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

F•••••••• R•••••••• G••••

Former SEC-registered adviserBellevue, WashingtonCRD 116897SEC 801-79110IAPD
Legal name F•••••••• R•••••••• G•••••••• L••
Latest filing Dec 16, 2015
First filing on the tape Jan 15, 2014 · 9 filings
RAUM
$388M
reported, Item 5.F
Discretionary
0.0%
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
4
3 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$388M as of Dec 16, 2015
Jan 15, 2014$260M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Dec 16, 2015
Jan 15, 20140 then
Employees (5.A)4 as of Dec 16, 2015
Jan 15, 20144 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Dec 16, 2015; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$920,100derivedRAUM 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
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.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
422reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
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
    • J••••••• B•••••••• D••• · Co-Owner And Ccocontrol
      since 10/2015 · owns 50% to 75%
    • W•• J••••• S••••••• · Co-Ownercontrol
      since 10/2015 · owns 50% to 75%
    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
    • Succession · true to false
      Dec 10, 2015 to Dec 16, 2015
    • Succession · false to true
      Oct 14, 2015 to Dec 10, 2015
    • Accounts · 333 to 422
      Nov 3, 2014 to Mar 26, 2015
    • Non-discretionary RAUM · $260M to $388M
      Nov 3, 2014 to Mar 26, 2015
    • RAUM · $260M to $388M
      Nov 3, 2014 to Mar 26, 2015
    • Advisory employees · 2 to 3
      Jan 15, 2014 to Nov 3, 2014
    • BD registered reps · 1 to 0
      Jan 15, 2014 to Nov 3, 2014
    Signals
    2 dated events
    • F•••••••• R•••••••• G•••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Dec 10, 2015 · Succession (Item 4) · fact
    • F•••••••• R•••••••• G•••• filed its initial SEC registration (Form ADV)
      Jan 15, 2014 · 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.
    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