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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Latest filing Jun 30, 2026
First filing on the tape Mar 1, 2012 · 25 filings
SEC status approved since Jun 1, 2001
RAUM
$114M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$114M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$114M as of Jun 30, 2026
Mar 1, 2012$104M then
HNW client RAUM$55.4M as of Jun 30, 2026
Feb 13, 2018$100M then
State-registered IARs (5.B.3)1 as of Jun 30, 2026
Mar 1, 20120 then
Employees (5.A)1 as of Jun 30, 2026
Feb 19, 20131 then
Private funds: no history
RAUM -10% over the last fiscal year-7.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $543,237derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +118%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$58.7M51%
- High-net-worth individuals$55.4M49%
- Individual clients
- 31reported
- HNW clients
- 17reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 210reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• R••••••• G••••• · Owner And Chief Compliance Officercontrolsince 07/1991 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Jun 30, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
- HNW share shiftChange between filings · filing Jan 23, 2026HNW share of RAUM moved from 65.0% to 49.0% between the annual amendments of 2025-01-17 and 2026-01-23peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 201 to 210Jan 17, 2025 to Jan 23, 2026
- HNW clients · 10 to 17Jan 17, 2025 to Jan 23, 2026
- Individual clients · 12 to 31Jan 17, 2025 to Jan 23, 2026
- HNW RAUM · $82.4M to $55.4MJan 17, 2025 to Jan 23, 2026
- Individual RAUM · $44.4M to $58.7MJan 17, 2025 to Jan 23, 2026
- Non-discretionary RAUM · $127M to $114MJan 17, 2025 to Jan 23, 2026
- RAUM · $127M to $114MJan 17, 2025 to Jan 23, 2026
- Accounts · 222 to 201Jan 10, 2024 to Jan 17, 2025
- HNW clients · 29 to 10Jan 10, 2024 to Jan 17, 2025
- Individual clients · 29 to 12Jan 10, 2024 to Jan 17, 2025
- Financial planning clients · 0 to 0Jan 10, 2024 to Jan 17, 2025
- HQ city · unset to Jan 10, 2024 to Jan 17, 2025
- HQ state · unset to Jan 10, 2024 to Jan 17, 2025
- HNW RAUM · $100M to $82.4MJan 10, 2024 to Jan 17, 2025
- Individual RAUM · $34.9M to $44.4MJan 10, 2024 to Jan 17, 2025
- Non-discretionary RAUM · $135M to $127MJan 10, 2024 to Jan 17, 2025
- RAUM · $135M to $127MJan 10, 2024 to Jan 17, 2025
- Accounts · 205 to 222Feb 28, 2023 to Jan 10, 2024
- HNW clients · 25 to 29Feb 28, 2023 to Jan 10, 2024
- Individual clients · 60 to 29Feb 28, 2023 to Jan 10, 2024
- HNW RAUM · $45.0M to $100MFeb 28, 2023 to Jan 10, 2024
- Individual RAUM · $101M to $34.9MFeb 28, 2023 to Jan 10, 2024
- Non-discretionary RAUM · $146M to $135MFeb 28, 2023 to Jan 10, 2024
- RAUM · $146M to $135MFeb 28, 2023 to Jan 10, 2024
- Accounts · 224 to 205Dec 1, 2022 to Feb 28, 2023
- HNW clients · 82 to 25Dec 1, 2022 to Feb 28, 2023
- Individual clients · 82 to 60Dec 1, 2022 to Feb 28, 2023
- Financial planning clients · 11-25 to 0Dec 1, 2022 to Feb 28, 2023
- HNW RAUM · $239M to $45.0MDec 1, 2022 to Feb 28, 2023
- Individual RAUM · $7.0M to $101MDec 1, 2022 to Feb 28, 2023
- Non-discretionary RAUM · $246M to $146MDec 1, 2022 to Feb 28, 2023
- RAUM · $246M to $146MDec 1, 2022 to Feb 28, 2023
- Accounts · 209 to 224Feb 5, 2021 to Jan 26, 2022
- HNW clients · 58 to 82Feb 5, 2021 to Jan 26, 2022
- Individual clients · 32 to 82Feb 5, 2021 to Jan 26, 2022
- Financial planning clients · 0 to 11-25Feb 5, 2021 to Jan 26, 2022
- HNW RAUM · $180M to $239MFeb 5, 2021 to Jan 26, 2022
- Individual RAUM · $29.0M to $7.0MFeb 5, 2021 to Jan 26, 2022
- Non-discretionary RAUM · $209M to $246MFeb 5, 2021 to Jan 26, 2022
- RAUM · $209M to $246MFeb 5, 2021 to Jan 26, 2022
Signals
1 dated events
- R•••••• G• S••••• reported RAUM $145.8M, down 41% from $246.0M (2022-12-01 to 2023-02-28)Feb 28, 2023 · RAUM change · derived
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
- Principal office phone
- 916-835-4758reportedpublic record, Form ADV, Jun 30, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026