DFX Intelligence
RIA Intelligence
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Former SEC-registered adviser
F••••• F••••••••
Legal name F••••• F•••••••• L••
Latest filing Dec 4, 2024
First filing on the tape Mar 29, 2022 · 6 filings
SEC status approved since Apr 29, 2022
RAUM
$111M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$111M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$111M as of Mar 8, 2024
Mar 29, 2023$97.6M then
HNW client RAUM$29.8M as of Mar 8, 2024
Mar 29, 2023$73.3M then
State-registered IARs (5.B.3)2 as of Mar 8, 2024
Mar 29, 20232 then
Employees (5.A)2 as of Mar 8, 2024
Mar 29, 20232 then
Private funds: no history
RAUM +14% over the last fiscal yearIARs 2 to 2offices 0 to 1
Practice profile
derived from the filing of Dec 4, 2024; every figure names its basis
- RAUM per advisor
- $55.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $726,924derivedHNW RAUM over HNW clients
- Average account
- $322,170derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +17%derived
- Compensation
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 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
- Individuals$81.7M73%
- High-net-worth individuals$29.8M27%
- Individual clients
- 36reported
- HNW clients
- 41reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 346reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- 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
- F•••••• E•••• G•••••• to M••••• G••••• A••••••• I•••Mar 24, 2025 · RIA to RIA
- P••••• P••••• to M••••• G••••• A••••••• I•••Mar 24, 2025 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• F••••••• E•••• · President, Ccocontrolsince 01/2009 · owns less than 5%
Entity owners
- M••••• G••••• A••••••• I••• · Parent Companydirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Johns Island, Sc | 0 | 0 | 0 | ||
| Washington, Dc · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Other offices · 0 to 1Apr 16, 2024 to May 10, 2024
- Accounts · 344 to 346Mar 29, 2023 to Mar 8, 2024
- HNW clients · 40 to 41Mar 29, 2023 to Mar 8, 2024
- Individual clients · 26 to 36Mar 29, 2023 to Mar 8, 2024
- Financial planning clients · 1-10 to 11-25Mar 29, 2023 to Mar 8, 2024
- Discretionary RAUM · $0 to $111MMar 29, 2023 to Mar 8, 2024
- HNW RAUM · $73.3M to $29.8MMar 29, 2023 to Mar 8, 2024
- Individual RAUM · $24.3M to $81.7MMar 29, 2023 to Mar 8, 2024
- Non-discretionary RAUM · $97.6M to $0Mar 29, 2023 to Mar 8, 2024
- RAUM · $97.6M to $111MMar 29, 2023 to Mar 8, 2024
- Accounts · 303 to 344Mar 29, 2022 to Mar 29, 2023
- HNW clients · 39 to 40Mar 29, 2022 to Mar 29, 2023
- Individual clients · 32 to 26Mar 29, 2022 to Mar 29, 2023
- Financial planning clients · 11-25 to 1-10Mar 29, 2022 to Mar 29, 2023
- HNW RAUM · $84.2M to $73.3MMar 29, 2022 to Mar 29, 2023
- Individual RAUM · $22.3M to $24.3MMar 29, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $107M to $97.6MMar 29, 2022 to Mar 29, 2023
- RAUM · $107M to $97.6MMar 29, 2022 to Mar 29, 2023
Signals
4 dated events
- F••••• F•••••••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $111.5M)May 2, 2025 · Left the SEC roster · derived
- P••••• P••••• left F••••• F•••••••• for M••••• G••••• A••••••• I••• (registered 2024-12-06)Mar 24, 2025 · Advisor changed firm · fact
- F•••••• E•••• G•••••• left F••••• F•••••••• for M••••• G••••• A••••••• I••• (registered 2025-02-14)Mar 24, 2025 · Advisor changed firm · fact
- F••••• F•••••••• filed its initial SEC registration (Form ADV)Mar 29, 2022 · 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.
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