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.

Former SEC-registered adviser

Guidant Wealth Advisors

Former SEC-registered adviserPalatine, IllinoisCRD 123383SEC 801-77713IAPD
Legal name Fp Financial Services, Inc.
Latest filing Jan 6, 2020
First filing on the tape Feb 28, 2013 · 21 filings
RAUM
$251M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$251M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$251M as of Jan 30, 2019
Mar 6, 2014$185M then
HNW client RAUM$47.7M as of Jan 30, 2019
Feb 23, 2018$181M then
State-registered IARs (5.B.3)3 as of Jan 30, 2019
Mar 6, 20142 then
Employees (5.A)11 as of Jan 30, 2019
Mar 6, 20149 then
Private funds: no history
RAUM -3.4% over the last fiscal year+7.8% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jan 6, 2020; every figure names its basis
RAUM per advisor
$83.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
97derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$574,694derivedHNW RAUM over HNW clients
Average account
$305,414derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-3.4%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-20%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 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
  • Individuals$203M81%
  • High-net-worth individuals$47.7M19%
Individual clients
208reported
HNW clients
83reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
822reported
Financial planning clients
11-25reported
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
Joined, latest
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
    • Thomas Frank Patzke · President, Chief Compliance Officercontrol
      since 11/1995 · 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
    • Wrap assets (manager) · 0.0 to unset
      Jul 11, 2019 to Aug 8, 2019
    • Wrap assets (sponsor) · 0.0 to unset
      Jul 11, 2019 to Aug 8, 2019
    • Advisory employees · 5 to 3
      Jun 12, 2019 to Jul 11, 2019
    • Employees · 11 to 10
      Jun 12, 2019 to Jul 11, 2019
    • State-registered IARs · 5 to 3
      Jun 12, 2019 to Jul 11, 2019
    • Advisory employees · 3 to 5
      Jan 30, 2019 to Jun 12, 2019
    • State-registered IARs · 3 to 5
      Jan 30, 2019 to Jun 12, 2019
    • Accounts · 798 to 822
      Jun 26, 2018 to Jan 30, 2019
    • BD registered reps · 6 to 1
      Jun 26, 2018 to Jan 30, 2019
    • Individual clients · 280 to 208
      Jun 26, 2018 to Jan 30, 2019
    • Employees · 10 to 11
      Jun 26, 2018 to Jan 30, 2019
    • Discretionary RAUM · $260M to $251M
      Jun 26, 2018 to Jan 30, 2019
    • HNW RAUM · $181M to $47.7M
      Jun 26, 2018 to Jan 30, 2019
    • Individual RAUM · $78.4M to $203M
      Jun 26, 2018 to Jan 30, 2019
    • RAUM · $260M to $251M
      Jun 26, 2018 to Jan 30, 2019
    • Accounts · 748 to 798
      Jan 18, 2017 to Feb 23, 2018
    • HNW clients · unset to 83.0
      Jan 18, 2017 to Feb 23, 2018
    • Individual clients · unset to 280.0
      Jan 18, 2017 to Feb 23, 2018
    • Other offices · unset to 0.0
      Jan 18, 2017 to Feb 23, 2018
    • Discretionary RAUM · $228M to $260M
      Jan 18, 2017 to Feb 23, 2018
    • HNW RAUM · unset to 181448297.0
      Jan 18, 2017 to Feb 23, 2018
    • Individual RAUM · unset to 78377145.0
      Jan 18, 2017 to Feb 23, 2018
    • RAUM · $228M to $260M
      Jan 18, 2017 to Feb 23, 2018
    • Wrap assets (manager) · unset to 0.0
      Jan 18, 2017 to Feb 23, 2018
    • Wrap assets (sponsor) · unset to 0.0
      Jan 18, 2017 to Feb 23, 2018
    • Accounts · 589 to 748
      Jan 3, 2017 to Jan 18, 2017
    • Employees · 9 to 10
      Jan 3, 2017 to Jan 18, 2017
    • Discretionary RAUM · $191M to $228M
      Jan 3, 2017 to Jan 18, 2017
    • Non-discretionary RAUM · $9.6M to $0
      Jan 3, 2017 to Jan 18, 2017
    • RAUM · $201M to $228M
      Jan 3, 2017 to Jan 18, 2017
    • Accounts · 522 to 589
      Jan 6, 2016 to Feb 9, 2016
    • Advisory employees · 2 to 3
      Jan 6, 2016 to Feb 9, 2016
    • BD registered reps · 5 to 6
      Jan 6, 2016 to Feb 9, 2016
    • State-registered IARs · 2 to 3
      Jan 6, 2016 to Feb 9, 2016
    • Discretionary RAUM · $187M to $191M
      Jan 6, 2016 to Feb 9, 2016
    • Non-discretionary RAUM · $10.9M to $9.6M
      Jan 6, 2016 to Feb 9, 2016
    • RAUM · $198M to $201M
      Jan 6, 2016 to Feb 9, 2016
    • Accounts · 571 to 522
      Mar 6, 2014 to Jan 21, 2015
    • Financial planning clients · 1-10 to 11-25
      Mar 6, 2014 to Jan 21, 2015
    • Discretionary RAUM · $174M to $187M
      Mar 6, 2014 to Jan 21, 2015
    Signals
    1 dated events
    • Guidant Wealth Advisors filed its initial SEC registration (Form ADV)
      Feb 28, 2013 · 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