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

J•• F•••••••• G••••• I•••

Former SEC-registered adviserDallas, TexasCRD 114646SEC 801-61361IAPD
Latest filing Mar 11, 2013
First filing on the tape Nov 10, 2011 · 9 filings
RAUM
$380M
reported, Item 5.F
Discretionary
98%
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
8
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$380M as of Mar 11, 2013
Mar 29, 2012$402M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 11, 2013
Mar 29, 20120 then
Employees (5.A): 8
Private funds: no history
RAUM -5.6% over the last fiscal yearIARs 0 to 5
Practice profile
derived from the filing of Mar 11, 2013; every figure names its basis
RAUM per advisor
$75.9MderivedRAUM 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
$477,533derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-5.6%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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)
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
795reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, commissionsreported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • W••••••• J••••• N••• · Founder And Ceocontrol
    since 10/1998 · owns 75% or more
  • R•••••• M••••• C••••••••• · President And Chief Compliance Officer
    since 09/2011 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 836 to 795
    Oct 4, 2012 to Mar 11, 2013
  • Advisory employees · unset to 5.0
    Oct 4, 2012 to Mar 11, 2013
  • Employees · unset to 8.0
    Oct 4, 2012 to Mar 11, 2013
  • Financial planning clients · 251-500 to 101-250
    Oct 4, 2012 to Mar 11, 2013
  • State-registered IARs · 0 to 5
    Oct 4, 2012 to Mar 11, 2013
  • Discretionary RAUM · $382M to $373M
    Oct 4, 2012 to Mar 11, 2013
  • Non-discretionary RAUM · $0 to $7.0M
    Oct 4, 2012 to Mar 11, 2013
  • RAUM · $382M to $380M
    Oct 4, 2012 to Mar 11, 2013
  • Accounts · 863 to 836
    Aug 22, 2012 to Oct 3, 2012
  • Discretionary RAUM · $402M to $382M
    Aug 22, 2012 to Oct 3, 2012
  • RAUM · $402M to $382M
    Aug 22, 2012 to Oct 3, 2012
  • Accounts · 1,023 to 264
    Nov 10, 2011 to Mar 29, 2012
  • Commission compensation · false to true
    Nov 10, 2011 to Mar 29, 2012
  • Insurance-licensed employees · unset to 0.0
    Nov 10, 2011 to Mar 29, 2012
  • Financial planning clients · 101-250 to 251-500
    Nov 10, 2011 to Mar 29, 2012
  • Discretionary RAUM · $374M to $402M
    Nov 10, 2011 to Mar 29, 2012
  • RAUM · $374M to $402M
    Nov 10, 2011 to Mar 29, 2012
  • Accounts · 264 to 863
    Mar 29, 2012 to Mar 29, 2012
Signals
No event on the tape.
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