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.

Former SEC-registered adviser

Rgt Wealth Advisors

Former SEC-registered adviserDallas, TexasCRD 104953SEC 801-27090IAPD

Legal name Rgt Wealth Advisors, LLC

Latest filing Mar 1, 2023

First filing on the tape Mar 30, 2012 · 41 filings

RAUM

$5.8B

reported, Item 5.F

Discretionary

97%

of RAUM

Private clients

96%

$5.5B individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

38 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$94.3M gross assets

History

41 filings and snapshots on the tape

RAUM$5.8B as of Mar 30, 2022

Mar 30, 2012$1.5B then

HNW client RAUM$5.5B as of Mar 30, 2022

Mar 28, 2018$3.8B then

State-registered IARs (5.B.3)25 as of Mar 30, 2022

Mar 30, 20120 then

Employees (5.A)68 as of Mar 30, 2022

Mar 28, 201342 then

Private funds6 as of Mar 30, 2022

Mar 30, 201230 then

RAUM +18% over the last fiscal year+14% a year over threeIARs 22 to 25

Practice profile

derived from the filing of Mar 1, 2023; every figure names its basis

RAUM per advisor: $230MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 28derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $8.8MderivedHNW RAUM over HNW clients
Average account: $1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary: 97%derivedof RAUM
Institutional: 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.7derivedItem 5.A over advisors
Advisors per office: 25.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +18%derivedbetween the last two annual amendments
Advisor growth, one year: +14%derivedItem 5.B.3 between annual amendments
Client growth, one year: +15%derived
Compensation: percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
Custody: $3.5B, 520 clientsreportedItem 9.A
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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$5.5B95%
Pooled investment vehicles$116M2.0%
Corporations and businesses$56.0M1.0%
Charitable organizations$54.2M0.9%
Individuals$51.0M0.9%

Individual clients: 91reported
HNW clients: 620reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 4,575reported
Financial planning clients: 251-500reported
Wrap fee programs: noreported
Custody of client assets: $3.5B for 520 clientsreported
Compensation: % of AUM, fixed, hourly, performancereported
Class basis: absent from the latest SEC rosterderived

Advisors registered through the firm

0 on IAPD today, longest tenure first

No representative is registered through this CRD on IAPD.

Advisor movement

Left, latest

Brent Wilson Little to Theory79 Wealth Design LLC
Nov 23, 2022 · RIA to a state-registered adviser
Hope Wimberly Robinson to Penn Davis Mcfarland Inc
Aug 24, 2022 · RIA to RIA
Matthew Gerald Covelli to Vanguard Advisers, Inc.
Aug 10, 2022 · RIA to affiliated broker-dealer or bank
Molly Caroline Frost Laughter to Laughter Financial
Mar 4, 2019 · RIA to a state-registered adviser
Frank Fitzgerald Fairbanks to Creative Planning
Dec 4, 2018 · RIA to RIA
Tyler Gregory Beeson to Westshore Wealth
Nov 30, 2017 · Other
Karina Brunson to Creative Planning
Jun 19, 2017 · Other
Braden Ryan Cole to Crow Holdings Capital
Feb 17, 2017 · Other
Ryan Byron Mcguire to Westshore Wealth
Aug 29, 2016 · Other
Trevor Blake Bryant to Westshore Wealth
Jul 22, 2016 · Other
Ryan S Brizendine to Westshore Wealth
Jul 22, 2016 · Other
Trudy Turner to United Capital Financial Advisors
Aug 27, 2015 · Other

