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

Fortigent, LLC

Former SEC-registered adviserFort Mill, South CarolinaCRD 138164SEC 801-65931IAPD

Latest filing Nov 29, 2023

First filing on the tape Dec 23, 2011 · 55 filings

RAUM

$3.5B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$3.5B individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

55 filings and snapshots on the tape

RAUM$3.5B as of Mar 31, 2023

Mar 30, 2012$808M then

HNW client RAUM$3.5B as of Mar 31, 2023

Mar 29, 2018$1.9B then

State-registered IARs (5.B.3)4 as of Mar 31, 2023

Mar 28, 20131 then

Employees (5.A)10 as of Mar 31, 2023

Mar 28, 2013115 then

Private funds1 as of Mar 30, 2016

Mar 30, 20125 then

RAUM -9.6% over the last fiscal year+14% a year over threeIARs 3 to 4

Practice profile

derived from the filing of Nov 29, 2023; every figure names its basis

RAUM per advisor: $863MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 135derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $6.4MderivedHNW RAUM over HNW clients
Average account: $3.7MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.5derivedItem 5.A over advisors
Advisors per office: 4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: -9.6%derivedbetween the last two annual amendments
Advisor growth, one year: +33%derivedItem 5.B.3 between annual amendments
Client growth, one year: -0.6%derived
Compensation: percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$3.5B100%

Individual clients: 0reported
HNW clients: 538reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 922reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
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

Steven J Snyder to LPL Financial LLC
Feb 6, 2024 · Other
Kirby Lepak Horan-Adams to LPL Financial LLC
Feb 6, 2024 · RIA to affiliated broker-dealer or bank
George Burton White to Cwm, LLC
May 2, 2022 · RIA to affiliated broker-dealer or bank
Patrick Charles Homan to Nestwise LLC
Oct 28, 2020 · Other
Sharon Helene Gupta to Dynasty Wealth Management, LLC
Jun 7, 2016 · Other
Brian Gibbon Mattox to Andersen
Jun 7, 2016 · Other
Adam Ira Cohen to T. Rowe Price Advisory Services, Inc.
Dec 28, 2015 · Other
Laurie Ressin Martin to Pitcairn
Oct 30, 2015 · Other
Matt Cohen to West Financial Services, Inc.
Oct 21, 2015 · Other
Thomas Steven Glamuzina to Dynasty Wealth Management, LLC
Sep 30, 2015 · Other
Nicolas Alejandro Rocha to Wasmer Schroeder
Jul 9, 2015 · Other
Daniel Trosch to West Financial Services, Inc.
May 26, 2015 · Other
Dmitriy Katsnelson to Highline Wealth Management, LLC
May 26, 2015 · Other
Joseph Michael Masella to Private Advisor Group, LLC
May 26, 2015 · Other
Colin Michael Gerrety to Glassman Wealth Services, LLC
Apr 21, 2015 · Other

Joined, latest

Adam Ira Cohen from Wilson Bennett Capital Management Inc
Jan 7, 2014 · Other
Patrick Charles Homan from LPL Financial LLC
May 29, 2012 · Other
Adam Ira Cohen from Cibc Private Wealth Advisors, Inc.
Sep 4, 2009 · Other
Tracy Lee Silpe from Raymond James & Associates, Inc.
Apr 25, 2008 · Other
Todd Adelstein from Suntrust Investment Services, Inc.
Apr 3, 2008 · Other
Matthew A Andrulot from Strategic Advisers LLC
Oct 5, 2006 · Other
Robert John Mileff from Monroe Vos Consulting, Inc.
Sep 13, 2006 · Other
Evan Robert Ratnow from Lydian Wealth Management Company, LLC
Aug 17, 2006 · Other
Scott David Welch from Lydian Wealth Management Company, LLC
Jun 12, 2006 · Other
Nathan Michael Sonnenberg from Lydian Wealth Management Company, LLC
Jun 12, 2006 · Other
Steven J Snyder from Dunham
Jun 12, 2006 · Other
Sharon Helene Gupta from Lydian Wealth Management Company, LLC
Jun 12, 2006 · Other
Matt Cohen from Lydian Wealth Management Company, LLC
Jun 12, 2006 · Other
Brian Gibbon Mattox from Citigroup Global Markets Inc.
May 12, 2006 · Other
Laurie Ressin Martin from Strategic Advisers LLC
Mar 10, 2006 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for LPL Financial LLC
Feb 6, 2024 · Fort Mill, Sc

