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••••••••
Legal name F•••••• F•••••••• L••
Latest filing Aug 6, 2026
First filing on the tape Jul 17, 2024 · 9 filings
SEC status approved since Aug 16, 2024
RAUM
$278M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$276M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$69.5M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$278M as of Aug 6, 2026
Apr 2, 2025$235M then
HNW client RAUM$222M as of Aug 6, 2026
Apr 2, 2025$174M then
State-registered IARs (5.B.3)3 as of Aug 6, 2026
Apr 2, 20255 then
Employees (5.A)7 as of Aug 6, 2026
Apr 2, 20256 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 5 to 3
Practice profile
derived from the filing of Aug 6, 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
- 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
- RAUM per advisor
- $69.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $509,210derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- -40%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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$222M80%
- Individuals$54.3M20%
- Pension and profit-sharing plans$1.3M0.5%
- Corporations and businesses$598,9880.2%
- Individual clients
- 90reported
- HNW clients
- 93reported
- Pension plan clients
- 3reported
- Charitable clients
- 0reported
- Accounts
- 546reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• C•••••• F••••••Certified Financial Planner | Santa Barbara, Ca | Jan 1, 2025 | 19 y | 5 |
| C•••• E••••••• M•••• | Santa Barbara, Ca | Feb 6, 2025 | 19 y | 2 |
| E•••• S•••• G••••••Certified Financial Planner | Santa Barbara, Ca | Mar 21, 2025 | 11 y | 2 |
| A••••• J••• N••••••••• | Santa Barbara, Ca | Jul 31, 2026 | 10 y | 3 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- A••••• J••• N••••••••• from B•••• B••••• C•••••• A•••••••• L••Jul 31, 2026 · Other
- E•••• S•••• G•••••• from E• W••••• A•••••••Mar 21, 2025 · RIA to RIA
- C•••• E••••••• M•••• from M•••••• A•••••• N••••••Feb 6, 2025 · Affiliated broker-dealer or bank to independent RIA
- B•••• C•••••• F•••••• from L•• F•••••••• L••Jan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••• B••••• C•••••• · Chief Compliance Officercontrolsince 07/2024 · owns less than 5%
- F••••••• B••••• C•••••• · Trusteecontrolsince 07/2017 · owns 50% to 75% of F•••••• F••••• T••••
- F••••••• J•••••••• N••••••••• · Trusteesince 07/2017 · owns 50% to 75% of F•••••• F••••• T••••
Entity owners
- F•••••• F••••• T•••• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Santa Barbara, Ca · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- San Luis Obispo, CA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- a•••••• count dropChange between filings · filing Feb 12, 2026advisory representatives (Item 5.B.3) moved from 5.0 to 3.0 (-40.0%) between the annual amendments of 2025-04-02 and 2026-02-12; the peer median change was 0.0% (965 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 2.6% percentile
What changed
consecutive filings, newest first
- Accounts · 507 to 546Oct 13, 2025 to Feb 12, 2026
- HNW clients · 97 to 93Oct 13, 2025 to Feb 12, 2026
- Individual clients · 84 to 90Oct 13, 2025 to Feb 12, 2026
- Pension plan clients · 1 to 3Oct 13, 2025 to Feb 12, 2026
- Discretionary RAUM · $265M to $278MOct 13, 2025 to Feb 12, 2026
- HNW RAUM · $220M to $222MOct 13, 2025 to Feb 12, 2026
- Individual RAUM · $45.1M to $54.3MOct 13, 2025 to Feb 12, 2026
- Pension RAUM · $0 to $1.3MOct 13, 2025 to Feb 12, 2026
- RAUM · $265M to $278MOct 13, 2025 to Feb 12, 2026
- Individual clients · 77 to 84Aug 6, 2025 to Oct 13, 2025
- Accounts · 471 to 507Aug 6, 2025 to Oct 13, 2025
- Advisory employees · 3 to 4Aug 6, 2025 to Oct 13, 2025
- Charity clients · 1 to 0Aug 6, 2025 to Oct 13, 2025
- Pension plan clients · 0 to 1Aug 6, 2025 to Oct 13, 2025
- Employees · 6 to 7Aug 6, 2025 to Oct 13, 2025
- Discretionary RAUM · $235M to $265MAug 6, 2025 to Oct 13, 2025
- HNW RAUM · $174M to $220MAug 6, 2025 to Oct 13, 2025
- Individual RAUM · $57.3M to $45.1MAug 6, 2025 to Oct 13, 2025
- RAUM · $235M to $265MAug 6, 2025 to Oct 13, 2025
- Advisory employees · 5 to 3Apr 2, 2025 to Aug 6, 2025
- State-registered IARs · 5 to 3Apr 2, 2025 to Aug 6, 2025
- Accounts · 467 to 471Dec 3, 2024 to Apr 2, 2025
- Advisory employees · 4 to 5Dec 3, 2024 to Apr 2, 2025
- HNW clients · 94 to 97Dec 3, 2024 to Apr 2, 2025
- Individual clients · 67 to 77Dec 3, 2024 to Apr 2, 2025
- Employees · 5 to 6Dec 3, 2024 to Apr 2, 2025
- Financial planning clients · 0 to 101-250Dec 3, 2024 to Apr 2, 2025
- State-registered IARs · 4 to 5Dec 3, 2024 to Apr 2, 2025
- Discretionary RAUM · $0 to $235MDec 3, 2024 to Apr 2, 2025
- HNW RAUM · $196M to $174MDec 3, 2024 to Apr 2, 2025
- Individual RAUM · $38.3M to $57.3MDec 3, 2024 to Apr 2, 2025
- Non-discretionary RAUM · $238M to $0Dec 3, 2024 to Apr 2, 2025
- RAUM · $238M to $235MDec 3, 2024 to Apr 2, 2025
- Accounts · 0 to 467Oct 14, 2024 to Dec 3, 2024
- Charity clients · unset to 1.0Oct 14, 2024 to Dec 3, 2024
- Corporate clients · unset to 1.0Oct 14, 2024 to Dec 3, 2024
- HNW clients · unset to 94.0Oct 14, 2024 to Dec 3, 2024
- Individual clients · unset to 67.0Oct 14, 2024 to Dec 3, 2024
- Pension plan clients · unset to 0.0Oct 14, 2024 to Dec 3, 2024
- Pooled vehicle clients · unset to 0.0Oct 14, 2024 to Dec 3, 2024
Signals
1 dated events
- F•••••• F•••••••• filed its initial SEC registration (Form ADV)Jul 17, 2024 · 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
- 805-600-1610reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 805-543-1033reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 805-600-1600reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/foronjy-financialreportedpublic record, Form ADV, Sep 18, 2026
- Website
- f•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 805-543-1033reportedpublic record, Form ADV, Aug 6, 2026
- Team page
- f•••••••••.comreportedpublished 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
- $69.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026