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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM under $100M

PARKS CAPITAL

RALPH PARKS INVESTMENT GROUP LLC, CRD 138121

PITTSFORD, NY

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:943c1141-359d-15d3-9fbe-755d97989f56

Data as of Sep 3, 2025 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 3
On other graphs: 0
Observed: Dec 17, 2011 to Sep 3, 2025
31 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: $82.9MItem 5.F on the latest filing (2025-09-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $81.6M
Private client RAUM: $80.8MderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees: 2
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 315
Individual clients: 111
High net worth clients: 29
Custody, client assets: $2.7M
SEC number: 801-65169
CRD: 138121
Filings on the tape: 31
First filed: Dec 17, 2011
Latest filed: Sep 3, 2025
Organised: Limited Liability Company, NY

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
ASPIRE CAPITAL MANAGEMENT INC.	Owner	E	yes	12/2011	Apr 2, 2012	Nov 18, 2024
DIXIT, RAJIV, NATH	CO-OWNER-VICE PRESIDENT-TREASURER	D	yes	12/2011	Dec 17, 2011	Nov 18, 2024
DIXIT, RAJIV, NATH	CHIEF INVESTMENT OFFICER-12/2011, CHIEF OPERATING OFFICER-02/2006	Na	yes	01/2006	Dec 17, 2011	Nov 18, 2024
GRIFFO, GINA, M	CO-OWNER-PRESIDENT-SECRETARY	D	yes	12/2011	Dec 17, 2011	Nov 18, 2024
GRIFFO, GINA, M	CHIEF EXECUTIVE OFFICER-12/2011, CHIEF COMPLIANCE OFFICER-11/2005	Na	yes	11/2005	Dec 17, 2011	Nov 18, 2024

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; showing 14 of 15

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Apr 1, 2025	$82.9M	$81.6M	3	2	1	n/a	n/a
2023	Mar 31, 2024	$77.1M	$76.0M	4	2	0	n/a	n/a
2022	Feb 16, 2023	$65.1M	$64.4M	4	2	0	n/a	n/a
2021	Feb 9, 2022	$69.5M	$69.5M	3	2	0	n/a	n/a
2020	Mar 15, 2021	$60.6M	$60.6M	3	2	0	n/a	n/a
2019	Mar 16, 2020	$50.7M	$50.7M	3	2	0	n/a	n/a
2018	Feb 21, 2019	$41.3M	$41.3M	3	2	0	n/a	n/a
2017	Mar 16, 2018	$35.0M	$35.0M	3	2	0	n/a	n/a
2016	Mar 20, 2017	$27.4M	$26.7M	3	2	n/a	n/a	n/a
2015	Mar 22, 2016	$28.0M	$3.4M	3	2	n/a	n/a	n/a
2014	Mar 20, 2015	$28.9M	$3.9M	3	2	n/a	n/a	n/a
2013	Mar 19, 2014	$27.7M	$4.3M	3	2	n/a	n/a	n/a
2012	Mar 28, 2013	$28.2M	$5.3M	3	2	n/a	n/a	n/a
2011	Apr 2, 2012	$25.7M	$5.3M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	2	-2	n/a	0	0	0	0	2

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
2024	$82.9M	$77.1M	7.6%	$69.5M	6.1%	3	4	1	0

Relationships

Affiliated with (1)

← SERENITY CAPITAL ADVISORS INC.Registered adviserother investment adviser, control, common control
factForm ADV

Registered with (2)

← GINA M GRIFFOAdvisorregistration: previous registration
Oct 19, 2010 to Dec 2, 2025factForm ADV
← RAJIV NATH DIXITAdvisorregistration: previous registration
Oct 19, 2010 to Dec 2, 2025factForm ADV

Controls (3)

← GRIFFO, GINA, MOwnerCO-OWNER-PRESIDENT-SECRETARY, ownership code D, individual
Dec 17, 2011 to Nov 18, 2024factForm ADV
← DIXIT, RAJIV, NATHOwnerCO-OWNER-VICE PRESIDENT-TREASURER, ownership code D, individual
Dec 17, 2011 to Nov 18, 2024factForm ADV
← ASPIRE CAPITAL MANAGEMENT INC.OwnerOWNER, ownership code E, domestic entity
Apr 2, 2012 to Nov 18, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Dec 2, 2025
Advisor changed firm
Gina M Griffo left Parks Capital for Sage, Rutty & Co., Inc. (registered 2025-09-08)
Form ADVobserved 5 days ago
Occurred
Dec 2, 2025
Advisor changed firm
Rajiv Nath Dixit left Parks Capital for Serenity Capital Advisors Inc. (registered 2025-09-08)
Form ADVobserved 5 days ago

Show 1 bookkeeping events

Occurred
Jan 2, 2026
Parks Capital no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $82.9M)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:943c1141-359d-15d3-9fbe-755d97989f56
First observed: Dec 17, 2011
Last observed: Sep 3, 2025 12 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.

PARKS CAPITAL

RALPH PARKS INVESTMENT GROUP LLC, CRD 138121

PITTSFORD, NY

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:943c1141-359d-15d3-9fbe-755d97989f56

Data as of Sep 3, 2025 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:40 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ASPIRE CAPITAL MANAGEMENT INC.

Owner

yes

12/2011

Apr 2, 2012

Nov 18, 2024

DIXIT, RAJIV, NATH

CO-OWNER-VICE PRESIDENT-TREASURER

yes

12/2011

Dec 17, 2011

Nov 18, 2024

DIXIT, RAJIV, NATH

CHIEF INVESTMENT OFFICER-12/2011, CHIEF OPERATING OFFICER-02/2006

yes

01/2006

Dec 17, 2011

Nov 18, 2024

GRIFFO, GINA, M

CO-OWNER-PRESIDENT-SECRETARY

yes

12/2011

Dec 17, 2011

Nov 18, 2024

GRIFFO, GINA, M

CHIEF EXECUTIVE OFFICER-12/2011, CHIEF COMPLIANCE OFFICER-11/2005

yes

11/2005

Dec 17, 2011

Nov 18, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Apr 1, 2025

$82.9M

$81.6M

n/a

2023

Mar 31, 2024

$77.1M

$76.0M

n/a

2022

Feb 16, 2023

$65.1M

$64.4M

n/a

2021

Feb 9, 2022

$69.5M

n/a

2020

Mar 15, 2021

$60.6M

n/a

2019

Mar 16, 2020

$50.7M

n/a

2018

Feb 21, 2019

$41.3M

n/a

2017

Mar 16, 2018

$35.0M

n/a

2016

Mar 20, 2017

$27.4M

$26.7M

n/a

2015

Mar 22, 2016

$28.0M

$3.4M

n/a

2014

Mar 20, 2015

$28.9M

$3.9M

n/a

2013

Mar 19, 2014

$27.7M

$4.3M

n/a

2012

Mar 28, 2013

$28.2M

$5.3M

n/a

2011

Apr 2, 2012

$25.7M

$5.3M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-2

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$82.9M

$77.1M

7.6%

$69.5M

6.1%