Joined, latest

Kelly Gamble Mills from Ballentine Partners
Apr 29, 2022 · Other
Matthew Gerald Covelli from Genovese Burford & Brothers Wealth And Retirement Plan Mgmt, LLC
Apr 26, 2022 · RIA to RIA
Brent Wilson Little from Odyssey Wealth
Dec 6, 2021 · Other
Laura Beth Maxfield from Lee Financial Company, LLC
Feb 2, 2021 · RIA to RIA
Dana Lynn Pingenot from Lee Financial Company, LLC
Mar 11, 2020 · RIA to RIA
Cassandra Humphreys Guerrero from True North Advisors, LLC
Jan 31, 2020 · Other
Christopher James Rachfal from Hirtle & Co., LLC
Mar 17, 2017 · Other
James Spottswood Tardy from Credit Suisse Securities (USA) LLC
May 13, 2016 · Other
Adam Charles Goldenberg from True North Advisors, LLC
Dec 18, 2015 · Other
Tyler Gregory Beeson from Merrill Lynch, Pierce, Fenner & Smith Incorporated
Sep 28, 2015 · Other
Jeremy Joseph Hudson from Howard Financial Services, Ltd.
Mar 20, 2015 · Other
Ryan Byron Mcguire from Bridge Advisory LLC
Mar 17, 2015 · Other
Karina Brunson from Tolleson Private Wealth Management
Mar 17, 2015 · Other
Braden Ryan Cole from Goldman Sachs Wealth Services, L.P.
Feb 26, 2015 · Other
Trevor Blake Bryant from Barclays Capital Inc.
Feb 26, 2015 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for Westshore Wealth
Jul 22, 2016 · Dallas, Tx

Teams out Teams in

Private funds

26 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
Rgt Reserve Capital Vi, LPno longer reported	Private Equity Fund	$1.2M	9	Mar 30, 2012
Rgt Reserve Capital IV, LPno longer reported	Private Equity Fund	$1.1M	16	Mar 30, 2012
Rgt Energy Capital I, LPno longer reported	Private Equity Fund	$1.0M	31	Mar 30, 2012
Rgt Champions Iiq, LPno longer reported	Private Equity Fund	$964,594	28	Mar 30, 2012
Rgt - Thackeray Partners Realty Fund II, LPno longer reported	Real Estate Fund	$927,510	31	Mar 30, 2012
Rgt Champions III, LPno longer reported	Private Equity Fund	$819,464	15	Mar 30, 2012
Rgt Rch Energy Opportunity Fund III, LPno longer reported	Private Equity Fund	$758,196	22	Mar 30, 2012
Rgt Champions I, LPno longer reported	Private Equity Fund	$720,410	23	Mar 30, 2012
Rgt Reserve Capital V, LPno longer reported	Private Equity Fund	$709,438	9	Mar 30, 2012
Rgt Buchanan Fund V, LPno longer reported	Real Estate Fund	$706,135	22	Mar 30, 2012
Rgt Crow IV, LPno longer reported	Private Equity Fund	$635,693	27	Mar 30, 2012
Rgt Buchanan Fund IV, LPno longer reported	Real Estate Fund	$598,983	6	Mar 30, 2012
Rgt Lion Capital Fund II, LPno longer reported	Private Equity Fund	$568,139	35	Mar 30, 2012
Rgt Rch Energy Opportunity Fund II, LPno longer reported	Private Equity Fund	$386,031	19	Mar 30, 2012
Rgt Champions II, LPno longer reported	Private Equity Fund	$311,428	13	Mar 30, 2012
Rgt Thackeray, LPno longer reported	Real Estate Fund	$116,234	15	Mar 30, 2012
Rgt Reserve Capital II, LPno longer reported	Private Equity Fund	$111,784	13	Mar 30, 2012
Rgt Crow II, LPno longer reported	Private Equity Fund	$80,000	35	Mar 30, 2012
Rgt Buchanan Fund III, LPno longer reported	Real Estate Fund	$75,859	21	Mar 30, 2012
Rgt Hm V, LPno longer reported	Private Equity Fund	$53,111	39	Mar 30, 2012
Rgt Hm Europe II, LPno longer reported	Private Equity Fund	$43,390	44	Mar 30, 2012
Rgt Weetabix, LPno longer reported	Private Equity Fund	$30,119	39	Mar 30, 2012
Rgt Hm Europe, LPno longer reported	Private Equity Fund	$25,864	29	Mar 30, 2012
Rgt Hm Vi, LPno longer reported	Private Equity Fund	$22,053	31	Mar 30, 2012
Rgt Macfarlan I, LPno longer reported	Real Estate Fund	$18,737	9	Mar 30, 2012
Rgt R&R Investments, LPno longer reported	Private Equity Fund	$0	13	Mar 30, 2012