Teams out Teams in

Private funds

6 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
Discretionary Managed Futures Fund, LLCno longer reported	Other Private Fund	$73.7M	308	Jan 4, 2012
Ironwood Partners Access Fund, LLCno longer reported	Other Private Fund	$30.2M	66	Jan 4, 2012
Small Cap Long/Short Fund, LLCno longer reported	Other Private Fund	$14.5M	57	Jan 4, 2012
Global Event-Driven Fund, LLCno longer reported	Other Private Fund	$90,280	1	Jan 4, 2012
Directional Quantitative Equity Fund, LLCno longer reported	Other Private Fund	$0	0	Jan 4, 2012
Access Marathon Fund, LLCno longer reported	Other Private Fund	$0	0	Jan 4, 2012

Owners and control persons

Schedule A and B, latest filing

Bryan Gary Carrai · Presidentcontrol
since 11/2006 · owns less than 5%
Jonathan Robbins · Senior Vice President, Chief Compliance Officer Advisorycontrol
since 12/2022 · owns less than 5%

Entity owners

Fortigent Holdings Company, Inc. · Managing Member
direct · owns 75% or more
LPL Financial Holdings Inc. · Parent Company
indirect · owns 75% or more of LPL Holdings, Inc. · public reporting company
LPL Holdings, Inc. · Parent Company
indirect · owns 75% or more of Fortigent Holdings Company, Inc.

Related persons

Schedule D 7.A

Fiduciary Trust Company Of New Hampshire
n
LPL Enterprise, LLC
broker-dealerinvestment advisernRAUM $25B
LPL Financial LLC
broker-dealerinvestment advisernRAUM $819B
LPL Insurance Associates, Inc.
real estaten
The Private Trust Company, N.A.
n

