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

Gregory Ricks LLC Dba Gregory Ricks & Associates

Former SEC-registered adviserMetairie, LouisianaCRD 159495SEC 801-107520IAPD
Legal name Gregory Ricks LLC
Latest filing Jul 26, 2017
First filing on the tape Mar 22, 2016 · 10 filings
RAUM
$124M
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
12
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$124M as of Jul 26, 2017
Mar 22, 2016$102M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Jul 26, 2017
Mar 22, 20163 then
Employees (5.A)12 as of Jul 26, 2017
Mar 22, 201612 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 26, 2017; every figure names its basis
RAUM per advisor
$41.4MderivedRAUM 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
$29,114derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 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, fixed fees, subscription, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisers, publications, educational seminarsreportedItem 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
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
4,265reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Paul Gregory Ricks · Managing Member/Chief Compliance Officercontrol
        since 04/2012 · owns 75% or more
      Entity owners
      • Stacey Blanchard Ricks · Chief Financial Officer
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • Gregory Ricks & Associates, Inc.
        real estaten
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 4 to 3
        Mar 15, 2017 to Jul 26, 2017
      • Employees · 13 to 12
        Mar 15, 2017 to Jul 26, 2017
      • State-registered IARs · 4 to 3
        Mar 15, 2017 to Jul 26, 2017
      • Accounts · 3,352 to 4,265
        Feb 14, 2017 to Mar 1, 2017
      • Discretionary RAUM · $102M to $124M
        Feb 14, 2017 to Mar 1, 2017
      • Non-discretionary RAUM · $205,123 to $0
        Feb 14, 2017 to Mar 1, 2017
      • RAUM · $102M to $124M
        Feb 14, 2017 to Mar 1, 2017
      • Advisory activities · 3 to 4
        Jul 13, 2016 to Aug 12, 2016
      • Advisory employees · 3 to 4
        Apr 11, 2016 to May 6, 2016
      • Employees · 12 to 13
        Apr 11, 2016 to May 6, 2016
      • State-registered IARs · 3 to 4
        Apr 11, 2016 to May 6, 2016
      Signals
      1 dated events
      • Gregory Ricks Llc Dba Gregory Ricks & Associates filed its initial SEC registration (Form ADV)
        Mar 22, 2016 · 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