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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SEC-registered adviser
F••••••• F•••••••• G••••
Legal name F••••• F•••••••• G••••
Latest filing Mar 2, 2026
First filing on the tape Mar 2, 2026 · 1 filings
SEC status approved since Mar 5, 2026
RAUM
$133M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$133M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$44.3M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $133M
HNW client RAUM: no history
State-registered IARs (5.B.3): 3
Employees (5.A): 5
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $44.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 167derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $186,536derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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 assets, commissions, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- is an insurance broker or agent (6.A.6)
- 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$133M100%
- Individual clients
- 500reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 713reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, commissionsreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••••• L•• F••••••• | Feb 11, 2010 | 44 y | 2 | |
| B•••••• W••••• | West Monroe, La | Jul 20, 2023 | 17 y | 0 |
| B••••• S•••• | West Monroe, La | Nov 20, 2025 | 10 y | 0 |
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
- J•• S•••• C•••••• to C••••• A••••••• L••Nov 10, 2023 · RIA to affiliated broker-dealer or bank
- J••••• S•••• to M•••• C••••••• A••••••• S••••••Jan 30, 2019 · RIA to affiliated broker-dealer or bank
Joined, latest
- J•• S•••• C•••••• from P•••••••• A•••••••Mar 15, 2022 · Affiliated broker-dealer or bank to independent RIA
- K•••••• L•• F••••••• from W•••••• S••••••••• C•••••••••Feb 11, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| West Monroe, La · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
- J•• S•••• C•••••• left F••••••• F•••••••• G•••• for C••••• A••••••• L•• (registered 2023-11-16)Nov 10, 2023 · 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.
How to reach
public business contact points only, each with its source
- Business email
- a••••••@f•••••••••.netreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 318-383-6670reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 318-387-8918reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- F•••••••FINANCIALGROUP.NETreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 318-387-8918reportedpublic record, Form ADV, Mar 2, 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
- $44.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026