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
P••••••• F•••••••• G•••• L••
Latest filing Jul 14, 2026
First filing on the tape Mar 17, 2022 · 8 filings
SEC status approved since Apr 18, 2022
RAUM
$204M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$204M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$102M
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
8 filings and snapshots on the tape
RAUM$204M as of Jul 14, 2026
Jan 26, 2023$141M then
HNW client RAUM$202M as of Jul 14, 2026
Jan 26, 2023$136M then
State-registered IARs (5.B.3)2 as of Jul 14, 2026
Jan 26, 20231 then
Employees (5.A)2 as of Jul 14, 2026
Jan 26, 20231 then
Private funds: no history
RAUM +16% over the last fiscal year+13% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Jul 14, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $102MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.2MderivedHNW RAUM over HNW clients
- Average account
- $626,994derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- +16%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 feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $139M, 37 clientsreportedItem 9.A
- 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$202M99%
- Individuals$2.9M1.4%
- Individual clients
- 9reported
- HNW clients
- 39reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 326reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $139M for 37 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••••• E•••• C•••••Certified Financial Planner | Arlington, Va | Feb 17, 2005 | 21 y | 0 |
| M•••••• D•••• B•••Certified Financial Planner | Buffalo Grove, Il | Jul 14, 2026 | 11 y | 2 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- G•••• S•••••••• J•••••••• B••• to F•••••••• F•••••••• A•••••••Mar 31, 2026 · RIA to RIA
Joined, latest
- M•••••• D•••• B••• from S••••• W••••• M•••••••••Jul 14, 2026 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• G••••••• E•••• · President, Ccocontrolsince 12/2004 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Arlington, Va | 2 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 1 to 2Mar 31, 2026 to Jul 14, 2026
- Employees · 1 to 2Mar 31, 2026 to Jul 14, 2026
- State-registered IARs · 1 to 2Mar 31, 2026 to Jul 14, 2026
- Accounts · 318 to 326Jan 12, 2026 to Mar 31, 2026
- HNW clients · 36 to 39Jan 12, 2026 to Mar 31, 2026
- Individual clients · 4 to 9Jan 12, 2026 to Mar 31, 2026
- Assets in custody · $114M to $139MJan 12, 2026 to Mar 31, 2026
- Discretionary RAUM · $176M to $204MJan 12, 2026 to Mar 31, 2026
- HNW RAUM · $174M to $202MJan 12, 2026 to Mar 31, 2026
- Individual RAUM · $2.0M to $2.9MJan 12, 2026 to Mar 31, 2026
- RAUM · $176M to $204MJan 12, 2026 to Mar 31, 2026
- Accounts · 327 to 318Mar 15, 2024 to Feb 12, 2025
- HNW clients · 35 to 36Mar 15, 2024 to Feb 12, 2025
- Individual clients · 8 to 4Mar 15, 2024 to Feb 12, 2025
- Assets in custody · $108M to $114MMar 15, 2024 to Feb 12, 2025
- Financial planning clients · 1-10 to 1-10Mar 15, 2024 to Feb 12, 2025
- HQ city · unset to Mar 15, 2024 to Feb 12, 2025
- HQ state · unset to Mar 15, 2024 to Feb 12, 2025
- Discretionary RAUM · $159M to $176MMar 15, 2024 to Feb 12, 2025
- HNW RAUM · $155M to $174MMar 15, 2024 to Feb 12, 2025
- Individual RAUM · $4.4M to $2.0MMar 15, 2024 to Feb 12, 2025
- RAUM · $159M to $176MMar 15, 2024 to Feb 12, 2025
- Accounts · 317 to 327Jan 26, 2023 to Mar 15, 2024
- Advisory activities · 5 to 3Jan 26, 2023 to Mar 15, 2024
- Individual clients · 9 to 8Jan 26, 2023 to Mar 15, 2024
- Pension plan clients · 1.0 to unsetJan 26, 2023 to Mar 15, 2024
- Assets in custody · $98.6M to $108MJan 26, 2023 to Mar 15, 2024
- Financial planning clients · 0 to 1-10Jan 26, 2023 to Mar 15, 2024
- Discretionary RAUM · $140M to $159MJan 26, 2023 to Mar 15, 2024
- HNW RAUM · $136M to $155MJan 26, 2023 to Mar 15, 2024
- Individual RAUM · $4.2M to $4.4MJan 26, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $1.4M to $0Jan 26, 2023 to Mar 15, 2024
- Pension RAUM · 300000.0 to unsetJan 26, 2023 to Mar 15, 2024
- RAUM · $141M to $159MJan 26, 2023 to Mar 15, 2024
- Accounts · 275 to 317Dec 1, 2022 to Jan 26, 2023
- Business name · _ to P••••••• F•••••••• G•••• L••Dec 1, 2022 to Jan 26, 2023
- HNW clients · 32 to 35Dec 1, 2022 to Jan 26, 2023
- Assets in custody · $71.3M to $98.6MDec 1, 2022 to Jan 26, 2023
- Financial planning clients · 1-10 to 0Dec 1, 2022 to Jan 26, 2023
- Discretionary RAUM · $117M to $140MDec 1, 2022 to Jan 26, 2023
Signals
2 dated events
- G•••• S•••••••• J•••••••• B••• left P••••••• F•••••••• G•••• L•• for F•••••••• F•••••••• A••••••• (registered 2026-05-01)Mar 31, 2026 · Advisor changed firm · fact
- _ filed its initial SEC registration (Form ADV)Mar 17, 2022 · 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
- Business email
- info@prospect-group.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 703-852-3979reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 703-852-9673reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (703) 852-9673reportedpublic record, Form ADV, Jul 14, 2026
- Contact form
- prospect-group.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- prospect-group.com/about-us/who-we-arereportedpublished by the firm, firm site, Sep 16, 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
- $102Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026