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F•••••••• W••• G••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

F•••••••• W••• G••••

FINANCIAL W••• INVESTMENT GROUP, INC., CRD 16668

RENO, NV

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:af3ed233-2c5b-8728-6790-ad0289bb9345

Data as of Apr 22, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 227
Dated events: 0
On other graphs: 1
Observed: Nov 29, 2011 to Apr 22, 2019
36 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

F•••••••• W••• G••••

Intermediary · shared crd

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: $180,000Item 5.F on the latest filing (2019-04-22); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $180,000derivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

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
P•••••• H••••••• I••• A• N••••• C•••••••••	Shareholder	E	yes	05/1994	Nov 29, 2011	Apr 22, 2019
V••••••••• G••• C••••••	Shareholder	E	yes	03/1994	Nov 29, 2011

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

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
2017	$180,000	$654M	-100.0%	$730M	-93.7%	4	145	1	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
V••••••••• A••••••• S•••••••	2	Jul 6, 2017	Jul 26, 2017	MINNEAPOLIS, MN	Team lift out	Other	2.6%
V••••••••• A••••••• S•••••••	3	Jul 6, 2017

Relationships

showing 80 of 227

Controls (2)

← V••••••••• G••• C••••••OwnerSHAREHOLDER, ownership code E, individual
Nov 29, 2011 to presentfactForm ADV
← P•••••• H••••••• I••• A• N••••• C•••••••••OwnerSHAREHOLDER, ownership code E, domestic entity
Nov 29, 2011 to presentfactForm ADV

Owns (2)

← D••••• J•••• M••••••OwnerVICE PRESIDENT, ownership code NA, individual
Sep 8, 2017 to presentfactForm ADV
← H•••••• A• C••••••OwnerBOARD MEMBER, ownership code NA, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:af3ed233-2c5b-8728-6790-ad0289bb9345
First observed: Nov 29, 2011
Last observed: Apr 22, 2019 90 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.

Registered with (72)

← BART STEVEN KAPLOWAdvisorregistration: previous registration
Jul 7, 2003 to Oct 13, 2017factForm ADV
← Mark Warren LambAdvisorregistration: previous registration
Jun 27, 2008 to Aug 30, 2017factForm ADV
← Kevin Paul KellyAdvisorregistration: previous registration
Dec 22, 2010 to Aug 21, 2017factForm ADV
← Kenneth Paul HewittAdvisorregistration: previous registration
Jan 27, 1995 to Aug 21, 2017factForm ADV
← William Charles HoefferAdvisorregistration: previous registration
Apr 27, 2000 to Aug 21, 2017factForm ADV
← Jeffrey Evans SkogsberghAdvisorregistration: previous registration
Sep 8, 1998 to Aug 21, 2017factForm ADV
← Mark Alan RosenbergAdvisorregistration: previous registration
Aug 1, 2013 to Aug 21, 2017factForm ADV
← Duncan John MeaneyAdvisorregistration: previous registration
Jul 15, 2008 to Aug 21, 2017factForm ADV
← Dawn-Dyanna DhyannaAdvisorregistration: previous registration
Dec 9, 2003 to Aug 21, 2017factForm ADV
← Ron FreundAdvisorregistration: previous registration
Apr 27, 2000 to Aug 21, 2017factForm ADV
← Daniel Welburn CraneAdvisorregistration: previous registration
Dec 2, 2008 to Aug 21, 2017factForm ADV
← Richard Todd LipprandAdvisorregistration: previous registration
Apr 5, 2007 to Aug 21, 2017factForm ADV
← James Gordon FrewAdvisorregistration: previous registration
Mar 1, 1999 to Aug 21, 2017factForm ADV
← Keo Quach Hong SourisackAdvisorregistration: previous registration
Dec 13, 2016 to Aug 21, 2017factForm ADV
← Robert Evans RoweAdvisorregistration: previous registration
Jan 31, 2017 to Aug 21, 2017factForm ADV
← Frederick Morton WoolleyAdvisorregistration: previous registration
Jan 15, 2001 to Aug 21, 2017factForm ADV
← Steven Farley RichardsAdvisorregistration: previous registration
Jul 8, 1997 to Aug 21, 2017factForm ADV
← Dennis John DeYoungAdvisorregistration: previous registration
Oct 27, 2008 to Aug 21, 2017factForm ADV
← Christopher Warren PolimeniAdvisorregistration: previous registration
Mar 29, 2004 to Aug 21, 2017factForm ADV
← Victor Scott DeLucieAdvisorregistration: previous registration
Jul 16, 2008 to Aug 21, 2017factForm ADV
← Carol Ann BeznerAdvisorregistration: previous registration
Jul 2, 2002 to Aug 21, 2017factForm ADV
← Lyndon Alphonso GreyAdvisorregistration: previous registration
Sep 30, 2011 to Aug 21, 2017factForm ADV
← Belinda DuranAdvisorregistration: previous registration
Apr 12, 2001 to Aug 21, 2017factForm ADV
← NANCY MAYHUE EICHELBERGERAdvisorregistration: previous registration
Dec 13, 2016 to Aug 21, 2017factForm ADV
← Brett Dennis CurranAdvisorregistration: previous registration
Jan 18, 2017 to Aug 21, 2017factForm ADV
← Franklin FernandezAdvisorregistration: previous registration
Mar 13, 2009 to Aug 21, 2017factForm ADV
← Douglas Martin FairAdvisorregistration: previous registration
Apr 23, 2003 to Aug 21, 2017factForm ADV
← Brian William GroganAdvisorregistration: previous registration
Oct 15, 2014 to Aug 21, 2017factForm ADV
← Sandy Rita MesaAdvisorregistration: previous registration
Feb 17, 2009 to Aug 21, 2017factForm ADV
← Scott Richard MrozekAdvisorregistration: previous registration
Oct 7, 2010 to Aug 21, 2017factForm ADV
and 42 more