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•••••••• A••••••• S•••••••
Legal name L•••••• G••• A••••
Latest filing Mar 30, 2026
First filing on the tape Apr 25, 2024 · 6 filings
SEC status approved since Jun 7, 2024
RAUM
$147M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
74%
$109M 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
6 filings and snapshots on the tape
RAUM$147M as of Mar 30, 2026
Mar 31, 2025$135M then
HNW client RAUM$106M as of Mar 30, 2026
Mar 31, 2025$102M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 31, 20251 then
Employees (5.A)1 as of Mar 30, 2026
Mar 31, 20251 then
Private funds: no history
RAUM +8.6% over the last fiscal yearIARs 1 to 0
Practice profile
derived from the filing of Mar 30, 2026; 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
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $759,612derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.3%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
- +8.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.7%derived
- Compensation
- percentage of assets, hourly, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 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
- High-net-worth individuals$106M72%
- Corporations and businesses$29.8M20%
- Pension and profit-sharing plans$7.7M5.3%
- Individuals$3.4M2.3%
- Individual clients
- 34reported
- HNW clients
- 39reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 193reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourly, performancereported
- Class basis
- private_client_share=0.74 fund_share=0.0 institutional_share=0.05 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
- L•••••• G•••• A•••• · Ceo, Cco, 100% Ownercontrolsince 06/1991 · 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.
What changed
consecutive filings, newest first
- Accounts · 199 to 193Mar 31, 2025 to Mar 30, 2026
- Corporate clients · unset to 6.0Mar 31, 2025 to Mar 30, 2026
- HNW clients · 36 to 39Mar 31, 2025 to Mar 30, 2026
- Individual clients · 39 to 34Mar 31, 2025 to Mar 30, 2026
- State-registered IARs · 1 to 0Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $135M to $147MMar 31, 2025 to Mar 30, 2026
- HNW RAUM · $102M to $106MMar 31, 2025 to Mar 30, 2026
- Individual RAUM · $9.0M to $3.4MMar 31, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $0 to $69,906Mar 31, 2025 to Mar 30, 2026
- Pension RAUM · $8.0M to $7.7MMar 31, 2025 to Mar 30, 2026
- RAUM · $135M to $147MMar 31, 2025 to Mar 30, 2026
- Financial planning clients · 1-10 to 1-10Jun 5, 2024 to Mar 31, 2025
- Discretionary RAUM · $124M to $135MJun 5, 2024 to Mar 31, 2025
- HNW RAUM · $87.0M to $102MJun 5, 2024 to Mar 31, 2025
- Individual RAUM · $7.0M to $9.0MJun 5, 2024 to Mar 31, 2025
- Pension RAUM · $6.0M to $8.0MJun 5, 2024 to Mar 31, 2025
- RAUM · $124M to $135MJun 5, 2024 to Mar 31, 2025
Signals
1 dated events
- F•••••••• A••••••• S••••••• filed its initial SEC registration (Form ADV)Apr 25, 2024 · 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
- Principal office phone
- 801-532-1200reportedpublic record, Form ADV, Mar 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