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.
SEC-registered adviser
Financial Concepts
Legal name Giraffes, Inc.
Latest filing Jun 8, 2026
First filing on the tape Mar 16, 2012 · 34 filings
SEC status approved since May 27, 2011
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$1.1B individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$272M
derived; firm RAUM over IAPD count
Employees
19
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$1.1B as of Jun 8, 2026
Mar 16, 2012$92.4M then
HNW client RAUM$612M as of Jun 8, 2026
Mar 19, 2018$149M then
State-registered IARs (5.B.3)4 as of Jun 8, 2026
Mar 16, 20120 then
Employees (5.A)19 as of Jun 8, 2026
Mar 25, 20133 then
Private funds: no history
RAUM +22% over the last fiscal year+19% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jun 8, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $272MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 630derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $207,880derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -21%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Financial planning clients
- 3,000reportedItem 5.H
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$612M56%
- Individuals$439M40%
- Pension and profit-sharing plans$35.8M3.3%
- Charitable organizations$770,0090.1%
- Individual clients
- 2,208reported
- HNW clients
- 310reported
- Pension plan clients
- 15reported
- Charitable clients
- 4reported
- Accounts
- 5,235reported
- Financial planning clients
- 3,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Scott Todd Ferguson | Columbus, Ms | Jan 18, 2023 | 18 y | 1 |
| Sawyer Rias Brown | Columbus, Ms | Oct 2, 2023 | 12 y | 0 |
| Felice Rosanne Olmos | Columbus, Ms | Oct 25, 2023 | 12 y | 0 |
| Kristen Nicole Kunz | Columbus, Ms | May 2, 2024 | 12 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Scott Todd Ferguson from National Planning Corporation ("Npc Of America" In Fl & Ny)Jan 18, 2023 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Todd Scott Ferguson · Ceocontrolsince 09/2020 · owns 75% or more
- Scott Rhonda Ferguson · Senior Leadership Partnersince 09/2020 · owns less than 5%
- Rosanne Felice Olmos · Ccosince 05/2025 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Columbus, Ms · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Jun 8, 2026private clients per advisor of 629.5 against a peer median of 64.5 (1151 comparable advisers, 99.0th percentile, 13.8 robust deviations)peers: independent wealth managers, $1B to $5B (1,151) · 99% percentile
- clients down average size upCombination · filing Feb 2, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $890,016,414 to $1,088,251,596, advisors 4 to 4, private clients 3197 to 2518, offices 0 to 0 (2025-02-19 to 2026-02-02)peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 5,341 to 5,235May 2, 2025 to Feb 2, 2026
- Charity clients · 1 to 4May 2, 2025 to Feb 2, 2026
- HNW clients · 223 to 310May 2, 2025 to Feb 2, 2026
- Individual clients · 2,974 to 2,208May 2, 2025 to Feb 2, 2026
- Pension plan clients · 14 to 15May 2, 2025 to Feb 2, 2026
- Employees · 14 to 19May 2, 2025 to Feb 2, 2026
- Discretionary RAUM · $890M to $1.1BMay 2, 2025 to Feb 2, 2026
- HNW RAUM · $386M to $612MMay 2, 2025 to Feb 2, 2026
- Individual RAUM · $479M to $439MMay 2, 2025 to Feb 2, 2026
- Pension RAUM · $25.5M to $35.8MMay 2, 2025 to Feb 2, 2026
- RAUM · $890M to $1.1BMay 2, 2025 to Feb 2, 2026
- Financial planning clients · More than 500 to More than 500Feb 19, 2025 to May 2, 2025
- Accounts · 4,829 to 5,341Nov 8, 2024 to Feb 19, 2025
- Charity clients · unset to 1.0Nov 8, 2024 to Feb 19, 2025
- HNW clients · 174 to 223Nov 8, 2024 to Feb 19, 2025
- Individual clients · 2,980 to 2,974Nov 8, 2024 to Feb 19, 2025
- Pension plan clients · 9 to 14Nov 8, 2024 to Feb 19, 2025
- Discretionary RAUM · $760M to $890MNov 8, 2024 to Feb 19, 2025
- HNW RAUM · $294M to $386MNov 8, 2024 to Feb 19, 2025
- Individual RAUM · $459M to $479MNov 8, 2024 to Feb 19, 2025
- Pension RAUM · $7.0M to $25.5MNov 8, 2024 to Feb 19, 2025
- RAUM · $760M to $890MNov 8, 2024 to Feb 19, 2025
- Accounts · 5,101 to 4,829Jun 20, 2023 to Mar 5, 2024
- Advisory employees · 2 to 3Jun 20, 2023 to Mar 5, 2024
- HNW clients · 126 to 174Jun 20, 2023 to Mar 5, 2024
- Individual clients · 2,880 to 2,980Jun 20, 2023 to Mar 5, 2024
- Pension plan clients · 6 to 9Jun 20, 2023 to Mar 5, 2024
- Employees · 11 to 14Jun 20, 2023 to Mar 5, 2024
- State-registered IARs · 2 to 4Jun 20, 2023 to Mar 5, 2024
- Discretionary RAUM · $647M to $760MJun 20, 2023 to Mar 5, 2024
- HNW RAUM · $209M to $294MJun 20, 2023 to Mar 5, 2024
- Individual RAUM · $432M to $459MJun 20, 2023 to Mar 5, 2024
- Pension RAUM · $4.6M to $7.0MJun 20, 2023 to Mar 5, 2024
- RAUM · $647M to $760MJun 20, 2023 to Mar 5, 2024
- Accounts · 5,023 to 5,101May 12, 2022 to Feb 17, 2023
- HNW clients · 214 to 126May 12, 2022 to Feb 17, 2023
- Individual clients · 1,953 to 2,880May 12, 2022 to Feb 17, 2023
- Pension plan clients · 5 to 6May 12, 2022 to Feb 17, 2023
- Employees · 10 to 11May 12, 2022 to Feb 17, 2023
- Discretionary RAUM · $794M to $647MMay 12, 2022 to Feb 17, 2023
Signals
1 dated events
- Financial Concepts reported RAUM $488.4M, up 163% from $185.9M (2018-01-09 to 2018-03-19)Mar 19, 2018 · RAUM change · derived
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
- info@fincon.netreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 662-327-1480reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 662-327-9607reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/financial-concepts---mississippireportedpublic record, Form ADV, Sep 18, 2026
- Website
- fincon.netreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 662-327-1480reportedpublic record, Form ADV, Jun 8, 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
- $272Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026