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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
R•••••• I••••••••• G••••• I••
Latest filing Jun 21, 2026
First filing on the tape Jan 4, 2021 · 17 filings
SEC status approved since Feb 4, 2021
RAUM
$230M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$203M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$57.6M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$230M as of Jun 21, 2026
Feb 26, 2021$103M then
HNW client RAUM$161M as of Jun 21, 2026
Feb 26, 2021$78.1M then
State-registered IARs (5.B.3)0 as of Jun 21, 2026
Feb 26, 20212 then
Employees (5.A)3 as of Jun 21, 2026
Feb 26, 20212 then
Private funds: no history
RAUM +31% over the last fiscal year+25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 21, 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
- RAUM per advisor
- $57.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 188derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $439,053derivedHNW RAUM over HNW clients
- Average account
- $299,869derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +86%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $5.5MreportedItem 5.I
- 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 an insurance broker or agent (6.A.6)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$161M70%
- Individuals$41.5M18%
- Charitable organizations$21.7M9.4%
- Pension and profit-sharing plans$4.3M1.9%
- Corporations and businesses$1.7M0.8%
- Individual clients
- 386reported
- HNW clients
- 367reported
- Pension plan clients
- 3reported
- Charitable clients
- 2reported
- Accounts
- 768reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- Z•••••• A••• M••••• from R•• C•••••• M••••••• L••Dec 26, 2025 · Affiliated broker-dealer or bank to independent RIA
- P•••••• M•••••• J••••••••• from L•• F•••••••• L••Jun 21, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• D•••••• R••••• · President & Chief Compliance Officercontrolsince 06/2005 · owns 75% or more
Related persons
Schedule D 7.A
- G••••• S•••• A•••• M•••••••••investment advisernRAUM $218M
- Ascentis Independent Advisors, LLCinvestment advisernRAUM $2.1B
- G••••• S•••• W••••• M••••••••• L••investment advisernRAUM $2.2B
Advisers that list R•••••• I••••••••• G••••• I•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fort Bragg, Ca · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Powell, WY1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- client count surgeChange between filings · filing Mar 17, 2026individual and HNW clients (Item 5.D) moved from 405.0 to 753.0 (+86.0%) between the annual amendments of 2025-02-27 and 2026-03-17; the peer median change was +3.0% (3309 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 755 to 768Aug 11, 2025 to Mar 17, 2026
- Advisory activities · 2 to 1Aug 11, 2025 to Mar 17, 2026
- Corporate clients · 4 to 5Aug 11, 2025 to Mar 17, 2026
- HNW clients · 172 to 367Aug 11, 2025 to Mar 17, 2026
- Individual clients · 233 to 386Aug 11, 2025 to Mar 17, 2026
- Financial planning clients · 251-500 to Aug 11, 2025 to Mar 17, 2026
- Discretionary RAUM · $176M to $230MAug 11, 2025 to Mar 17, 2026
- HNW RAUM · $131M to $161MAug 11, 2025 to Mar 17, 2026
- Individual RAUM · $37.7M to $41.5MAug 11, 2025 to Mar 17, 2026
- Pension RAUM · $3.6M to $4.3MAug 11, 2025 to Mar 17, 2026
- RAUM · $176M to $230MAug 11, 2025 to Mar 17, 2026
- Financial planning clients · 251-500 to 251-500Feb 27, 2025 to Jun 6, 2025
- Accounts · 683 to 755Oct 2, 2024 to Feb 27, 2025
- BD registered reps · 3 to 2Oct 2, 2024 to Feb 27, 2025
- Charity clients · 1 to 2Oct 2, 2024 to Feb 27, 2025
- Corporate clients · 3 to 4Oct 2, 2024 to Feb 27, 2025
- HNW clients · 322 to 172Oct 2, 2024 to Feb 27, 2025
- Individual clients · 354 to 233Oct 2, 2024 to Feb 27, 2025
- Employees · 5 to 3Oct 2, 2024 to Feb 27, 2025
- Insurance-licensed employees · 2 to 0Oct 2, 2024 to Feb 27, 2025
- State-registered IARs · 3 to 0Oct 2, 2024 to Feb 27, 2025
- Discretionary RAUM · $139M to $176MOct 2, 2024 to Feb 27, 2025
- HNW RAUM · $103M to $131MOct 2, 2024 to Feb 27, 2025
- Individual RAUM · $31.5M to $37.7MOct 2, 2024 to Feb 27, 2025
- Pension RAUM · $2.7M to $3.6MOct 2, 2024 to Feb 27, 2025
- RAUM · $139M to $176MOct 2, 2024 to Feb 27, 2025
- Accounts · 652 to 683Feb 26, 2024 to Mar 5, 2024
- Advisory employees · 2 to 3Feb 26, 2024 to Mar 5, 2024
- BD registered reps · 2 to 3Feb 26, 2024 to Mar 5, 2024
- Corporate clients · 4 to 3Feb 26, 2024 to Mar 5, 2024
- HNW clients · 306 to 322Feb 26, 2024 to Mar 5, 2024
- Individual clients · 337 to 354Feb 26, 2024 to Mar 5, 2024
- Pension plan clients · 4 to 3Feb 26, 2024 to Mar 5, 2024
- Employees · 4 to 5Feb 26, 2024 to Mar 5, 2024
- State-registered IARs · 2 to 3Feb 26, 2024 to Mar 5, 2024
- Discretionary RAUM · $117M to $139MFeb 26, 2024 to Mar 5, 2024
- HNW RAUM · $85.1M to $103MFeb 26, 2024 to Mar 5, 2024
- Individual RAUM · $28.4M to $31.5MFeb 26, 2024 to Mar 5, 2024
- Non-discretionary RAUM · $450,107 to $0Feb 26, 2024 to Mar 5, 2024
- Pension RAUM · $2.0M to $2.7MFeb 26, 2024 to Mar 5, 2024
Signals
1 dated events
- R•••••• I••••••••• G••••• I•• filed its initial SEC registration (Form ADV)Jan 4, 2021 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 707-964-9700reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 707-964-9703reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 707-964-9700reportedpublic record, Form ADV, Jun 21, 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
- $57.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026