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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Former SEC-registered adviser

R• A•••••• G••••

Former SEC-registered adviserPhoenix, ArizonaCRD 135696SEC 801-69543IAPD
Legal name R• C•••••• I••••••••• A••••••• S•••••••• L••
Latest filing Jun 5, 2015
First filing on the tape Dec 12, 2011 · 16 filings
RAUM
$40.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$40.0M as of Mar 17, 2015
Jan 30, 2012$96.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 17, 2015
Mar 28, 20134 then
Employees (5.A)4 as of Mar 17, 2015
Mar 28, 20134 then
Private funds: no history
RAUM -65% over the last fiscal year-25% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jun 5, 2015; every figure names its basis
RAUM per advisor
$10.0MderivedRAUM 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
$571,429derivedRAUM 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
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-65%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, hourly, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
Custody
$4.7M, 32 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
70reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$4.7M for 32 clientsreported
Compensation
% of AUM, 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
Left, 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
    • G•••••• R•••••• S••• · Ceo/President/Chief Compliance Officercontrol
      since 05/2005 · owns less than 5%
    • G•••••• R•••••• S••• · Owner/Managing Membercontrol
      since 04/2008 · owns 75% or more of R• C••••••• L••
    Entity owners
    • R• C••••••• L•• · Holding Company/Managing Member
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    • G•••• S••••• L••
      pooled vehicle sponsorn
    • R• C•••••• I•••••••• G•••• L••
      real estaten
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 665 to 70
      Nov 26, 2014 to Mar 17, 2015
    • BD registered reps · 4 to 3
      Nov 26, 2014 to Mar 17, 2015
    • HQ city · SCOTTSDALE to PHOENIX
      Nov 26, 2014 to Mar 17, 2015
    • Discretionary RAUM · $114M to $40.0M
      Nov 26, 2014 to Mar 17, 2015
    • RAUM · $114M to $40.0M
      Nov 26, 2014 to Mar 17, 2015
    • Accounts · 666 to 665
      Oct 28, 2013 to Feb 5, 2014
    • Assets in custody · $2.9M to $4.7M
      Oct 28, 2013 to Feb 5, 2014
    • Financial planning clients · 51-100 to 11-25
      Oct 28, 2013 to Feb 5, 2014
    • Discretionary RAUM · $100M to $114M
      Oct 28, 2013 to Feb 5, 2014
    • RAUM · $100M to $114M
      Oct 28, 2013 to Feb 5, 2014
    • Business name · R• C•••••• I••••••••• A••••••• S•••••••• L•• to R• A•••••• G••••
      Mar 28, 2013 to Apr 16, 2013
    • Accounts · 634 to 666
      Oct 9, 2012 to Mar 28, 2013
    • Advisory employees · unset to 4.0
      Oct 9, 2012 to Mar 28, 2013
    • BD registered reps · unset to 4.0
      Oct 9, 2012 to Mar 28, 2013
    • Assets in custody · unset to 2910000.0
      Oct 9, 2012 to Mar 28, 2013
    • Custody of client assets · false to true
      Oct 9, 2012 to Mar 28, 2013
    • Employees · unset to 4.0
      Oct 9, 2012 to Mar 28, 2013
    • State-registered IARs · unset to 4.0
      Oct 9, 2012 to Mar 28, 2013
    • Discretionary RAUM · $96.0M to $100M
      Oct 9, 2012 to Mar 28, 2013
    • RAUM · $96.0M to $100M
      Oct 9, 2012 to Mar 28, 2013
    • Accounts · 497 to 634
      Dec 12, 2011 to Jan 30, 2012
    • Insurance-licensed employees · unset to 0.0
      Dec 12, 2011 to Jan 30, 2012
    • Discretionary RAUM · $57.0M to $96.0M
      Dec 12, 2011 to Jan 30, 2012
    • Non-discretionary RAUM · $10.1M to $0
      Dec 12, 2011 to Jan 30, 2012
    • RAUM · $67.0M to $96.0M
      Dec 12, 2011 to Jan 30, 2012
    Signals
    No event on the tape.
    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