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••••••• C••••••••• G••••

Former SEC-registered adviserOrlando, FloridaCRD 105720SEC 801-32146IAPD
Legal name R••••••• C••••••••• G•••• I••
Latest filing Mar 1, 2023
First filing on the tape Mar 27, 2012 · 31 filings
RAUM
$2.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$2.2B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
22
16 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$2.3B as of Mar 1, 2023
Mar 27, 2012$870M then
HNW client RAUM$2.1B as of Mar 1, 2023
Mar 29, 2018$1.7B then
State-registered IARs (5.B.3)16 as of Mar 1, 2023
Mar 27, 20120 then
Employees (5.A)22 as of Mar 1, 2023
Mar 21, 201314 then
Private funds: no history
RAUM -12% over the last fiscal year+4.5% a year over threeIARs 14 to 16
Practice profile
derived from the filing of Mar 1, 2023; every figure names its basis
RAUM per advisor
$145MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
35derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.3MderivedHNW RAUM over HNW clients
Average account
$829,770derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
4.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
16.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-12%derivedbetween the last two annual amendments
Advisor growth, one year
+14%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.6%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$1.1B, 403 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)
  • 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$2.1B92%
  • Individuals$79.7M3.5%
  • Pension and profit-sharing plans$47.5M2.1%
  • Charitable organizations$45.9M2.0%
Individual clients
167reported
HNW clients
399reported
Pension plan clients
6reported
Charitable clients
7reported
Accounts
2,792reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$1.1B for 403 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
Left, latest
Joined, latest
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
    • B•••• G••••• A•••••••• · Shareholder (01/2014), President (10/2019), Chief Executive Officercontrol
      since 01/2022 · owns 5% to 10%
    • D••••• M••••••• H••••• · Vice Presidentcontrol
      since 01/2022 · owns 25% to 50%
    • M••••••• S••••••• E••••• · Shareholder, Director Of Operations, And Chief Investment Officercontrol
      since 01/2011 · owns 5% to 10%
    • M••••• M••••••• T••••••• · Treasurer / Chief Compliance Officercontrol
      since 01/2007 · owns 5% to 10%
    • P•••••••• E•••••• E••••• · Shareholdercontrol
      since 01/2011 · owns 5% to 10%
    • R••••••• N•••••• R• · Secretarycontrol
      since 04/2015 · owns 5% to 10%
    • S•••••••• K•••••••• A•• · Vice Presidentcontrol
      since 04/2015 · owns 5% to 10%
    • C••••••• N••••••• E•• · Shareholder
      since 01/2022 · owns 5% to 10%
    • D••••• A••• L• · Shareholder (01/2022) / Board Of Directors Chair
      since 04/2022 · owns 5% to 10%
    • P••••••• L••••• E••••• · Shareholder
      since 01/2019 · owns 5% to 10%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Orlando, Fl · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 2,625 to 2,792
      Nov 16, 2022 to Mar 1, 2023
    • Advisory employees · 15 to 16
      Nov 16, 2022 to Mar 1, 2023
    • Charity clients · 8 to 7
      Nov 16, 2022 to Mar 1, 2023
    • HNW clients · 411 to 399
      Nov 16, 2022 to Mar 1, 2023
    • Individual clients · 146 to 167
      Nov 16, 2022 to Mar 1, 2023
    • Pension plan clients · 8 to 6
      Nov 16, 2022 to Mar 1, 2023
    • Assets in custody · $1.3B to $1.1B
      Nov 16, 2022 to Mar 1, 2023
    • Employees · 27 to 22
      Nov 16, 2022 to Mar 1, 2023
    • State-registered IARs · 14 to 16
      Nov 16, 2022 to Mar 1, 2023
    • Discretionary RAUM · $2.6B to $2.3B
      Nov 16, 2022 to Mar 1, 2023
    • HNW RAUM · $2.4B to $2.1B
      Nov 16, 2022 to Mar 1, 2023
    • Individual RAUM · $66.9M to $79.7M
      Nov 16, 2022 to Mar 1, 2023
    • Pension RAUM · $65.3M to $47.5M
      Nov 16, 2022 to Mar 1, 2023
    • RAUM · $2.6B to $2.3B
      Nov 16, 2022 to Mar 1, 2023
    • Accounts · 2,475 to 2,625
      Dec 14, 2021 to Mar 17, 2022
    • Advisory employees · 16 to 15
      Dec 14, 2021 to Mar 17, 2022
    • HNW clients · 369 to 411
      Dec 14, 2021 to Mar 17, 2022
    • Individual clients · 129 to 146
      Dec 14, 2021 to Mar 17, 2022
    • Assets in custody · $1.0B to $1.3B
      Dec 14, 2021 to Mar 17, 2022
    • Financial planning clients · 51-100 to 101-250
      Dec 14, 2021 to Mar 17, 2022
    • Discretionary RAUM · $2.2B to $2.6B
      Dec 14, 2021 to Mar 17, 2022
    • HNW RAUM · $2.0B to $2.4B
      Dec 14, 2021 to Mar 17, 2022
    • Individual RAUM · $64.5M to $66.9M
