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

Independent Advisers Group Corp

Former SEC-registered adviserBoston, MassachusettsCRD 106684SEC 801-50971IAPD
Latest filing Nov 22, 2016
First filing on the tape Dec 14, 2011 · 29 filings
RAUM
$149M
reported, Item 5.F
Discretionary
3.6%
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
80
80 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$149M as of Mar 30, 2016
Mar 30, 2012$220M then
HNW client RAUM: no history
State-registered IARs (5.B.3)33 as of Mar 30, 2016
Mar 30, 20120 then
Employees (5.A)80 as of Mar 30, 2016
Mar 28, 2013121 then
Private funds: no history
RAUM -9.1% over the last fiscal year-1.2% a year over threeIARs 41 to 33
Practice profile
derived from the filing of Nov 22, 2016; every figure names its basis
RAUM per advisor
$4.5MderivedRAUM 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
$225,014derivedRAUM over accounts (5.F.2.f)
Discretionary
3.6%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.4derivedItem 5.A over advisors
Advisors per office
11.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-9.1%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Firms absorbed, 24 months
1derivedhalf or more of a firm's advisors moved here within 14 days
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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.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
661reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
    • Hogan Dan Arnold · Presidentcontrol
      since 03/2015 · owns less than 5%
    • Elizabeth Suzanne Auletta · Executive Vice President, Chief Compliance Officercontrol
      since 11/2016 · owns less than 5%
    • Paul David Bergers · Managing Director, Legal And Government Relations; Directorcontrol
      since 08/2013 · owns less than 5%
    • Stephen Mark Casady · Chairman, Directorcontrol
      since 01/2006 · owns less than 5%
    Entity owners
    • LPL Holdings, Inc. · Parent Company
      direct · owns 75% or more
    • LPL Financial Holdings Inc. · Parent Company
      indirect · owns 75% or more of LPL Holdings, Inc. · public reporting company
    Related persons
    Schedule D 7.A
    • Fortigent Strategies Company, LLC
      pooled vehicle sponsorn
    • Fortigent, LLC
      investment advisernRAUM $3.5B
    • LPL Financial LLC
      broker-dealerinvestment adviserLP sponsorcustodiannRAUM $819B
    • LPL Insurance Associates, Inc.
      real estaten
    • The Private Trust Company, N.A.
      n
    Advisers that list Independent Advisers Group Corp as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Fort Mill, SC
    • San Diego, CA
    What changed
    consecutive filings, newest first
    • Accounts · 686 to 661
      Mar 3, 2016 to Mar 30, 2016
    • Advisory employees · 101 to 80
      Mar 3, 2016 to Mar 30, 2016
    • BD registered reps · 64 to 34
      Mar 3, 2016 to Mar 30, 2016
    • Employees · 102 to 80
      Mar 3, 2016 to Mar 30, 2016
    • Insurance-licensed employees · 5 to 9
      Mar 3, 2016 to Mar 30, 2016
    • State-registered IARs · 41 to 33
      Mar 3, 2016 to Mar 30, 2016
    • Discretionary RAUM · $7.1M to $5.3M
      Mar 3, 2016 to Mar 30, 2016
    • Non-discretionary RAUM · $157M to $143M
      Mar 3, 2016 to Mar 30, 2016
    • RAUM · $164M to $149M
      Mar 3, 2016 to Mar 30, 2016
    • Accounts · 737 to 686
      Mar 25, 2015 to Mar 31, 2015
    • Discretionary RAUM · $7.7M to $7.1M
      Mar 25, 2015 to Mar 31, 2015
    • Non-discretionary RAUM · $157M to $157M
      Mar 25, 2015 to Mar 31, 2015
    • RAUM · $165M to $164M
      Mar 25, 2015 to Mar 31, 2015
    • Accounts · 775 to 737
      Mar 18, 2014 to Mar 31, 2014
    • Advisory employees · 120 to 101
      Mar 18, 2014 to Mar 31, 2014
    • BD registered reps · 75 to 64
      Mar 18, 2014 to Mar 31, 2014
    • Employees · 121 to 102
      Mar 18, 2014 to Mar 31, 2014
    • Insurance-licensed employees · 3 to 5
      Mar 18, 2014 to Mar 31, 2014
    • State-registered IARs · 27 to 41
      Mar 18, 2014 to Mar 31, 2014
    • Discretionary RAUM · $8.7M to $7.7M
      Mar 18, 2014 to Mar 31, 2014
    • Non-discretionary RAUM · $146M to $157M
      Mar 18, 2014 to Mar 31, 2014
    • RAUM · $154M to $165M
      Mar 18, 2014 to Mar 31, 2014
    • Related bank · true to false
      Aug 14, 2013 to Oct 3, 2013
    • Accounts · 1,148 to 775
      Feb 1, 2013 to Mar 28, 2013
    • Advisory employees · 117 to 120
      Feb 1, 2013 to Mar 28, 2013
    • BD registered reps · 82 to 75
      Feb 1, 2013 to Mar 28, 2013
    • Employees · 117 to 121
      Feb 1, 2013 to Mar 28, 2013
    • State-registered IARs · 16 to 27
      Feb 1, 2013 to Mar 28, 2013
    • Discretionary RAUM · $8.8M to $8.7M
      Feb 1, 2013 to Mar 28, 2013
    • Non-discretionary RAUM · $211M to $146M
      Feb 1, 2013 to Mar 28, 2013
    • RAUM · $220M to $154M
      Feb 1, 2013 to Mar 28, 2013
    • Advisory employees · unset to 117.0
      Aug 24, 2012 to Dec 12, 2012
    • BD registered reps · unset to 82.0
      Aug 24, 2012 to Dec 12, 2012
    • Employees · unset to 117.0
      Aug 24, 2012 to Dec 12, 2012
    • State-registered IARs · 0 to 16
      Aug 24, 2012 to Dec 12, 2012
    • Related bank · false to true
      Apr 2, 2012 to May 25, 2012
    • Accounts · 1,248 to 1,148
      Dec 14, 2011 to Mar 30, 2012
    • Insurance-licensed employees · unset to 3.0
      Dec 14, 2011 to Mar 30, 2012
    • Discretionary RAUM · $10.3M to $8.8M
      Dec 14, 2011 to Mar 30, 2012
    • Non-discretionary RAUM · $239M to $211M
      Dec 14, 2011 to Mar 30, 2012
    Signals
    2 dated events
    • 2 advisors left Osaic FS, Inc. (Arlington Heights, IL) for Independent Advisers Group Corp on the same day
      Jan 24, 2025 · Team lift-out · derived
    • Summit Planning Group, LLC's advisors moved to Independent Advisers Group Corp (Branford, CT): 3 of 5 registered, on the same day
      Dec 31, 2024 · Firm absorbed (people side) · derived
    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