Advisers that list Fortigent, LLC as a related person

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Fort Mill, Sc · principal	0	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 925 to 922
Dec 20, 2022 to Mar 31, 2023
BD registered reps · 5 to 4
Dec 20, 2022 to Mar 31, 2023
HNW clients · 541 to 538
Dec 20, 2022 to Mar 31, 2023
State-registered IARs · 3 to 4
Dec 20, 2022 to Mar 31, 2023
Discretionary RAUM · $3.8B to $3.5B
Dec 20, 2022 to Mar 31, 2023
HNW RAUM · $3.8B to $3.5B
Dec 20, 2022 to Mar 31, 2023
RAUM · $3.8B to $3.5B
Dec 20, 2022 to Mar 31, 2023
Accounts · 1,023 to 925
Mar 7, 2022 to Mar 31, 2022
HNW clients · 495 to 541
Mar 7, 2022 to Mar 31, 2022
Discretionary RAUM · $2.1B to $3.8B
Mar 7, 2022 to Mar 31, 2022
HNW RAUM · $2.1B to $3.8B
Mar 7, 2022 to Mar 31, 2022
RAUM · $2.1B to $3.8B
Mar 7, 2022 to Mar 31, 2022
Accounts · 908 to 1,023
Sep 9, 2020 to Mar 31, 2021
Advisory employees · 37 to 4
Sep 9, 2020 to Mar 31, 2021
BD registered reps · 8 to 5
Sep 9, 2020 to Mar 31, 2021
HNW clients · 442 to 495
Sep 9, 2020 to Mar 31, 2021
Individual clients · 466 to 0
Sep 9, 2020 to Mar 31, 2021
Employees · 37 to 10
Sep 9, 2020 to Mar 31, 2021
Insurance-licensed employees · 7 to 3
Sep 9, 2020 to Mar 31, 2021
State-registered IARs · 9 to 3
Sep 9, 2020 to Mar 31, 2021
Other offices · 2 to 0
Sep 9, 2020 to Mar 31, 2021
Discretionary RAUM · $2.3B to $2.1B
Sep 9, 2020 to Mar 31, 2021
HNW RAUM · $2.1B to $2.1B
Sep 9, 2020 to Mar 31, 2021
Individual RAUM · $209M to $0
Sep 9, 2020 to Mar 31, 2021
RAUM · $2.3B to $2.1B
Sep 9, 2020 to Mar 31, 2021
Accounts · 975 to 908
Sep 30, 2019 to Mar 30, 2020
Advisory employees · 62 to 37
Sep 30, 2019 to Mar 30, 2020
HNW clients · 416 to 442
Sep 30, 2019 to Mar 30, 2020
Individual clients · 559 to 466
Sep 30, 2019 to Mar 30, 2020
Employees · 62 to 37
Sep 30, 2019 to Mar 30, 2020
Insurance-licensed employees · 8 to 7
Sep 30, 2019 to Mar 30, 2020
Discretionary RAUM · $2.1B to $2.3B
Sep 30, 2019 to Mar 30, 2020
HNW RAUM · $1.8B to $2.1B
Sep 30, 2019 to Mar 30, 2020
Individual RAUM · $251M to $209M
Sep 30, 2019 to Mar 30, 2020
RAUM · $2.1B to $2.3B
Sep 30, 2019 to Mar 30, 2020
Accounts · 765 to 975
Nov 20, 2018 to Mar 29, 2019
Advisory employees · 35 to 62
Nov 20, 2018 to Mar 29, 2019
HNW clients · 397 to 416
Nov 20, 2018 to Mar 29, 2019
Individual clients · 368 to 559
Nov 20, 2018 to Mar 29, 2019
Employees · 35 to 62
Nov 20, 2018 to Mar 29, 2019

Signals

10 dated events

Steven J Snyder left Fortigent, Llc for Lpl Financial Llc (registered 2016-06-17)
Feb 6, 2024 · Advisor changed firm · fact
Kirby Lepak Horan-Adams left Fortigent, Llc for Lpl Financial Llc (registered 2021-12-17)
Feb 6, 2024 · Advisor changed firm · fact
2 advisors left Fortigent, LLC (Fort Mill, SC) for LPL Financial LLC on the same day
Feb 6, 2024 · Team lift-out · derived
Marie Allison Bevacqua (Senior Vice President, Chief Compliance Officer, Advisory) no longer on Schedule A of Fortigent, Llc (listed 2022-08-08, absent 2022-12-20)
Dec 20, 2022 · Control person left · inference
Jonathan Robbins (Senior Vice President, Chief Compliance Officer Advisory) appeared on Schedule A of Fortigent, Llc
Dec 20, 2022 · Control person joined · fact
Dailey Katherine Ring (Senior Vice President, Chief Compliance Officer, Advisory) no longer on Schedule A of Fortigent, Llc (listed 2022-03-31, absent 2022-08-08)
Aug 8, 2022 · Control person left · inference
Marie Allison Bevacqua (Senior Vice President, Chief Compliance Officer, Advisory) appeared on Schedule A of Fortigent, Llc
Aug 8, 2022 · Control person joined · fact
George Burton White left Fortigent, Llc for Cwm, Llc (registered 2022-05-02)
May 2, 2022 · Advisor changed firm · fact
Fortigent, Llc reported RAUM $3.8B, up 86% from $2.1B (2022-03-07 to 2022-03-31)
Mar 31, 2022 · RAUM change · derived
Burton George White (Chief Investment Officer) no longer on Schedule A of Fortigent, Llc (listed 2020-09-09, absent 2021-03-31)
Mar 31, 2021 · Control person left · inference

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