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

B•• F•••••••• G••••• L••

Former SEC-registered adviserTucson, ArizonaCRD 144652SEC 801-68193IAPD
Latest filing May 18, 2015
First filing on the tape Mar 16, 2012 · 11 filings
RAUM
$307M
reported, Item 5.F
Discretionary
99%
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
11
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$307M as of Mar 28, 2015
Mar 16, 2012$175M then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Mar 28, 2015
Mar 16, 20120 then
Employees (5.A)11 as of Mar 28, 2015
Jan 18, 201310 then
Private funds: no history
RAUM +18% over the last fiscal year+21% a year over threeIARs 7 to 7
Practice profile
derived from the filing of May 18, 2015; every figure names its basis
RAUM per advisor
$43.8MderivedRAUM 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
$204,434derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+18%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminarsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
1,500reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performancereported
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••••••• S••••• D•••••• · Member/Vp Of Investmentscontrol
      since 12/2006 · owns 75% or more
    • R••••••• L•••••• M•••• · Chief Compliance Officer/Associate Vp/Investmentscontrol
      since 12/2006 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1,392 to 1,500
      Jun 5, 2014 to Mar 28, 2015
    • Employees · 14 to 11
      Jun 5, 2014 to Mar 28, 2015
    • Discretionary RAUM · $257M to $304M
      Jun 5, 2014 to Mar 28, 2015
    • Non-discretionary RAUM · $2.6M to $2.4M
      Jun 5, 2014 to Mar 28, 2015
    • RAUM · $259M to $307M
      Jun 5, 2014 to Mar 28, 2015
    • Accounts · 1,308 to 1,392
      Dec 11, 2013 to Feb 25, 2014
    • Advisory employees · 5 to 7
      Dec 11, 2013 to Feb 25, 2014
    • Employees · 10 to 14
      Dec 11, 2013 to Feb 25, 2014
    • State-registered IARs · 0 to 7
      Dec 11, 2013 to Feb 25, 2014
    • Discretionary RAUM · $196M to $257M
      Dec 11, 2013 to Feb 25, 2014
    • Non-discretionary RAUM · $2.8M to $2.6M
      Dec 11, 2013 to Feb 25, 2014
    • RAUM · $199M to $259M
      Dec 11, 2013 to Feb 25, 2014
    • Accounts · 1,291 to 1,308
      Dec 20, 2012 to Jan 18, 2013
    • Employees · 6 to 10
      Dec 20, 2012 to Jan 18, 2013
    • Discretionary RAUM · $172M to $196M
      Dec 20, 2012 to Jan 18, 2013
    • Non-discretionary RAUM · $2.6M to $2.8M
      Dec 20, 2012 to Jan 18, 2013
    • RAUM · $175M to $199M
      Dec 20, 2012 to Jan 18, 2013
    • Advisory employees · unset to 5.0
      Mar 16, 2012 to Dec 6, 2012
    • BD registered reps · unset to 3.0
      Mar 16, 2012 to Dec 6, 2012
    • Employees · unset to 6.0
      Mar 16, 2012 to Dec 6, 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