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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SEC-registered adviser
F•••••••• G••••••• G••••• I•••
Latest filing Mar 25, 2026
First filing on the tape Feb 14, 2012 · 29 filings
SEC status approved since Feb 6, 2015
RAUM
$288M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$286M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$96.1M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$288M as of Mar 25, 2026
Feb 14, 2012$72.4M then
HNW client RAUM$212M as of Mar 25, 2026
Mar 20, 2018$65.3M then
State-registered IARs (5.B.3)3 as of Mar 25, 2026
Mar 17, 20163 then
Employees (5.A)5 as of Mar 25, 2026
Mar 17, 20163 then
Private funds: no history
RAUM +35% over the last fiscal year+21% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $96.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 97derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $337,365derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +35%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $255M, 254 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$212M74%
- Individuals$73.2M25%
- Pension and profit-sharing plans$2.9M1.0%
- Individual clients
- 221reported
- HNW clients
- 70reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 855reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $255M for 254 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••• F•••••••• V•• D•• B••••••Certified Financial Planner | Palm Harbor, Fl | Jul 13, 2022 | 32 y | 0 |
| C•••••••• S•••••• V•• D•• B••••••Certified Financial Planner | Franklin, Tn | Jul 13, 2022 | 21 y | 0 |
| C••• F•••••••• V•• D•• B•••••• •••Certified Financial Planner | Franklin, Tn | Oct 23, 2025 | 40 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- L••••••• M•••••• L••• to C••••••• I••••••••• A•••••••• L••Mar 17, 2016 · Other
- B•••• C•••••• B••• to C••••••• I••••••••• A•••••••• L••Mar 17, 2016 · Other
- K••• W•••••• K••••• to P••••• F•••• F••••••••• L••Dec 31, 2005 · Other
Joined, latest
- B•••• C•••••• B••• from U••• B•••••• A•••••••• L••May 27, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- V•• D•• B••••••• C•••• F•••••••• · Presidentcontrolsince 06/2016 · owns 50% to 75%
- V•• D•• B••••••• C••••••••• S•••••• · Chief Executive Officer/Chief Compliance Officercontrolsince 10/2013 · owns 50% to 75%
- V•• D•• B•••••• •••• C•••• F•••••••• · Founder And Chairmansince 11/1996 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Franklin, Tn | 3 | 1 | 0 | ||
| Palm Harbor, Fl | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Franklin, TN1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 25, 2026RAUM (Item 5.F) moved from $214,263,751 to $288,447,277 (+35.0%) between the annual amendments of 2025-03-27 and 2026-03-25; the peer median change was +15.0% (4550 comparable advisers, 90.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 90% percentile
What changed
consecutive filings, newest first
- Accounts · 785 to 855Mar 27, 2025 to Mar 25, 2026
- HNW clients · 57 to 70Mar 27, 2025 to Mar 25, 2026
- Individual clients · 216 to 221Mar 27, 2025 to Mar 25, 2026
- Assets in custody · $170M to $255MMar 27, 2025 to Mar 25, 2026
- Discretionary RAUM · $214M to $288MMar 27, 2025 to Mar 25, 2026
- HNW RAUM · $144M to $212MMar 27, 2025 to Mar 25, 2026
- Individual RAUM · $68.2M to $73.2MMar 27, 2025 to Mar 25, 2026
- Pension RAUM · $2.5M to $2.9MMar 27, 2025 to Mar 25, 2026
- RAUM · $214M to $288MMar 27, 2025 to Mar 25, 2026
- Accounts · 631 to 785Mar 29, 2024 to Mar 27, 2025
- HNW clients · 54 to 57Mar 29, 2024 to Mar 27, 2025
- Individual clients · 202 to 216Mar 29, 2024 to Mar 27, 2025
- Assets in custody · $130M to $170MMar 29, 2024 to Mar 27, 2025
- Employees · 6 to 5Mar 29, 2024 to Mar 27, 2025
- Financial planning clients · 101-250 to 101-250Mar 29, 2024 to Mar 27, 2025
- HQ city · unset to Mar 29, 2024 to Mar 27, 2025
- HQ state · unset to Mar 29, 2024 to Mar 27, 2025
- Discretionary RAUM · $186M to $214MMar 29, 2024 to Mar 27, 2025
- HNW RAUM · $126M to $144MMar 29, 2024 to Mar 27, 2025
- Individual RAUM · $57.9M to $68.2MMar 29, 2024 to Mar 27, 2025
- Pension RAUM · $2.0M to $2.5MMar 29, 2024 to Mar 27, 2025
- RAUM · $186M to $214MMar 29, 2024 to Mar 27, 2025
- Accounts · 607 to 631Mar 30, 2023 to Mar 29, 2024
- HNW clients · 49 to 54Mar 30, 2023 to Mar 29, 2024
- Individual clients · 195 to 202Mar 30, 2023 to Mar 29, 2024
- Pension plan clients · unset to 5.0Mar 30, 2023 to Mar 29, 2024
- Assets in custody · $44.7M to $130MMar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $164M to $186MMar 30, 2023 to Mar 29, 2024
- HNW RAUM · $110M to $126MMar 30, 2023 to Mar 29, 2024
- Individual RAUM · $52.8M to $57.9MMar 30, 2023 to Mar 29, 2024
- Pension RAUM · $1.7M to $2.0MMar 30, 2023 to Mar 29, 2024
- RAUM · $164M to $186MMar 30, 2023 to Mar 29, 2024
- Accounts · 544 to 607Jul 13, 2022 to Mar 30, 2023
- HNW clients · 53 to 49Jul 13, 2022 to Mar 30, 2023
- Individual clients · 180 to 195Jul 13, 2022 to Mar 30, 2023
- Assets in custody · $28.7M to $44.7MJul 13, 2022 to Mar 30, 2023
- Financial planning clients · 26-50 to 101-250Jul 13, 2022 to Mar 30, 2023
- Discretionary RAUM · $177M to $164MJul 13, 2022 to Mar 30, 2023
- HNW RAUM · $125M to $110MJul 13, 2022 to Mar 30, 2023
- Individual RAUM · $50.7M to $52.8MJul 13, 2022 to Mar 30, 2023
Signals
1 dated events
- F•••••••• G••••••• G••••• I••• filed its initial SEC registration (Form ADV)Feb 3, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 615-721-8827reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 727-787-7526reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/FINANCIAL-G•••••••-GROUP-INreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••://WWW.FGGINC.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 727-787-7526reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- fgginc.com/contactreportedpublished by the firm, firm site, Sep 17, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $96.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026