DFX Intelligence

N•• I••••••••• S••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

N•• I••••••••• S••••••••

R•••••• FINANCIAL GROUP, LLC, CRD 134804

SMITHFILED, RI

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Search this name across graphsid dfx:ria:d924170a-5eb2-f0d5-3f20-19f120de4c80

Data as of Jul 6, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 3
On other graphs: 0
Observed: Jul 6, 2026 to Jul 6, 2026
1 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: independent wealth managerderivedprivate_client_share=0.95 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=6.0
Regulatory AUM: $108M••• Locked
Discretionary RAUM: $94.3M
Private client RAUM: $102Mderived••• Locked
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 9
RAUM per advisor: $12.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
O••••• R•••••• T•••	Certified Financial Planner	SMITHFILED, RI	21	24	1	no
R••• H•••••• H•••••	Certified Financial Planner\|Chartered Financial Consultant	SMITHFILED, RI	1	29

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••••• L•••	Manager	Na	yes	02/2025	Jul 6, 2026	Jul 6, 2026
J••••• J••••• M•	Manager	Na	yes	02/2025	Jul 6, 2026	Jul 6, 2026
N•• H•••••• C••••••• L••

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
4	0	4	0.0%	1	0	0	6	2

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
L•• F•••••••• L••	2	Sep 8, 2025	Sep 8, 2025	WARREN, RI	Team lift out	Ibd to RIA	0.0%

Relationships

Registered with (12)

← M•••• E•••••••••Advisorregistration: current employment
Aug 27, 2026 to presentfactForm ADV
← J••••••••• S•• P•••••••Advisorregistration: current employment
Jun 30, 2026 to presentfactForm ADV
← R••••• J••••• D•••••Advisorregistration: current employment
Jun 18, 2026 to presentfactForm ADV
← A•••••••• H••• C•••••

Dated events

Occurred
Sep 8, 2025
Team lift-out
••• Locked
Form ADVobserved 8 days ago
2 advisors
Occurred
Jan 16, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 16, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d924170a-5eb2-f0d5-3f20-19f120de4c80
First observed: Jul 6, 2026
Last observed: Jul 6, 2026 2 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.