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

R•••••• F•••••••• G••••• I•••

Former SEC-registered adviserSeattle, WashingtonCRD 122314SEC 801-112093IAPD
Legal name R•••••• F•••••••• G••••
Latest filing Jan 26, 2021
First filing on the tape Oct 30, 2017 · 18 filings
RAUM
$382M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
99%
$377M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$382M as of Jan 26, 2021
Feb 1, 2018$142M then
HNW client RAUM$377M as of Jan 26, 2021
Feb 1, 2018$140M then
State-registered IARs (5.B.3)3 as of Jan 26, 2021
Feb 1, 20183 then
Employees (5.A)4 as of Jan 26, 2021
Feb 1, 20185 then
Private funds: no history
RAUM +23% over the last fiscal year+39% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jan 26, 2021; every figure names its basis
RAUM per advisor
$127MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.3MderivedHNW RAUM over HNW clients
Average account
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+23%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 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
  • High-net-worth individuals$377M99%
  • Charitable organizations$3.1M0.8%
  • Corporations and businesses$2.1M0.6%
Individual clients
n/areported
HNW clients
280reported
Pension plan clients
n/areported
Charitable clients
3reported
Accounts
285reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
    • H••••••••• G••••• E•••• · Chief Compliance Officercontrol
      since 07/2009 · owns 50% to 75%
    • H••••••••• C•••• A•••• · Owner
      since 06/2002 · 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
    • Accounts · 529 to 285
      Oct 20, 2020 to Jan 26, 2021
    • HNW clients · 324 to 280
      Oct 20, 2020 to Jan 26, 2021
    • Discretionary RAUM · $296M to $364M
      Oct 20, 2020 to Jan 26, 2021
    • HNW RAUM · $310M to $377M
      Oct 20, 2020 to Jan 26, 2021
    • Non-discretionary RAUM · $14.9M to $18.0M
      Oct 20, 2020 to Jan 26, 2021
    • RAUM · $311M to $382M
      Oct 20, 2020 to Jan 26, 2021
    • Accounts · 186 to 529
      Feb 25, 2019 to Jan 31, 2020
    • Charity clients · 2 to 3
      Feb 25, 2019 to Jan 31, 2020
    • HNW clients · 182 to 324
      Feb 25, 2019 to Jan 31, 2020
    • Other offices · 1 to 0
      Feb 25, 2019 to Jan 31, 2020
    • Discretionary RAUM · $251M to $296M
      Feb 25, 2019 to Jan 31, 2020
    • HNW RAUM · $260M to $310M
      Feb 25, 2019 to Jan 31, 2020
    • Non-discretionary RAUM · $16.6M to $14.9M
      Feb 25, 2019 to Jan 31, 2020
    • RAUM · $267M to $311M
      Feb 25, 2019 to Jan 31, 2020
    • Accounts · 185 to 186
      Nov 2, 2018 to Feb 25, 2019
    • Advisory employees · 4 to 3
      Nov 2, 2018 to Feb 25, 2019
    • BD registered reps · 4 to 3
      Nov 2, 2018 to Feb 25, 2019
    • Corporate clients · 1 to 2
      Nov 2, 2018 to Feb 25, 2019
    • HNW clients · 181 to 182
      Nov 2, 2018 to Feb 25, 2019
    • Employees · 6 to 4
      Nov 2, 2018 to Feb 25, 2019
    • State-registered IARs · 4 to 3
      Nov 2, 2018 to Feb 25, 2019
    • Discretionary RAUM · $249M to $251M
      Nov 2, 2018 to Feb 25, 2019
    • HNW RAUM · $260M to $260M
      Nov 2, 2018 to Feb 25, 2019
    • Non-discretionary RAUM · $17.0M to $16.6M
      Nov 2, 2018 to Feb 25, 2019
    • RAUM · $266M to $267M
      Nov 2, 2018 to Feb 25, 2019
    • Accounts · 183 to 185
      Oct 10, 2018 to Nov 2, 2018
    • Advisory employees · 3 to 4
      Oct 10, 2018 to Nov 2, 2018
    • BD registered reps · 3 to 4
      Oct 10, 2018 to Nov 2, 2018
    • HNW clients · 179 to 181
      Oct 10, 2018 to Nov 2, 2018
    • Employees · 5 to 6
      Oct 10, 2018 to Nov 2, 2018
    • State-registered IARs · 3 to 4
      Oct 10, 2018 to Nov 2, 2018
    • Discretionary RAUM · $256M to $249M
      Oct 10, 2018 to Nov 2, 2018
    • HNW RAUM · $267M to $260M
      Oct 10, 2018 to Nov 2, 2018
    • Non-discretionary RAUM · $17.9M to $17.0M
      Oct 10, 2018 to Nov 2, 2018
    • RAUM · $274M to $266M
      Oct 10, 2018 to Nov 2, 2018
    • Discretionary RAUM · $244M to $256M
      Mar 23, 2018 to Oct 10, 2018
    • HNW RAUM · $255M to $267M
      Mar 23, 2018 to Oct 10, 2018
    • Non-discretionary RAUM · $17.9M to $17.9M
      Mar 23, 2018 to Oct 10, 2018
    • RAUM · $262M to $274M
      Mar 23, 2018 to Oct 10, 2018
    • Charity clients · 1 to 2
      Mar 23, 2018 to Mar 23, 2018
    Signals
    2 dated events
    • R•••••• F•••••••• G••••• I••• reported RAUM $262.3M, up 85% from $141.7M (2018-03-23 to 2018-03-23)
      Mar 23, 2018 · RAUM change · derived
    • R•••••• F•••••••• G••••• I••• filed its initial SEC registration (Form ADV)
      Oct 30, 2017 · 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