Owners and control persons

Schedule A and B, latest filing

Graham Craig Cardwell · Chief Financial Officercontrol
since 01/2021 · owns less than 5%
Charles Mark Griege · Chief Executive Officer And Managercontrol
since 03/1989 · owns less than 5%
Alan Peter Lodwick · Managing Directorcontrol
since 10/2016 · owns less than 5%
Triston Larry Nakamura · Chief Compliance Officercontrol
since 02/2023 · owns less than 5%
Medwick Heather Pesikoff · Chief Operating Officercontrol
since 07/2021 · owns less than 5%
E Jaime Ross · Managercontrol
since 12/2020 · owns less than 5%

Entity owners

Ci Private Wealth, LLC · Owner
direct · owns 75% or more
Ci Financial Corp. · Owner
indirect · owns 75% or more of Ci US Holdings, Inc · public reporting company
Ci US Holdings, Inc · Owner
indirect · owns 75% or more of Cipw Holdings, LLC
Cipw Holdings, LLC · Owner
indirect · owns 75% or more of Ci Private Wealth, LLC

Related persons

Schedule D 7.A

Corient
investment adviseryRAUM $165B
Growth Capital 2019 Gp, LLC
pooled vehicle sponsory
Rgt Holdings II, LLC
pooled vehicle sponsorn
Rgt Holdings III, LLC
pooled vehicle sponsorn
Rgt Holdings, Inc.
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Related adviser · false to true
May 2, 2022 to Nov 18, 2022
Accounts · 4,160 to 4,575
Nov 19, 2021 to Mar 30, 2022
Advisory employees · 33 to 38
Nov 19, 2021 to Mar 30, 2022
Charity clients · 4.0 to unset
Nov 19, 2021 to Mar 30, 2022
Corporate clients · 3 to 5
Nov 19, 2021 to Mar 30, 2022
HNW clients · 530 to 620
Nov 19, 2021 to Mar 30, 2022
Individual clients · 90 to 91
Nov 19, 2021 to Mar 30, 2022
Pension plan clients · 0.0 to unset
Nov 19, 2021 to Mar 30, 2022
Assets in custody · $2.6B to $3.5B
Nov 19, 2021 to Mar 30, 2022
Employees · 60 to 68
Nov 19, 2021 to Mar 30, 2022
State-registered IARs · 22 to 25
Nov 19, 2021 to Mar 30, 2022
Discretionary RAUM · $4.7B to $5.6B
Nov 19, 2021 to Mar 30, 2022
HNW RAUM · $4.6B to $5.5B
Nov 19, 2021 to Mar 30, 2022
Individual RAUM · $37.4M to $51.0M
Nov 19, 2021 to Mar 30, 2022
Non-discretionary RAUM · $146M to $195M
Nov 19, 2021 to Mar 30, 2022
Pension RAUM · 0.0 to unset
Nov 19, 2021 to Mar 30, 2022
Pooled vehicle RAUM · $172M to $116M
Nov 19, 2021 to Mar 30, 2022
RAUM · $4.9B to $5.8B
Nov 19, 2021 to Mar 30, 2022
Advisory employees · 34 to 33
Mar 29, 2021 to Aug 11, 2021
Employees · 57 to 60
Mar 29, 2021 to Aug 11, 2021
Accounts · 4,059 to 4,160
Jan 29, 2021 to Mar 29, 2021
Advisory employees · 35 to 34
Jan 29, 2021 to Mar 29, 2021
Charity clients · 5 to 4
Jan 29, 2021 to Mar 29, 2021
Corporate clients · 2 to 3
Jan 29, 2021 to Mar 29, 2021
HNW clients · 480 to 530
Jan 29, 2021 to Mar 29, 2021
Individual clients · 83 to 90
Jan 29, 2021 to Mar 29, 2021
Assets in custody · $2.2B to $2.6B
Jan 29, 2021 to Mar 29, 2021
Employees · 56 to 57
Jan 29, 2021 to Mar 29, 2021
State-registered IARs · 23 to 22
Jan 29, 2021 to Mar 29, 2021
Discretionary RAUM · $4.1B to $4.7B
Jan 29, 2021 to Mar 29, 2021
HNW RAUM · $4.1B to $4.6B
Jan 29, 2021 to Mar 29, 2021
Individual RAUM · $41.9M to $37.4M
Jan 29, 2021 to Mar 29, 2021
Non-discretionary RAUM · $223M to $146M
Jan 29, 2021 to Mar 29, 2021
Pooled vehicle RAUM · $136M to $172M
Jan 29, 2021 to Mar 29, 2021
RAUM · $4.3B to $4.9B
Jan 29, 2021 to Mar 29, 2021
Accounts · 3,774 to 4,059
Mar 29, 2019 to Mar 30, 2020
Advisory employees · 33 to 35
Mar 29, 2019 to Mar 30, 2020
Corporate clients · 0 to 2
Mar 29, 2019 to Mar 30, 2020
HNW clients · 466 to 480
Mar 29, 2019 to Mar 30, 2020
Individual clients · 90 to 83
Mar 29, 2019 to Mar 30, 2020

