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.
SEC-registered adviser
Factory Capital LLC
Latest filing Aug 7, 2026
First filing on the tape Apr 17, 2026 · 5 filings
SEC status approved since Apr 6, 2026
RAUM
$103M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$102M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$20.5M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$103M as of Aug 7, 2026
Apr 17, 2026$0 then
HNW client RAUM: $97.5M
State-registered IARs (5.B.3)4 as of Aug 7, 2026
Apr 17, 20264 then
Employees (5.A)7 as of Aug 7, 2026
Apr 17, 20267 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 7, 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
- RAUM per advisor
- $20.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 5derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.0MderivedHNW RAUM over HNW clients
- Average account
- $3.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 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, portfolio management for pooled vehicles, pension consulting, 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$97.5M95%
- Individuals$4.2M4.1%
- Corporations and businesses$758,5830.7%
- Individual clients
- 9reported
- HNW clients
- 14reported
- 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=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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Travis Anthony Henry | Los Angeles, Ca | May 8, 2026 | 14 y | 3 |
| Joseph Robert GandolfoChartered Financial Analyst | Los Angeles, Ca | Jul 13, 2026 | 14 y | 0 |
| Trenton Jaret Bryde | Atlanta, Ga | Jul 13, 2026 | 13 y | 1 |
Advisor movement
0 left, 2 joined in 12 months
net +2 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
- Trenton Jaret Bryde from Cresset Asset Management, LLCJul 13, 2026 · RIA to a newly registered adviser
- Travis Anthony Henry from Cresset Asset Management, LLCMay 8, 2026 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Anthony Travis Henry · Head Of Factory Capital LLC & Ccocontrolsince 05/2026 · owns less than 5%
Entity owners
- Factory Holdings, LLC · 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 |
|---|---|---|---|---|---|
| Los Angeles, Ca · principal | 5 | 5 | 0 | ||
| Atlanta, Ga | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 26Jul 10, 2026 to Aug 7, 2026
- Corporate clients · unset to 3.0Jul 10, 2026 to Aug 7, 2026
- HNW clients · unset to 14.0Jul 10, 2026 to Aug 7, 2026
- Individual clients · unset to 9.0Jul 10, 2026 to Aug 7, 2026
- Discretionary RAUM · $0 to $103MJul 10, 2026 to Aug 7, 2026
- HNW RAUM · unset to 97541400.0Jul 10, 2026 to Aug 7, 2026
- Individual RAUM · unset to 4226183.0Jul 10, 2026 to Aug 7, 2026
- RAUM · $0 to $103MJul 10, 2026 to Aug 7, 2026
- Business name · FACTORY CAPITAL to FACTORY CAPITAL LLCApr 17, 2026 to May 21, 2026
- Legal name · FACTORY CAPITAL to FACTORY CAPITAL LLCApr 17, 2026 to May 21, 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
- Website
- TheFactoryHQ.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 954-803-9987reportedpublic record, Form ADV, Aug 7, 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
- $20.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026