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

Integrated Wealth Counsel, LLC

Former SEC-registered adviserReno, NevadaCRD 105538SEC 801-11975IAPD
Latest filing Nov 30, 2016
First filing on the tape Mar 27, 2012 · 13 filings
RAUM
$85.0M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$106M as of Feb 29, 2016
Mar 27, 2012$207M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 29, 2016
Mar 27, 20120 then
Employees (5.A)1 as of Feb 29, 2016
Apr 1, 20139 then
Private funds1 as of Feb 29, 2016
Mar 31, 20141 then
RAUM -61% over the last fiscal year-28% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Nov 30, 2016; every figure names its basis
RAUM per advisor
$42.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$505,952derivedRAUM over accounts (5.F.2.f)
Discretionary
96%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-51%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisersreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
168reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Iwc Natural Resources, LPOther Private Fund$00Jan 28, 2014
Owners and control persons
Schedule A and B, latest filing
  • Christopher Todd Ganos · Owner/Chief Compliance Officer/Managercontrol
    since 06/2001 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Pleasanton, CA
What changed
consecutive filings, newest first
  • Advisory activities · 1 to 2
    Nov 10, 2016 to Nov 30, 2016
  • Advisory employees · 1 to 2
    Nov 4, 2016 to Nov 10, 2016
  • Advisory activities · 3 to 1
    Nov 4, 2016 to Nov 10, 2016
  • Employees · 1 to 2
    Nov 4, 2016 to Nov 10, 2016
  • Financial planning clients · 51-100 to 0
    Nov 4, 2016 to Nov 10, 2016
  • State-registered IARs · 1 to 2
    Nov 4, 2016 to Nov 10, 2016
  • Accounts · 189 to 168
    Feb 29, 2016 to Nov 4, 2016
  • Advisory activities · 4 to 3
    Feb 29, 2016 to Nov 4, 2016
  • Private funds · 1 to unset
    Feb 29, 2016 to Nov 4, 2016
  • Discretionary RAUM · $103M to $82.0M
    Feb 29, 2016 to Nov 4, 2016
  • RAUM · $106M to $85.0M
    Feb 29, 2016 to Nov 4, 2016
  • Accounts · 405 to 189
    Mar 17, 2015 to Feb 29, 2016
  • Advisory employees · 2 to 1
    Mar 17, 2015 to Feb 29, 2016
  • Assets in custody · $1.8M to $0
    Mar 17, 2015 to Feb 29, 2016
  • Custody of client assets · true to false
    Mar 17, 2015 to Feb 29, 2016
  • Employees · 2 to 1
    Mar 17, 2015 to Feb 29, 2016
  • State-registered IARs · 2 to 1
    Mar 17, 2015 to Feb 29, 2016
  • Discretionary RAUM · $209M to $103M
    Mar 17, 2015 to Feb 29, 2016
  • Non-discretionary RAUM · $9.0M to $3.0M
    Mar 17, 2015 to Feb 29, 2016
  • RAUM · $218M to $106M
    Mar 17, 2015 to Feb 29, 2016
  • Accounts · 483 to 405
    May 28, 2014 to Mar 17, 2015
  • Advisory employees · 5 to 2
    May 28, 2014 to Mar 17, 2015
  • Assets in custody · $0 to $1.8M
    May 28, 2014 to Mar 17, 2015
  • Employees · 9 to 2
    May 28, 2014 to Mar 17, 2015
  • HQ city · CARMEL to RENO
    May 28, 2014 to Mar 17, 2015
  • HQ state · CA to NV
    May 28, 2014 to Mar 17, 2015
  • State-registered IARs · 5 to 2
    May 28, 2014 to Mar 17, 2015
  • Discretionary RAUM · $236M to $209M
    May 28, 2014 to Mar 17, 2015
  • RAUM · $245M to $218M
    May 28, 2014 to Mar 17, 2015
  • Succession · true to false
    Mar 31, 2014 to May 28, 2014
  • Accounts · 387 to 483
    Jan 31, 2014 to Mar 31, 2014
  • Advisory employees · 6 to 5
    Jan 31, 2014 to Mar 31, 2014
  • State-registered IARs · 6 to 5
    Jan 31, 2014 to Mar 31, 2014
  • Discretionary RAUM · $223M to $236M
    Jan 31, 2014 to Mar 31, 2014
  • Non-discretionary RAUM · $8.0M to $9.0M
    Jan 31, 2014 to Mar 31, 2014
  • RAUM · $231M to $245M
    Jan 31, 2014 to Mar 31, 2014
  • Succession · false to true
    Jan 31, 2014 to Mar 31, 2014
  • Assets in custody · unset to 0.0
    Jan 28, 2014 to Jan 31, 2014
  • Custody of client assets · false to true
    Jan 28, 2014 to Jan 31, 2014
  • Advisory activities · 3 to 4
    Oct 4, 2013 to Jan 28, 2014
Signals
1 dated events
  • Integrated Wealth Counsel, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Oct 4, 2013 · Succession (Item 4) · fact
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