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.

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Former SEC-registered adviser

R•••••• P•••••••• J••••••

Former SEC-registered adviserFalls Church, VirginiaCRD 105171SEC 801-21425IAPD
Legal name R•••••• G••••• I•••
Latest filing Mar 27, 2019
First filing on the tape Apr 2, 2012 · 16 filings
RAUM
$1.3B
reported, Item 5.F
Discretionary
5.2%
of RAUM
Private clients
96%
$1.2B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$1.3B as of Mar 27, 2019
Apr 2, 2012$717M then
HNW client RAUM$897M as of Mar 27, 2019
Mar 15, 2018$906M then
State-registered IARs (5.B.3)11 as of Mar 27, 2019
Apr 2, 20120 then
Employees (5.A)14 as of Mar 27, 2019
Apr 1, 201310 then
Private funds: no history
RAUM -3.7% over the last fiscal year+5.0% a year over threeIARs 11 to 11
Practice profile
derived from the filing of Mar 27, 2019; every figure names its basis
RAUM per advisor
$116MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
122derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$288,009derivedRAUM over accounts (5.F.2.f)
Discretionary
5.2%derivedof RAUM
Institutional
4.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
5.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-3.7%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+44%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
Financial planning clients
1,000reportedItem 5.H
Custody
$112M, 183 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$897M70%
  • Individuals$326M26%
  • Charitable organizations$50.7M4.0%
  • Pension and profit-sharing plans$4.2M0.3%
Individual clients
943reported
HNW clients
404reported
Pension plan clients
4reported
Charitable clients
23reported
Accounts
4,438reported
Financial planning clients
1,000reported
Wrap fee programs
noreported
Custody of client assets
$112M for 183 clientsreported
Compensation
% of AUM, fixedreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • P••••••••• N•••••• G•• · Treasurer/Directorcontrol
      since 05/2004 · owns 25% to 50%
    • R••••••• C••••••• E•••• · Secretary/Directorcontrol
      since 05/2004 · owns 25% to 50%
    • R••••••• D•••••• M•••• · President/Ceocontrol
      since 12/1989 · owns 10% to 25%
    • I•••• L•••••• D•••• · Vice President
      since 04/2013 · owns 5% to 10%
    • J••••••• D•••••• A•••••• · Vice President/Director
      since 01/2006 · owns 10% to 25%
    • S•••••• E••••• A••• · Director
      since 05/2004 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Falls Church, VA4 employees
    What changed
    consecutive filings, newest first
    • Accounts · 4,274 to 4,438
      Mar 15, 2018 to Mar 27, 2019
    • Charity clients · 22 to 23
      Mar 15, 2018 to Mar 27, 2019
    • HNW clients · 374 to 404
      Mar 15, 2018 to Mar 27, 2019
    • Individual clients · 564 to 943
      Mar 15, 2018 to Mar 27, 2019
    • Pension plan clients · unset to 4.0
      Mar 15, 2018 to Mar 27, 2019
    • Assets in custody · $96.0M to $112M
      Mar 15, 2018 to Mar 27, 2019
    • Discretionary RAUM · $20.3M to $67.0M
      Mar 15, 2018 to Mar 27, 2019
    • HNW RAUM · $906M to $897M
      Mar 15, 2018 to Mar 27, 2019
    • Individual RAUM · $355M to $326M
      Mar 15, 2018 to Mar 27, 2019
    • Non-discretionary RAUM · $1.3B to $1.2B
      Mar 15, 2018 to Mar 27, 2019
    • Pension RAUM · $4.0M to $4.2M
      Mar 15, 2018 to Mar 27, 2019
    • Pooled vehicle RAUM · 0.0 to unset
      Mar 15, 2018 to Mar 27, 2019
    • RAUM · $1.3B to $1.3B
      Mar 15, 2018 to Mar 27, 2019
    • Accounts · 4,268 to 4,274
      Oct 3, 2017 to Mar 15, 2018
    • Advisory employees · 8 to 11
      Oct 3, 2017 to Mar 15, 2018
    • Charity clients · unset to 22.0
      Oct 3, 2017 to Mar 15, 2018
    • HNW clients · unset to 374.0
      Oct 3, 2017 to Mar 15, 2018
    • Individual clients · unset to 564.0
      Oct 3, 2017 to Mar 15, 2018
    • Assets in custody · $72.1M to $96.0M
      Oct 3, 2017 to Mar 15, 2018
    • Employees · 13 to 14
      Oct 3, 2017 to Mar 15, 2018
    • State-registered IARs · 10 to 11
      Oct 3, 2017 to Mar 15, 2018
    • Discretionary RAUM · $11.6M to $20.3M
      Oct 3, 2017 to Mar 15, 2018
    • HNW RAUM · unset to 906297490.0
      Oct 3, 2017 to Mar 15, 2018
    • Individual RAUM · unset to 355198387.0
      Oct 3, 2017 to Mar 15, 2018
    • Non-discretionary RAUM · $1.2B to $1.3B
      Oct 3, 2017 to Mar 15, 2018
    • Pension RAUM · unset to 4041535.0
      Oct 3, 2017 to Mar 15, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Oct 3, 2017 to Mar 15, 2018
    • RAUM · $1.2B to $1.3B
      Oct 3, 2017 to Mar 15, 2018
    • Other offices · unset to 1.0
      Jun 5, 2017 to Oct 3, 2017
    • Accounts · 4,158 to 4,268
      Jan 30, 2017 to Mar 14, 2017
    • Assets in custody · $63.5M to $72.1M
      Jan 30, 2017 to Mar 14, 2017
    • Employees · 12 to 13
      Jan 30, 2017 to Mar 14, 2017
    • State-registered IARs · 8 to 10
      Jan 30, 2017 to Mar 14, 2017
    • Discretionary RAUM · $7.2M to $11.6M
      Jan 30, 2017 to Mar 14, 2017
    • Non-discretionary RAUM · $1.1B to $1.2B
      Jan 30, 2017 to Mar 14, 2017
    • RAUM · $1.1B to $1.2B
      Jan 30, 2017 to Mar 14, 2017
    • Accounts · 3,999 to 4,158
      Jun 3, 2015 to Mar 21, 2016
    • Assets in custody · $7.3M to $63.5M
      Jun 3, 2015 to Mar 21, 2016
    • Employees · 11 to 12
      Jun 3, 2015 to Mar 21, 2016
    • Financial planning clients · 251-500 to More than 500
      Jun 3, 2015 to Mar 21, 2016
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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