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
Rh Financial Group, LLC
Latest filing May 30, 2013
First filing on the tape Jan 3, 2012 · 6 filings
RAUM
$76.1M
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
9
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$76.1M as of Mar 28, 2013
Mar 12, 2012$134M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 5
Employees (5.A): 9
Private funds: no history
RAUM -43% over the last fiscal year
Practice profile
derived from the filing of May 30, 2013; every figure names its basis
- RAUM per advisor
- $15.2MderivedRAUM 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
- $140,922derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -43%derivedbetween 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
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
- 540reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- Paul David Mardoian to American Portfolios Advisors, IncDec 31, 2015 · Other
- Constantine Charles Mulligan to Blue Prairie Group,LLCMay 15, 2012 · Other
- Michael Shannon Trent to Regal Investment Advisors LLCJul 9, 2010 · Other
Joined, latest
- Michael Shannon Trent from Results One Financial, LLCMar 15, 2010 · Other
- Constantine Charles Mulligan from Results One Financial, LLCMar 11, 2010 · Other
- Paul David Mardoian from Waterstone Financial Group, Inc.Mar 11, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Marie Gina Hornbogen · Membercontrolsince 01/2010 · owns 10% to 25%
- Louis Charles Rizzo · Membercontrolsince 01/2010 · owns 75% or more
- Terese Ann Zemann · Chief Compliance Officercontrolsince 08/2011 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- ,
What changed
consecutive filings, newest first
- Advisory activities · 4 to 3Apr 5, 2013 to May 30, 2013
- Accounts · 658 to 540Aug 17, 2012 to Mar 28, 2013
- Advisory employees · unset to 5.0Aug 17, 2012 to Mar 28, 2013
- BD registered reps · unset to 4.0Aug 17, 2012 to Mar 28, 2013
- Employees · unset to 9.0Aug 17, 2012 to Mar 28, 2013
- Insurance-licensed employees · 0 to 4Aug 17, 2012 to Mar 28, 2013
- State-registered IARs · unset to 5.0Aug 17, 2012 to Mar 28, 2013
- Discretionary RAUM · $56.7M to $76.1MAug 17, 2012 to Mar 28, 2013
- Non-discretionary RAUM · $77.2M to $0Aug 17, 2012 to Mar 28, 2013
- RAUM · $134M to $76.1MAug 17, 2012 to Mar 28, 2013
- Accounts · 698 to 658Jan 3, 2012 to Mar 12, 2012
- Advisory activities · 5 to 4Jan 3, 2012 to Mar 12, 2012
- Discretionary RAUM · $83.1M to $56.7MJan 3, 2012 to Mar 12, 2012
- Non-discretionary RAUM · $55.1M to $77.2MJan 3, 2012 to Mar 12, 2012
- RAUM · $138M to $134MJan 3, 2012 to Mar 12, 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