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.

SEC-registered adviser

Financial Gravity Asset Management, Inc.

Independent wealth managerAustin, TexasCRD 144008SEC 801-109923websiteIAPD
Latest filing Dec 23, 2025
First filing on the tape Jan 24, 2017 · 48 filings
SEC status approved since Feb 6, 2017
RAUM
$523M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$523M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$523M
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
48 filings and snapshots on the tape
RAUM$523M as of Dec 23, 2025
Mar 28, 2017$101M then
HNW client RAUM$258M as of Dec 23, 2025
Nov 30, 2017$99.0M then
State-registered IARs (5.B.3)3 as of Dec 23, 2025
Mar 28, 201712 then
Employees (5.A)5 as of Dec 23, 2025
Mar 28, 201713 then
Private funds: no history
RAUM +80% over the last fiscal year+40% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Dec 23, 2025; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$523MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
1,518derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$200,552derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+61%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+244%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
  • Individuals$265M51%
  • High-net-worth individuals$258M49%
Individual clients
1,374reported
HNW clients
144reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2,610reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
William Robert NelsonAustin, Tx Dec 4, 201923 y2
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 headcount1 left over 36 months
Left, latest
Joined, 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
    • Robert William Nelson · Ciocontrol
      since 12/2019 · owns less than 5%
    • Jennifer Winters · Coocontrol
      since 12/2019 · owns less than 5%
    • Christopher Scott Winters · Ceo/Chairman Of The Boardcontrol
      since 01/2020 · owns less than 5%
    • Ashley Baucum · Chief Administrative Officer
      since 04/2024 · owns less than 5%
    • Erin Kaili Winters · Chief Compliance Officer
      since 04/2024 · owns less than 5%
    Entity owners
    • Financial Gravity Companies, Inc. · Shareholder
      direct · owns 75% or more · public reporting company
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Austin, Tx · principal100
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 2,261 to 2,610
      Dec 20, 2024 to Dec 23, 2025
    • Charity clients · 6 to 0
      Dec 20, 2024 to Dec 23, 2025
    • HNW clients · 446 to 144
      Dec 20, 2024 to Dec 23, 2025
    • Individual clients · 1,781 to 1,374
      Dec 20, 2024 to Dec 23, 2025
    • Pension plan clients · 28 to 0
      Dec 20, 2024 to Dec 23, 2025
    • Financial planning clients · 0 to 0
      Dec 20, 2024 to Dec 23, 2025
    • Discretionary RAUM · $469M to $523M
      Dec 20, 2024 to Dec 23, 2025
    • HNW RAUM · $193M to $258M
      Dec 20, 2024 to Dec 23, 2025
    • Individual RAUM · $267M to $265M
      Dec 20, 2024 to Dec 23, 2025
    • Pension RAUM · $9.2M to $0
      Dec 20, 2024 to Dec 23, 2025
    • RAUM · $469M to $523M
      Dec 20, 2024 to Dec 23, 2025
    • Accounts · 1,722 to 2,261
      May 14, 2024 to Dec 20, 2024
    • Advisory employees · 0 to 1
      May 14, 2024 to Dec 20, 2024
    • Charity clients · 3 to 6
      May 14, 2024 to Dec 20, 2024
    • Corporate clients · 18 to 0
      May 14, 2024 to Dec 20, 2024
    • HNW clients · 78 to 446
      May 14, 2024 to Dec 20, 2024
    • Individual clients · 570 to 1,781
      May 14, 2024 to Dec 20, 2024
    • Pension plan clients · 4 to 28
      May 14, 2024 to Dec 20, 2024
    • Employees · 3 to 5
      May 14, 2024 to Dec 20, 2024
    • Insurance-licensed employees · 3 to 5
      May 14, 2024 to Dec 20, 2024
    • Discretionary RAUM · $291M to $469M
      May 14, 2024 to Dec 20, 2024
    • HNW RAUM · $132M to $193M
      May 14, 2024 to Dec 20, 2024
    • Individual RAUM · $147M to $267M
      May 14, 2024 to Dec 20, 2024
    • Pension RAUM · $946,946 to $9.2M
      May 14, 2024 to Dec 20, 2024
    • RAUM · $291M to $469M
      May 14, 2024 to Dec 20, 2024
    • Accounts · 748 to 1,722
      Aug 21, 2023 to Nov 29, 2023
    • Charity clients · 0 to 3
      Aug 21, 2023 to Nov 29, 2023
    • Corporate clients · 0 to 18
      Aug 21, 2023 to Nov 29, 2023
    • HNW clients · 59 to 78
      Aug 21, 2023 to Nov 29, 2023
    • Individual clients · 662 to 570
      Aug 21, 2023 to Nov 29, 2023
    • Pension plan clients · 0 to 4
