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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

F••••• F•••••••• G••••• I•••

Former SEC-registered adviserColumbus, OhioCRD 135065SEC 801-110768IAPD
Latest filing Mar 28, 2024
First filing on the tape Feb 8, 2012 · 19 filings
RAUM
$282M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$275M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$282M as of Mar 28, 2024
Feb 8, 2012$42.2M then
HNW client RAUM$249M as of Mar 28, 2024
Mar 23, 2018$94.1M then
State-registered IARs (5.B.3)4 as of Mar 28, 2024
Feb 8, 20120 then
Employees (5.A)6 as of Mar 28, 2024
Mar 23, 20184 then
Private funds: no history
RAUM +33% over the last fiscal year+13% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 28, 2024; every figure names its basis
RAUM per advisor
$70.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
48derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.8MderivedHNW RAUM over HNW clients
Average account
$357,375derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+33%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-3.5%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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)
  • 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$249M88%
  • Individuals$25.8M9.1%
  • Pension and profit-sharing plans$3.8M1.4%
  • Corporations and businesses$2.1M0.8%
  • Charitable organizations$1.1M0.4%
Individual clients
103reported
HNW clients
90reported
Pension plan clients
2reported
Charitable clients
2reported
Accounts
789reported
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
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
    • F•••••• M•••••• E• · President And Chief Compliance Officercontrol
      since 02/2005 · owns 50% to 75%
    • M•••••• P•••• L• · Chief Administrative Officercontrol
      since 01/2018 · owns 10% to 25%
    • F••• K••••• T••••• · Senior Financial Advisor
      since 01/2019 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Columbus, Oh · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 663 to 789
      Apr 5, 2023 to Mar 28, 2024
    • HNW clients · 66 to 90
      Apr 5, 2023 to Mar 28, 2024
    • Individual clients · 134 to 103
      Apr 5, 2023 to Mar 28, 2024
    • Discretionary RAUM · $211M to $282M
      Apr 5, 2023 to Mar 28, 2024
    • HNW RAUM · $164M to $249M
      Apr 5, 2023 to Mar 28, 2024
    • Individual RAUM · $42.2M to $25.8M
      Apr 5, 2023 to Mar 28, 2024
    • Pension RAUM · $3.3M to $3.8M
      Apr 5, 2023 to Mar 28, 2024
    • RAUM · $211M to $282M
      Apr 5, 2023 to Mar 28, 2024
    • Accounts · 210 to 663
      Feb 25, 2022 to Mar 29, 2023
    • Charity clients · 1 to 2
      Feb 25, 2022 to Mar 29, 2023
    • HNW clients · 87 to 66
      Feb 25, 2022 to Mar 29, 2023
    • Individual clients · 116 to 134
      Feb 25, 2022 to Mar 29, 2023
    • Employees · 5 to 6
      Feb 25, 2022 to Mar 29, 2023
    • Discretionary RAUM · $236M to $211M
      Feb 25, 2022 to Mar 29, 2023
    • HNW RAUM · $203M to $164M
      Feb 25, 2022 to Mar 29, 2023
    • Individual RAUM · $27.3M to $42.2M
      Feb 25, 2022 to Mar 29, 2023
    • Pension RAUM · $3.7M to $3.3M
      Feb 25, 2022 to Mar 29, 2023
    • RAUM · $236M to $211M
      Feb 25, 2022 to Mar 29, 2023
    • Accounts · 670 to 210
      Apr 1, 2021 to Feb 25, 2022
    • Charity clients · unset to 1.0
      Apr 1, 2021 to Feb 25, 2022
    • Corporate clients · 6 to 4
      Apr 1, 2021 to Feb 25, 2022
    • HNW clients · 57 to 87
      Apr 1, 2021 to Feb 25, 2022
    • Individual clients · 128 to 116
      Apr 1, 2021 to Feb 25, 2022
    • Pension plan clients · unset to 2.0
      Apr 1, 2021 to Feb 25, 2022
    • Financial planning clients · 26-50 to 11-25
      Apr 1, 2021 to Feb 25, 2022
    • Discretionary RAUM · $195M to $236M
      Apr 1, 2021 to Feb 25, 2022
    • HNW RAUM · $149M to $203M
      Apr 1, 2021 to Feb 25, 2022
    • Individual RAUM · $42.2M to $27.3M
      Apr 1, 2021 to Feb 25, 2022
    • Pension RAUM · $779,394 to $3.7M
      Apr 1, 2021 to Feb 25, 2022
    • RAUM · $195M to $236M
      Apr 1, 2021 to Feb 25, 2022
    • Accounts · 603 to 670
      Oct 30, 2020 to Apr 1, 2021
    • Charity clients · 1.0 to unset
      Oct 30, 2020 to Apr 1, 2021
    • Corporate clients · 7 to 6
      Oct 30, 2020 to Apr 1, 2021
    • HNW clients · 68 to 57
      Oct 30, 2020 to Apr 1, 2021
    • Individual clients · 110 to 128
      Oct 30, 2020 to Apr 1, 2021
    • Pension plan clients · 1.0 to unset
      Oct 30, 2020 to Apr 1, 2021
    • Financial planning clients · 101-250 to 26-50
      Oct 30, 2020 to Apr 1, 2021
    • State-registered IARs · 2 to 4
      Oct 30, 2020 to Apr 1, 2021
    • Discretionary RAUM · $165M to $195M
      Oct 30, 2020 to Apr 1, 2021
    • HNW RAUM · $134M to $149M
      Oct 30, 2020 to Apr 1, 2021
    Signals
    5 dated events
    • K•••• T••••• F•• left F••••• F•••••••• G••••• I••• for A•••• W••••• M••••••••• L•• (registered 2024-05-08)
      May 7, 2024 · Advisor changed firm · fact
    • B•••••• R•••• B••• left F••••• F•••••••• G••••• I••• for A•••• W••••• M••••••••• L•• (registered 2024-05-31)
      May 7, 2024 · Advisor changed firm · fact
    • J••••• S••••• S••••••••• left F••••• F•••••••• G••••• I••• for A•••• W••••• M••••••••• L•• (registered 2024-05-31)
      May 7, 2024 · Advisor changed firm · fact
    • F••••• F•••••••• G••••• I•••'s advisors moved to A•••• W••••• M••••••••• L•• (Columbus, OH): 3 of 3 registered, on the same day
      May 7, 2024 · Firm absorbed (people side) · derived
    • F••••• F•••••••• G••••• I••• filed its initial SEC registration (Form ADV)
      Jun 6, 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