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

Financial West Group

Former SEC-registered adviserReno, NevadaCRD 16668SEC 801-57393IAPD
Legal name Financial West Investment Group, Inc.
Latest filing Apr 22, 2019
First filing on the tape Nov 29, 2011 · 36 filings
RAUM
$180,000
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$180,000 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$180,000 as of Mar 30, 2018
Nov 29, 2011$464M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2018
Nov 26, 2012152 then
Employees (5.A)4 as of Mar 30, 2018
Nov 26, 2012152 then
Private funds: no history
RAUM -100% over the last fiscal year-94% a year over threeIARs 145 to 1
Practice profile
derived from the filing of Apr 22, 2019; every figure names its basis
RAUM per advisor
$180,000derivedRAUM 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
$180,000derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-100%derivedbetween the last two annual amendments
Advisor growth, one year
-99%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • is a broker-dealer (6.A.1)
  • 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$180,000100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
Joined, latest
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
    • Gene Charles Valentine · Chairman/Ceo/Presidentcontrol
      since 05/1985 · owns less than 5%
    • Gene Charles Valentine · Shareholdercontrol
      since 03/1994 · owns 75% or more of Paradox Holdings
    • Jacob Michael Doyle · Vice President
      since 08/2017 · owns less than 5%
    • Al Clifton Hodges · Board Member
      since 12/2015 · owns less than 5%
    Entity owners
    • Paradox Holding, Inc. A Nevada Corporation · Shareholder
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory activities · 5 to 2
      Nov 30, 2017 to Mar 30, 2018
    • Financial planning clients · 1-10 to 0
      Nov 30, 2017 to Mar 30, 2018
    • Individual RAUM · unset to 180000.0
      Nov 30, 2017 to Mar 30, 2018
    • Related adviser · true to false
      Nov 30, 2017 to Mar 30, 2018
    • Related insurance company · true to false
      Nov 30, 2017 to Mar 30, 2018
    • Accounts · 3,378 to 1
      Sep 8, 2017 to Nov 10, 2017
    • Advisory employees · 130 to 4
      Sep 8, 2017 to Nov 10, 2017
    • BD registered reps · 145 to 4
      Sep 8, 2017 to Nov 10, 2017
    • Employees · 145 to 4
      Sep 8, 2017 to Nov 10, 2017
    • Insurance-licensed employees · 10 to 0
      Sep 8, 2017 to Nov 10, 2017
    • Financial planning clients · 101-250 to 1-10
      Sep 8, 2017 to Nov 10, 2017
    • State-registered IARs · 145 to 1
      Sep 8, 2017 to Nov 10, 2017
    • Other offices · unset to 1.0
      Sep 8, 2017 to Nov 10, 2017
    • Discretionary RAUM · $644M to $0
      Sep 8, 2017 to Nov 10, 2017
    • Non-discretionary RAUM · $10.2M to $180,000
      Sep 8, 2017 to Nov 10, 2017
    • RAUM · $654M to $180,000
      Sep 8, 2017 to Nov 10, 2017
    • HQ city · WESTLAKE VILLAGE to RENO
      Apr 14, 2017 to Sep 8, 2017
    • HQ state · CA to NV
      Apr 14, 2017 to Sep 8, 2017
    • Accounts · 2,900 to 3,378
      Sep 1, 2016 to Nov 28, 2016
    • Advisory employees · 138 to 130
      Sep 1, 2016 to Nov 28, 2016
    • BD registered reps · 168 to 145
      Sep 1, 2016 to Nov 28, 2016
    • Employees · 168 to 145
      Sep 1, 2016 to Nov 28, 2016
    • State-registered IARs · 168 to 145
      Sep 1, 2016 to Nov 28, 2016
    • Discretionary RAUM · $548M to $644M
      Sep 1, 2016 to Nov 28, 2016
    • Non-discretionary RAUM · $8.1M to $10.2M
      Sep 1, 2016 to Nov 28, 2016
    • RAUM · $556M to $654M
      Sep 1, 2016 to Nov 28, 2016
    • Accounts · 4,106 to 2,900
      Apr 24, 2015 to Dec 9, 2015
    • Discretionary RAUM · $720M to $548M
      Apr 24, 2015 to Dec 9, 2015
    • Non-discretionary RAUM · $10.0M to $8.1M
      Apr 24, 2015 to Dec 9, 2015
    • RAUM · $730M to $556M
      Apr 24, 2015 to Dec 9, 2015
    • Accounts · 3,865 to 4,106
      Sep 3, 2014 to Dec 24, 2014
    • Advisory employees · 125 to 138
      Sep 3, 2014 to Dec 24, 2014
    • Advisory activities · 4 to 5
      Sep 3, 2014 to Dec 24, 2014
    • BD registered reps · 159 to 168
      Sep 3, 2014 to Dec 24, 2014
    • Employees · 159 to 168
      Sep 3, 2014 to Dec 24, 2014
    • Insurance-licensed employees · 7 to 10
      Sep 3, 2014 to Dec 24, 2014
    • State-registered IARs · 159 to 168
      Sep 3, 2014 to Dec 24, 2014
    • Discretionary RAUM · $652M to $720M
      Sep 3, 2014 to Dec 24, 2014
    • Non-discretionary RAUM · $7.6M to $10.0M
      Sep 3, 2014 to Dec 24, 2014
    • RAUM · $660M to $730M
      Sep 3, 2014 to Dec 24, 2014
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    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