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

Three G Financial, LLC

Former SEC-registered adviserLas Vegas, NevadaCRD 148072SEC 801-69579IAPD
Legal name Three G Financial, LLC.
Latest filing Oct 8, 2012
First filing on the tape Nov 8, 2011 · 4 filings
RAUM
$66.2M
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$66.2M as of Oct 8, 2012
Nov 8, 2011$70.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Oct 8, 2012
Nov 8, 20110 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Oct 8, 2012; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$66.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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
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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Steven Brent Hicks · Membercontrol
        since 07/2008 · owns 25% to 50%
      • Keil Christopher Hicks · Membercontrol
        since 07/2008 · owns 25% to 50%
      • Kiyoshi Todd Sakoda · Chief Compliance Officercontrol
        since 07/2008 · owns less than 5%
      • Keil Christopher Hicks · Trusteecontrol
        since 07/2008 · owns 50% to 75% of Hicks Family 2008 Trust
      • Klaudine Erin Hicks-Dawson · Member
        since 07/2008 · owns 10% to 25%
      • Marvin Albert Jr. Dawson · Trustee
        since 07/2008 · owns 50% to 75% of Hicks-Dawson Family 2008 Trust
      • Klaudine Erin Hicks-Dawson · Trustee
        since 07/2008 · owns 50% to 75% of Hicks-Dawson Family 2008 Trust
      • Diane Lisa Hicks · Trustee
        since 07/2008 · owns 50% to 75% of Hicks Family 2008 Trust
      Entity owners
      • Hicks Family 2008 Trust (Chris And Lisa Hicks Ttees) · Member
        direct · owns 10% to 25%
      • Hicks-Dawson Family 2008 Trust (Erin Hicks-Dawson And Al Dawson Ttees) · Member
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Portland, OR
      What changed
      consecutive filings, newest first
      • Insurance-licensed employees · unset to 0.0
        Nov 8, 2011 to Apr 2, 2012
      • Discretionary RAUM · $70.0M to $66.2M
        Nov 8, 2011 to Apr 2, 2012
      • RAUM · $70.0M to $66.2M
        Nov 8, 2011 to Apr 2, 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