      Aug 21, 2023 to Nov 29, 2023
    • Financial planning clients · 1-10 to 0
      Aug 21, 2023 to Nov 29, 2023
    • Discretionary RAUM · $128M to $291M
      Aug 21, 2023 to Nov 29, 2023
    • HNW RAUM · $57.8M to $132M
      Aug 21, 2023 to Nov 29, 2023
    • Individual RAUM · $72.4M to $147M
      Aug 21, 2023 to Nov 29, 2023
    • Non-discretionary RAUM · $3.0M to $0
      Aug 21, 2023 to Nov 29, 2023
    • Pension RAUM · $0 to $946,946
      Aug 21, 2023 to Nov 29, 2023
    • RAUM · $131M to $291M
      Aug 21, 2023 to Nov 29, 2023
    • Accounts · 1,149 to 748
      Mar 24, 2022 to Dec 8, 2022
    • HNW clients · 0 to 59
      Mar 24, 2022 to Dec 8, 2022
    Signals
    18 dated events
    • Financial Gravity Asset Management, Inc. reported RAUM $469.1M, up 61% from $290.6M (2024-05-14 to 2024-12-20)
      Dec 20, 2024 · RAUM change · derived
    • John David Pollock left Financial Gravity Asset Management, Inc. for Forta Financial Group, Inc. (registered 2019-08-22)
      Dec 1, 2023 · Advisor changed firm · fact
    • Financial Gravity Asset Management, Inc. reported RAUM $290.6M, up 122% from $130.8M (2023-08-21 to 2023-11-29)
      Nov 29, 2023 · RAUM change · derived
    • Marc David Orourke left Financial Gravity Asset Management, Inc. for Forta Financial Group, Inc. (registered 2021-05-24)
      Jan 4, 2023 · Advisor changed firm · fact
    • Erin Kaili Winters (Chief Compliance Officer) no longer on Schedule A of Financial Gravity Asset Management, Inc. (listed 2022-12-08, absent 2023-01-04)
      Jan 4, 2023 · Control person left · inference
    • David Marc Orourke (President) no longer on Schedule A of Financial Gravity Asset Management, Inc. (listed 2022-12-08, absent 2023-01-04)
      Jan 4, 2023 · Control person left · inference
    • Henry Pate Hasty left Financial Gravity Asset Management, Inc. for Idle Hill Advisors Llc (registered 2022-02-28)
      Mar 2, 2022 · Advisor changed firm · fact
    • Christopher Scott Wright left Financial Gravity Asset Management, Inc. for Idle Hill Advisors Llc (registered 2022-02-28)
      Mar 2, 2022 · Advisor changed firm · fact
    • 2 advisors left Financial Gravity Asset Management, Inc. (Greenville, SC) for Idle Hill Advisors LLC on the same day
      Mar 2, 2022 · Team lift-out · derived
    • Christopher Scott Winters (Chairman Of The Board) appeared on Schedule A of Financial Gravity Asset Management, Inc.
      Jun 30, 2020 · Control person joined · fact
    • Erin Kaili Winters (Chief Compliance Officer) appeared on Schedule A of Financial Gravity Asset Management, Inc.
      May 29, 2020 · Control person joined · fact
    • David Marc Orourke (President) appeared on Schedule A of Financial Gravity Asset Management, Inc.
      May 29, 2020 · Control person joined · fact
    • Financial Gravity Asset Management, Inc. reported 6 offices beyond its principal office, down from 20 (2019-08-15 to 2019-12-11)
      Dec 11, 2019 · Office count change · derived
    • Financial Gravity Asset Management, Inc. reported 7 state-registered advisory representatives, down from 22 (2019-08-15 to 2019-12-11)
      Dec 11, 2019 · Advisor headcount change · derived
    • David John Pollock (President; Chief Compliance Officer) no longer on Schedule A of Financial Gravity Asset Management, Inc. (listed 2019-08-15, absent 2019-12-11)
      Dec 11, 2019 · Control person left · inference
    • Robert William Nelson (President) appeared on Schedule A of Financial Gravity Asset Management, Inc.
      Dec 11, 2019 · Control person joined · fact
    • Financial Gravity Asset Management, Inc. reported 22 state-registered advisory representatives, up from 0 (2018-08-03 to 2018-12-07)
      Dec 7, 2018 · Advisor headcount change · derived
    • Financial Gravity Wealth, Inc. filed its initial SEC registration (Form ADV)
      Jan 24, 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.
    How to reach
    public business contact points only, each with its source
    Business phone
    800-588-3893reportedpublished by the firm, firm site, Sep 16, 2026
    Website
    financialgravityassetmanagement.comreportedpublic record, Form ADV, Sep 17, 2026
    Principal office phone
    1-800-920-9722reportedpublic record, Form ADV, Dec 23, 2025
    Contact form
    financialgravityassetmanagement.com/contactreportedpublished by the firm, firm site, Sep 16, 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
    $523Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026