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•••••••• C•••••• L••
Latest filing Aug 12, 2026
First filing on the tape Feb 25, 2026 · 3 filings
SEC status approved since Mar 27, 2026
RAUM
$111M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$111M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$36.8M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$111M as of Aug 12, 2026
Feb 25, 2026$0 then
HNW client RAUM$1.1M as of Aug 12, 2026
Jun 26, 2026$1.1M then
State-registered IARs (5.B.3)2 as of Aug 12, 2026
Feb 25, 20261 then
Employees (5.A)4 as of Aug 12, 2026
Feb 25, 20263 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 12, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $36.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 4derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $550,000derivedHNW RAUM over HNW clients
- Average account
- $4.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$109M99%
- High-net-worth individuals$1.1M1.0%
- Individual clients
- 9reported
- HNW clients
- 2reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 26reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• K•••• F••• | Naples, Fl | Apr 16, 2026 | 38 y | 2 |
| R••••• F••• | Naples, Fl | May 11, 2026 | 11 y | 1 |
| K••• G••• H•••••• | Reston, Va | Sep 3, 2026 | 10 y | 0 |
Advisor movement
0 left, 2 joined in 12 months
net +2 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
- R••••• F••• from H•••••••• A•••••••• L••May 11, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• K•••• F••• from H•••••••• A•••••••• L••Apr 16, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••• M••••••• K•••• · Chairman, Managing Partner, Chief Compliance Officercontrolsince 01/2026 · 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 |
|---|---|---|---|---|---|
| Naples, Fl | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 26Feb 25, 2026 to Jun 26, 2026
- HNW clients · unset to 2.0Feb 25, 2026 to Jun 26, 2026
- Individual clients · unset to 9.0Feb 25, 2026 to Jun 26, 2026
- Employees · 3 to 4Feb 25, 2026 to Jun 26, 2026
- State-registered IARs · 1 to 2Feb 25, 2026 to Jun 26, 2026
- Discretionary RAUM · $0 to $111MFeb 25, 2026 to Jun 26, 2026
- HNW RAUM · unset to 1100000.0Feb 25, 2026 to Jun 26, 2026
- Individual RAUM · unset to 109400000.0Feb 25, 2026 to Jun 26, 2026
- RAUM · $0 to $111MFeb 25, 2026 to Jun 26, 2026
Signals
No event on the tape.
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
- info@farrcrest.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- hbertholf@farrcrest.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 239-496-6200reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 202-753-7700reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/farrcrest-capital-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- farrcrest.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 2027537700reportedpublic record, Form ADV, Aug 12, 2026
- Team page
- farrcrest.com/teamreportedpublished by the firm, firm site, Sep 16, 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
- $36.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026