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
Financial Solutions, Inc.
Latest filing Jul 30, 2024
First filing on the tape Mar 30, 2012 · 18 filings
RAUM
$74.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
62%
$46.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 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$74.5M as of Mar 25, 2024
Mar 30, 2012$354M then
HNW client RAUM$46.6M as of Mar 25, 2024
Mar 27, 2018$34.7M then
State-registered IARs (5.B.3)2 as of Mar 25, 2024
Mar 30, 20120 then
Employees (5.A)2 as of Mar 25, 2024
Apr 2, 20131 then
Private funds: no history
RAUM -53% over the last fiscal year-21% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 30, 2024; every figure names its basis
- RAUM per advisor
- $37.3MderivedRAUM 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
- $24.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -53%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, performance-basedreportedItem 5.E
- Advisory activities
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$46.6M62%
- Pooled investment vehicles$16.0M21%
- State and municipal entities$12.0M16%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- 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
- Gary Wayne Gould to Corporate Consulting Group, Inc.Dec 31, 2024 · Other
- John Joseph Hastings to Jackson Hole Capital Partners, LLCDec 23, 2016 · Other
Joined, latest
- John Joseph Hastings from Capital Advisors, Inc.Jul 17, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Wayne Gary Gould · President, Managing Principal, Chief Investment Officer, Ccocontrolsince 08/1995 · owns 75% or more
Related persons
Schedule D 7.A
- Corporate Consulting Group, Inc.investment adviserLP sponsornRAUM $241M
Advisers that list Financial Solutions, Inc. as a related person
- 123761 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Tulsa, Ok · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5 to 3Mar 20, 2023 to Mar 25, 2024
- Advisory activities · 3 to 2Mar 20, 2023 to Mar 25, 2024
- Pooled vehicle clients · unset to 1.0Mar 20, 2023 to Mar 25, 2024
- Discretionary RAUM · $160M to $74.5MMar 20, 2023 to Mar 25, 2024
- HNW RAUM · $34.5M to $46.6MMar 20, 2023 to Mar 25, 2024
- Pension RAUM · 88635307.0 to unsetMar 20, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · unset to 15959684.0Mar 20, 2023 to Mar 25, 2024
- RAUM · $160M to $74.5MMar 20, 2023 to Mar 25, 2024
- Accounts · 8 to 5Mar 11, 2022 to Mar 20, 2023
- Discretionary RAUM · $182M to $160MMar 11, 2022 to Mar 20, 2023
- HNW RAUM · $39.7M to $34.5MMar 11, 2022 to Mar 20, 2023
- Pension RAUM · $112M to $88.6MMar 11, 2022 to Mar 20, 2023
- RAUM · $182M to $160MMar 11, 2022 to Mar 20, 2023
- Discretionary RAUM · $150M to $182MMar 11, 2021 to Mar 11, 2022
- HNW RAUM · $11.6M to $39.7MMar 11, 2021 to Mar 11, 2022
- Pension RAUM · $84.7M to $112MMar 11, 2021 to Mar 11, 2022
- RAUM · $150M to $182MMar 11, 2021 to Mar 11, 2022
- Discretionary RAUM · $120M to $150MMay 20, 2020 to Mar 11, 2021
- HNW RAUM · $44.6M to $11.6MMay 20, 2020 to Mar 11, 2021
- Pension RAUM · unset to 84726589.0May 20, 2020 to Mar 11, 2021
- RAUM · $120M to $150MMay 20, 2020 to Mar 11, 2021
- Charity clients · 4.0 to unsetMar 20, 2019 to Mar 27, 2020
- HNW clients · 2.0 to unsetMar 20, 2019 to Mar 27, 2020
- Discretionary RAUM · $114M to $120MMar 20, 2019 to Mar 27, 2020
- HNW RAUM · $42.7M to $44.6MMar 20, 2019 to Mar 27, 2020
- RAUM · $114M to $120MMar 20, 2019 to Mar 27, 2020
- Accounts · 9 to 8Mar 27, 2018 to Mar 20, 2019
- Advisory activities · 4 to 3Mar 27, 2018 to Mar 20, 2019
- Pooled vehicle clients · 1.0 to unsetMar 27, 2018 to Mar 20, 2019
- Employees · 3 to 2Mar 27, 2018 to Mar 20, 2019
- Insurance-licensed employees · 0 to 1Mar 27, 2018 to Mar 20, 2019
- Discretionary RAUM · $116M to $114MMar 27, 2018 to Mar 20, 2019
- HNW RAUM · $34.7M to $42.7MMar 27, 2018 to Mar 20, 2019
- Pooled vehicle RAUM · 11142042.0 to unsetMar 27, 2018 to Mar 20, 2019
- RAUM · $116M to $114MMar 27, 2018 to Mar 20, 2019
- Accounts · 16 to 9Mar 17, 2017 to Mar 27, 2018
- Advisory employees · 3 to 2Mar 17, 2017 to Mar 27, 2018
- Charity clients · unset to 4.0Mar 17, 2017 to Mar 27, 2018
- HNW clients · unset to 2.0Mar 17, 2017 to Mar 27, 2018
- Pooled vehicle clients · unset to 1.0Mar 17, 2017 to Mar 27, 2018
Signals
3 dated events
- Gary Wayne Gould left Financial Solutions, Inc. for Corporate Consulting Group, Inc. (registered 2004-06-10)Dec 31, 2024 · Advisor changed firm · fact
- Isaac Richard Kohlbacher (Chief Compliance Officer) no longer on Schedule A of Financial Solutions, Inc. (listed 2020-05-20, absent 2021-03-11)Mar 11, 2021 · Control person left · inference
- Financial Solutions, Inc. reported RAUM $116.0M, down 91% from $1.3B (2017-03-17 to 2018-03-27)Mar 27, 2018 · RAUM change · derived
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