Signals

11 dated events

Triston Larry Nakamura (Chief Compliance Officer) appeared on Schedule A of Rgt Wealth Advisors
Mar 1, 2023 · Control person joined · fact
Brent Wilson Little left Rgt Wealth Advisors for Theory79 Wealth Design Llc (registered 2026-07-09)
Nov 23, 2022 · Advisor changed firm · fact
Hope Wimberly Robinson left Rgt Wealth Advisors for Penn Davis Mcfarland Inc (registered 2022-09-28)
Aug 24, 2022 · Advisor changed firm · fact
Matthew Gerald Covelli left Rgt Wealth Advisors for Vanguard Advisers, Inc. (registered 2022-11-07)
Aug 10, 2022 · Advisor changed firm · fact
Patrick Joseph Nolan (Manager) no longer on Schedule A of Rgt Wealth Advisors (listed 2021-11-19, absent 2022-03-30)
Mar 30, 2022 · Control person left · inference
Edward Charles Thoele (Manager) no longer on Schedule A of Rgt Wealth Advisors (listed 2021-11-19, absent 2022-03-30)
Mar 30, 2022 · Control person left · inference
Medwick Heather Pesikoff (Chief Compliance Officer And Chief Operations Officer) appeared on Schedule A of Rgt Wealth Advisors
Aug 11, 2021 · Control person joined · fact
K Anne Hill (Chief Compliance Officer) no longer on Schedule A of Rgt Wealth Advisors (listed 2020-06-30, absent 2021-01-28)
Jan 28, 2021 · Control person left · inference
Shelton John Cox (Chief Operating Officer) no longer on Schedule A of Rgt Wealth Advisors (listed 2020-06-30, absent 2021-01-28)
Jan 28, 2021 · Control person left · inference
Graham Craig Cardwell (Chief Financial Officer) appeared on Schedule A of Rgt Wealth Advisors
Jan 28, 2021 · Control person joined · fact
E Jaime Ross (Manager) appeared on Schedule A of Rgt Wealth Advisors
Jan 28, 2021 · Control person joined · fact

Across DFX

shared identifiers only, never a name match

RGT Wealth Advisors · Private Equity
shared crd · organization

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: Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Across the graphs

Rgt Wealth Advisors is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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