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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

RG ADVISOR GROUP

RG CAPITAL INVESTMENT ADVISORY SERVICES, LLC, CRD 135696

PHOENIX, AZ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:07f27d0f-1860-2cfa-d796-d472427b42ea

Data as of Jun 5, 2015 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 0
On other graphs: 0
Observed: Dec 12, 2011 to Jun 5, 2015
16 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $40.0MItem 5.F on the latest filing (2015-06-05); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $40.0M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees: 4
Accounts: 70
Custody, client assets: $4.7M
SEC number: 801-69543
CRD: 135696
Filings on the tape: 16
First filed: Dec 12, 2011
Latest filed: Jun 5, 2015
Organised: Limited Liability Company, Arizona

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
GRAHAM, ROBERT, SHAW	OWNER/MANAGING MEMBER	E	yes	04/2008	Dec 12, 2011	Jun 5, 2015
GRAHAM, ROBERT, SHAW	CEO/PRESIDENT/CHIEF COMPLIANCE OFFICER	Na	yes	05/2005	Dec 12, 2011	Jun 5, 2015
RG CAPITAL, LLC	HOLDING COMPANY/MANAGING MEMBER	E	yes	05/2005	Dec 12, 2011	Jun 5, 2015

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
GREEN STEEL, LLC	n/a	n/a	n/a	N	yes	n/a
RG CAPITAL INSURANCE GROUP LLC	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 17, 2015	$40.0M	$40.0M	4	4	n/a	n/a	n/a
2013	Feb 5, 2014	$114M	$114M	4	4	n/a	n/a	n/a
2012	Mar 28, 2013	$100M	$100M	4	4	n/a	n/a	n/a
2011	Jan 30, 2012	$96.0M	$96.0M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$40.0M	$114M	-64.8%	$96.0M	-25.3%	4	4	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
FIRST ALLIED ADVISORY SERVICES, INC.	2	Oct 30, 2015	Apr 22, 2015	PHOENIX, AZ	Team lift out	Other	100.0%

Relationships

Controls (2)

← GRAHAM, ROBERT, SHAWOwnerOWNER/MANAGING MEMBER, ownership code E, individual
Dec 12, 2011 to presentfactForm ADV
← RG CAPITAL, LLCOwnerHOLDING COMPANY/MANAGING MEMBER, ownership code E, domestic entity
Dec 12, 2011 to presentfactForm ADV

Registered with (8)

← RICHARD ROGER OELZEAdvisorregistration: previous registration
Jan 31, 2012 to Oct 30, 2015factForm ADV
← Kelly G RichardsAdvisorregistration: previous registration
Apr 17, 2015 to Oct 30, 2015factForm ADV
← STEPHANIE MATTHEWS MITZELAdvisorregistration: previous registration
Oct 10, 2012 to Jun 3, 2015factForm ADV
← CINDY JANE BRYANTAdvisorregistration: previous registration
Mar 16, 2006 to Nov 29, 2010factForm ADV
← BRETT WEILER FALLONAdvisorregistration: previous registration
Mar 16, 2006 to Nov 29, 2010factForm ADV
← DAMON MARSHALL ZAHLMANNAdvisorregistration: previous registration
Sep 28, 2006 to Nov 29, 2010factForm ADV
← MARCUS NATHAN SEITERAdvisorregistration: previous registration
Mar 16, 2006 to Aug 24, 2010factForm ADV
← WILLIAM ALBERT WILKESAdvisorregistration: previous registration
Jul 19, 2006 to Aug 15, 2008factForm ADV

Moved with (1)

→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviser2 advisors, team lift out, same day
Oct 30, 2015 to Apr 22, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:07f27d0f-1860-2cfa-d796-d472427b42ea
First observed: Dec 12, 2011
Last observed: Jun 5, 2015 137 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

RG ADVISOR GROUP

RG CAPITAL INVESTMENT ADVISORY SERVICES, LLC, CRD 135696

PHOENIX, AZ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:07f27d0f-1860-2cfa-d796-d472427b42ea

Data as of Jun 5, 2015 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:53 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GRAHAM, ROBERT, SHAW

OWNER/MANAGING MEMBER

yes

04/2008

Dec 12, 2011

Jun 5, 2015

GRAHAM, ROBERT, SHAW

CEO/PRESIDENT/CHIEF COMPLIANCE OFFICER

yes

05/2005

Dec 12, 2011

Jun 5, 2015

RG CAPITAL, LLC

HOLDING COMPANY/MANAGING MEMBER

yes

05/2005

Dec 12, 2011

Jun 5, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

GREEN STEEL, LLC

n/a

yes

n/a

RG CAPITAL INSURANCE GROUP LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 17, 2015

$40.0M

n/a

2013

Feb 5, 2014

$114M

n/a

2012

Mar 28, 2013

$100M

n/a

2011

Jan 30, 2012

$96.0M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$40.0M

$114M

-64.8%

$96.0M

-25.3%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

FIRST ALLIED ADVISORY SERVICES, INC.

Oct 30, 2015

Apr 22, 2015

PHOENIX, AZ

Team lift out

Other

100.0%