      Dec 14, 2021 to Mar 17, 2022
    • Pension RAUM · $53.5M to $65.3M
      Dec 14, 2021 to Mar 17, 2022
    • RAUM · $2.2B to $2.6B
      Dec 14, 2021 to Mar 17, 2022
    • Accounts · 2,283 to 2,475
      Jun 18, 2020 to Mar 3, 2021
    • Charity clients · 7 to 8
      Jun 18, 2020 to Mar 3, 2021
    • HNW clients · 362 to 369
      Jun 18, 2020 to Mar 3, 2021
    • Individual clients · 116 to 129
      Jun 18, 2020 to Mar 3, 2021
    • Assets in custody · $941M to $1.0B
      Jun 18, 2020 to Mar 3, 2021
    • Discretionary RAUM · $2.0B to $2.2B
      Jun 18, 2020 to Mar 3, 2021
    • HNW RAUM · $1.9B to $2.0B
      Jun 18, 2020 to Mar 3, 2021
    • Individual RAUM · $59.1M to $64.5M
      Jun 18, 2020 to Mar 3, 2021
    • Pension RAUM · $47.2M to $53.5M
      Jun 18, 2020 to Mar 3, 2021
    • RAUM · $2.0B to $2.2B
      Jun 18, 2020 to Mar 3, 2021
    • Accounts · 2,190 to 2,283
      Oct 15, 2019 to Mar 8, 2020
    • Advisory employees · 15 to 16
      Oct 15, 2019 to Mar 8, 2020
    • Charity clients · unset to 7.0
      Oct 15, 2019 to Mar 8, 2020
    • HNW clients · 337 to 362
      Oct 15, 2019 to Mar 8, 2020
    • Individual clients · 115 to 116
      Oct 15, 2019 to Mar 8, 2020
    Signals
    21 dated events
    • S•• C••••••••• left R••••••• C••••••••• G•••• for H•••••••• A•••••••• L•• (registered 2024-01-24)
      Jan 26, 2024 · Advisor changed firm · fact
    • L•••• P•••••• left R••••••• C••••••••• G•••• for H•••••••• A•••••••• L•• (registered 2024-01-24)
      Jan 26, 2024 · Advisor changed firm · fact
    • J•••• W••••• L••• left R••••••• C••••••••• G•••• for H•••••••• A•••••••• L•• (registered 2024-01-24)
      Jan 26, 2024 · Advisor changed firm · fact
    • C••••••••• B•••• D••••• left R••••••• C••••••••• G•••• for H•••••••• A•••••••• L•• (registered 2026-02-11)
      Jan 26, 2024 · Advisor changed firm · fact
    • N•••••• E•• C•••••• left R••••••• C••••••••• G•••• for H•••••••• A•••••••• L•• (registered 2024-01-24)
      Jan 26, 2024 · Advisor changed firm · fact
    • J••••• M•••••• A•••••• left R••••••• C••••••••• G•••• for H•••••••• A•••••••• L•• (registered 2024-01-24)
      Jan 26, 2024 · Advisor changed firm · fact
    • K••••••• A•• S••••••• left R••••••• C••••••••• G•••• for H•••••••• A•••••••• L•• (registered 2024-01-24)
      Jan 26, 2024 · Advisor changed firm · fact
    • N••• T•••• T••• left R••••••• C••••••••• G•••• for H•••••••• A•••••••• L•• (registered 2024-01-24)
      Jan 26, 2024 · Advisor changed firm · fact
    • J••••••• R•• A•••• left R••••••• C••••••••• G•••• for H•••••••• A•••••••• L•• (registered 2024-01-24)
      Jan 26, 2024 · Advisor changed firm · fact
    • S•••••• E••••• M•••••• left R••••••• C••••••••• G•••• for H•••••••• A•••••••• L•• (registered 2025-01-09)
      Jan 26, 2024 · Advisor changed firm · fact
    • G•••• A•••••••• B••• left R••••••• C••••••••• G•••• for H•••••••• A•••••••• L•• (registered 2024-01-24)
      Jan 26, 2024 · Advisor changed firm · fact
    • N••••• A••• R••••••• R•••••• left R••••••• C••••••••• G•••• for H•••••••• A•••••••• L•• (registered 2024-01-24)
      Jan 26, 2024 · Advisor changed firm · fact
    • M•••••• H••••• D•••• left R••••••• C••••••••• G•••• for H•••••••• A•••••••• L•• (registered 2024-01-25)
      Jan 26, 2024 · Advisor changed firm · fact
    • E••••• P••••••• left R••••••• C••••••••• G•••• for H•••••••• A•••••••• L•• (registered 2024-01-24)
      Jan 26, 2024 · Advisor changed firm · fact
    • A•• L••• L••••• D•••• left R••••••• C••••••••• G•••• for H•••••••• A•••••••• L•• (registered 2024-01-24)
      Jan 26, 2024 · Advisor changed firm · fact
    • M•••••• T••••••• M•••• left R••••••• C••••••••• G•••• for H•••••••• A•••••••• L•• (registered 2024-01-24)
      Jan 26, 2024 · Advisor changed firm · fact
    • R••••••• C••••••••• G••••'s advisors moved to H•••••••• A•••••••• L•• (Orlando, FL): 16 of 16 registered, on the same day
      Jan 26, 2024 · Firm absorbed (people side) · derived
    • Matthew Frank Garcia (Co-Chief Investment Officer) no longer on Schedule A of R••••••• C••••••••• G•••• (listed 2021-12-14, absent 2022-03-17)
      Mar 17, 2022 · Control person left · inference
    • F•••• M•••••• G••••• left R••••••• C••••••••• G•••• for F•••••• F••••••• (registered 2022-06-21)
      Jan 31, 2022 · Advisor changed firm · fact
    • Matthew Frank Garcia (Co-Chief Investment Officer) appeared on Schedule A of R••••••• C••••••••• G••••
      Mar 3, 2021 · Control person joined · fact
    • Price Johnnie James (President) no longer on Schedule A of R••••••• C••••••••• G•••• (listed 2019-01-31, absent 2019-05-24)
      May 24, 2019 · Control person left · inference
    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