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•••• F•••••••• G••••
Legal name F•••• F•••••••• G•••• C•••••••••
Latest filing May 28, 2026
First filing on the tape Mar 6, 2018 · 16 filings
SEC status approved since Apr 5, 2018
RAUM
$317M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$317M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$79.2M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$317M as of May 28, 2026
Feb 27, 2019$121M then
HNW client RAUM$239M as of May 28, 2026
Feb 27, 2019$75.0M then
State-registered IARs (5.B.3)4 as of May 28, 2026
Feb 27, 20192 then
Employees (5.A)4 as of May 28, 2026
Feb 27, 20194 then
Private funds: no history
RAUM +16% over the last fiscal year+17% a year over threeIARs 4 to 4offices 0 to 1
Practice profile
derived from the filing of May 28, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- RAUM per advisor
- $79.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 95derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $308,930derivedRAUM 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
- 2.0derived2 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
- -11%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 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
- 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$239M75%
- Individuals$78.0M25%
- Individual clients
- 289reported
- HNW clients
- 89reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,026reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••• G••• U•••••••• | Raleigh, Nc | Jul 10, 2012 | 31 y | 3 |
| T•••• G•••• L••••Chartered Financial Consultant | North Palm Beach, Fl | Jul 10, 2012 | 36 y | 2 |
| D•••••• E• M••••••• | Raleigh, Nc | Jun 26, 2019 | 15 y | 0 |
| T•••• C• L•••• | Raleigh, Nc | Oct 27, 2022 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- E•••••••• A•••• W••• to A• W••• F•••••••• P••••••• L••Jan 31, 2018 · Other
Joined, latest
- E•••••••• A•••• W••• from C••••• A••••••• L••Feb 20, 2013 · Other
- K••• G••• U•••••••• from C••••• A••••••• L••Jul 10, 2012 · Other
- T•••• G•••• L•••• from C••••• A••••••• L••Jul 10, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• T••••• G•••• · President/ Chief Compliance Officercontrolsince 05/2012 · 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 |
|---|---|---|---|---|---|
| Raleigh, Nc · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Other offices · 0 to 1Feb 27, 2026 to May 28, 2026
- RAUM · $273M to $317MFeb 20, 2025 to Feb 27, 2026
- Accounts · 910 to 1,026Feb 20, 2025 to Feb 27, 2026
- HNW clients · 80 to 89Feb 20, 2025 to Feb 27, 2026
- Individual clients · 343 to 289Feb 20, 2025 to Feb 27, 2026
- Discretionary RAUM · $273M to $317MFeb 20, 2025 to Feb 27, 2026
- HNW RAUM · $201M to $239MFeb 20, 2025 to Feb 27, 2026
- Individual RAUM · $72.1M to $78.0MFeb 20, 2025 to Feb 27, 2026
- Accounts · 875 to 910Mar 20, 2024 to Feb 20, 2025
- HNW clients · 70 to 80Mar 20, 2024 to Feb 20, 2025
- Individual clients · 337 to 343Mar 20, 2024 to Feb 20, 2025
- Financial planning clients · 1-10 to 0Mar 20, 2024 to Feb 20, 2025
- Discretionary RAUM · $242M to $273MMar 20, 2024 to Feb 20, 2025
- HNW RAUM · $170M to $201MMar 20, 2024 to Feb 20, 2025
- Individual RAUM · $71.5M to $72.1MMar 20, 2024 to Feb 20, 2025
- RAUM · $242M to $273MMar 20, 2024 to Feb 20, 2025
- Accounts · 838 to 875Mar 23, 2023 to Mar 20, 2024
- HNW clients · 63 to 70Mar 23, 2023 to Mar 20, 2024
- Individual clients · 232 to 337Mar 23, 2023 to Mar 20, 2024
- Discretionary RAUM · $200M to $242MMar 23, 2023 to Mar 20, 2024
- HNW RAUM · $137M to $170MMar 23, 2023 to Mar 20, 2024
- Individual RAUM · $63.0M to $71.5MMar 23, 2023 to Mar 20, 2024
- RAUM · $200M to $242MMar 23, 2023 to Mar 20, 2024
- Accounts · 751 to 838Jan 26, 2023 to Mar 23, 2023
- Advisory employees · 3 to 4Jan 26, 2023 to Mar 23, 2023
- HNW clients · 95 to 63Jan 26, 2023 to Mar 23, 2023
- Individual clients · 261 to 232Jan 26, 2023 to Mar 23, 2023
- Financial planning clients · 26-50 to 1-10Jan 26, 2023 to Mar 23, 2023
- State-registered IARs · 3 to 4Jan 26, 2023 to Mar 23, 2023
- Discretionary RAUM · $217M to $200MJan 26, 2023 to Mar 23, 2023
- HNW RAUM · $185M to $137MJan 26, 2023 to Mar 23, 2023
- Individual RAUM · $43.0M to $63.0MJan 26, 2023 to Mar 23, 2023
- Non-discretionary RAUM · $11.0M to $0Jan 26, 2023 to Mar 23, 2023
- RAUM · $228M to $200MJan 26, 2023 to Mar 23, 2023
- Accounts · 698 to 751Jan 15, 2021 to Mar 4, 2022
- HNW clients · 90 to 95Jan 15, 2021 to Mar 4, 2022
- Individual clients · 234 to 261Jan 15, 2021 to Mar 4, 2022
- Discretionary RAUM · $190M to $217MJan 15, 2021 to Mar 4, 2022
- HNW RAUM · $144M to $185MJan 15, 2021 to Mar 4, 2022
- Individual RAUM · $46.5M to $43.0MJan 15, 2021 to Mar 4, 2022
Signals
1 dated events
- F•••• F•••••••• G•••• filed its initial SEC registration (Form ADV)Mar 6, 2018 · ria f•••• adv filing · 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
- clientservices@ffgplanning.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-362-8040reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 919-876-4926reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/ffgplanningreportedpublic record, Form ADV, Sep 18, 2026
- Website
- ffgplanning.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 919-876-4926reportedpublic record, Form ADV, May 28, 2026
- Contact form
- ffgplanning.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- ffgplanning.com/team-member-01reportedpublished by the firm, firm site, Sep 15, 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
- $79.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026