec 26, 2025 to Mar 26, 2026
- Pension plan clients · 10 to 8Dec 26, 2025 to Mar 26, 2026
- Assets in custody · $213M to $109MDec 26, 2025 to Mar 26, 2026
- State-registered IARs · 8 to 9Dec 26, 2025 to Mar 26, 2026
- Discretionary RAUM · $1.6B to $1.9BDec 26, 2025 to Mar 26, 2026
- HNW RAUM · $1.2B to $1.5BDec 26, 2025 to Mar 26, 2026
- Individual RAUM · $178M to $187MDec 26, 2025 to Mar 26, 2026
- Pension RAUM · $4.4M to $5.3MDec 26, 2025 to Mar 26, 2026
- RAUM · $1.6B to $1.9BDec 26, 2025 to Mar 26, 2026
- Related insurance company · false to trueDec 26, 2025 to Mar 26, 2026
- Accounts · 3,791 to 3,882Apr 24, 2024 to Mar 26, 2025
- Advisory employees · 21 to 18Apr 24, 2024 to Mar 26, 2025
- Corporate clients · 20 to 19Apr 24, 2024 to Mar 26, 2025
- HNW clients · 391 to 368Apr 24, 2024 to Mar 26, 2025
- Individual clients · 465 to 546Apr 24, 2024 to Mar 26, 2025
- Pension plan clients · 11 to 10Apr 24, 2024 to Mar 26, 2025
- Assets in custody · $201M to $213MApr 24, 2024 to Mar 26, 2025
- Employees · 21 to 20Apr 24, 2024 to Mar 26, 2025
- Financial planning clients · More than 500 to More than 500Apr 24, 2024 to Mar 26, 2025
- Discretionary RAUM · $1.3B to $1.6BApr 24, 2024 to Mar 26, 2025
- HNW RAUM · $1.0B to $1.2BApr 24, 2024 to Mar 26, 2025
- Individual RAUM · $135M to $178MApr 24, 2024 to Mar 26, 2025
- Pension RAUM · $4.9M to $4.4MApr 24, 2024 to Mar 26, 2025
- RAUM · $1.3B to $1.6BApr 24, 2024 to Mar 26, 2025
- Accounts · 3,097 to 3,791Sep 27, 2023 to Mar 22, 2024
- Advisory employees · 6 to 21Sep 27, 2023 to Mar 22, 2024
- HNW clients · 373 to 391Sep 27, 2023 to Mar 22, 2024
- Individual clients · 461 to 465Sep 27, 2023 to Mar 22, 2024
- Pension plan clients · 1 to 11Sep 27, 2023 to Mar 22, 2024
- Assets in custody · $195M to $201MSep 27, 2023 to Mar 22, 2024
- Employees · 17 to 21Sep 27, 2023 to Mar 22, 2024
- State-registered IARs · 6 to 8Sep 27, 2023 to Mar 22, 2024
- Discretionary RAUM · $1.1B to $1.3BSep 27, 2023 to Mar 22, 2024
- HNW RAUM · $816M to $1.0BSep 27, 2023 to Mar 22, 2024
- Individual RAUM · $117M to $135MSep 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 dayDec 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