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
Parks Capital
Legal name Ralph Parks Investment Group LLC
Latest filing Sep 3, 2025
First filing on the tape Dec 17, 2011 · 31 filings
SEC status approved since Jan 18, 2006
RAUM
$82.9M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
97%
$80.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$82.9M as of Sep 3, 2025
Apr 2, 2012$25.7M then
HNW client RAUM$58.8M as of Sep 3, 2025
Mar 16, 2018$22.0M then
State-registered IARs (5.B.3)2 as of Sep 3, 2025
Mar 28, 20131 then
Employees (5.A)3 as of Sep 3, 2025
Mar 28, 20133 then
Private funds: no history
RAUM +7.6% over the last fiscal year+6.1% a year over threeIARs 2 to 2offices 0 to 1
Practice profile
derived from the filing of Sep 3, 2025; every figure names its basis
- RAUM per advisor
- $41.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $263,239derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.6%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 assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $2.7M, 2 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$58.8M71%
- Individuals$22.0M27%
- Pension and profit-sharing plans$1.3M1.6%
- Charitable organizations$501,0630.6%
- Corporations and businesses$323,6770.4%
- Individual clients
- 111reported
- HNW clients
- 29reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 315reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.7M for 2 clientsreported
- Compensation
- % of AUMreported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- Gina M Griffo to Sage, Rutty & Co., Inc.Dec 2, 2025 · RIA to RIA
- Rajiv Nath Dixit to Serenity Capital Advisors Inc.Dec 2, 2025 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Nath Rajiv Dixit · Chief Investment Officer-12/2011, Chief Operating Officer-02/2006controlsince 01/2006 · owns less than 5%
- M Gina Griffo · Chief Executive Officer-12/2011, Chief Compliance Officer-11/2005controlsince 11/2005 · owns less than 5%
- Nath Rajiv Dixit · Co-Owner-Vice President-Treasurercontrolsince 12/2011 · owns 50% to 75% of Aspire Capital Management Inc.
- M Gina Griffo · Co-Owner-President-Secretarycontrolsince 12/2011 · owns 50% to 75% of Aspire Capital Management Inc.
Entity owners
- Aspire Capital Management Inc. · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Penfield, Ny | 0 | 0 | 2 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Related adviser · false to trueMay 14, 2025 to Sep 3, 2025
- Financial planning clients · 51-100 to 51-100Apr 1, 2025 to May 14, 2025
- Accounts · 324 to 315Feb 24, 2025 to Apr 1, 2025
- HNW clients · 30 to 29Feb 24, 2025 to Apr 1, 2025
- Individual clients · 87 to 111Feb 24, 2025 to Apr 1, 2025
- Pension plan clients · 19 to 1Feb 24, 2025 to Apr 1, 2025
- Assets in custody · $10,000 to $2.7MFeb 24, 2025 to Apr 1, 2025
- Employees · 4 to 3Feb 24, 2025 to Apr 1, 2025
- Financial planning clients · 26-50 to 51-100Feb 24, 2025 to Apr 1, 2025
- Other offices · 0 to 1Feb 24, 2025 to Apr 1, 2025
- Discretionary RAUM · $76.0M to $81.6MFeb 24, 2025 to Apr 1, 2025
- HNW RAUM · $54.6M to $58.8MFeb 24, 2025 to Apr 1, 2025
- Individual RAUM · $18.8M to $22.0MFeb 24, 2025 to Apr 1, 2025
- Non-discretionary RAUM · $1.1M to $1.3MFeb 24, 2025 to Apr 1, 2025
- Pension RAUM · $3.2M to $1.3MFeb 24, 2025 to Apr 1, 2025
- RAUM · $77.1M to $82.9MFeb 24, 2025 to Apr 1, 2025
- Accounts · 307 to 324Oct 8, 2023 to Mar 31, 2024
- HNW clients · 16 to 30Oct 8, 2023 to Mar 31, 2024
- Individual clients · 32 to 87Oct 8, 2023 to Mar 31, 2024
- Pension plan clients · 24 to 19Oct 8, 2023 to Mar 31, 2024
- Discretionary RAUM · $64.4M to $76.0MOct 8, 2023 to Mar 31, 2024
- HNW RAUM · $36.5M to $54.6MOct 8, 2023 to Mar 31, 2024
- Individual RAUM · $26.1M to $18.8MOct 8, 2023 to Mar 31, 2024
- Non-discretionary RAUM · $724,207 to $1.1MOct 8, 2023 to Mar 31, 2024
- Pension RAUM · $2.3M to $3.2MOct 8, 2023 to Mar 31, 2024
- RAUM · $65.1M to $77.1MOct 8, 2023 to Mar 31, 2024
- Accounts · 282 to 307Feb 9, 2022 to Feb 16, 2023
- Corporate clients · 2.0 to unsetFeb 9, 2022 to Feb 16, 2023
- HNW clients · 48 to 16Feb 9, 2022 to Feb 16, 2023
- Individual clients · 68 to 32Feb 9, 2022 to Feb 16, 2023
- Pension plan clients · 1 to 24Feb 9, 2022 to Feb 16, 2023
- Employees · 3 to 4Feb 9, 2022 to Feb 16, 2023
- Financial planning clients · 51-100 to 26-50Feb 9, 2022 to Feb 16, 2023
- Discretionary RAUM · $69.5M to $64.4MFeb 9, 2022 to Feb 16, 2023
- HNW RAUM · $56.9M to $36.5MFeb 9, 2022 to Feb 16, 2023
- Individual RAUM · $10.8M to $26.1MFeb 9, 2022 to Feb 16, 2023
- Non-discretionary RAUM · $0 to $724,207Feb 9, 2022 to Feb 16, 2023
- Pension RAUM · $1.7M to $2.3MFeb 9, 2022 to Feb 16, 2023
- RAUM · $69.5M to $65.1MFeb 9, 2022 to Feb 16, 2023
- Accounts · 281 to 282May 7, 2021 to Feb 9, 2022
Signals
3 dated events
- Parks Capital no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $82.9M)Jan 2, 2026 · Left the SEC roster · derived
- Gina M Griffo left Parks Capital for Sage, Rutty & Co., Inc. (registered 2025-09-08)Dec 2, 2025 · Advisor changed firm · fact
- Rajiv Nath Dixit left Parks Capital for Serenity Capital Advisors Inc. (registered 2025-09-08)Dec 2, 2025 · Advisor changed firm · 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