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

Girard Securities, Inc.

Former SEC-registered adviserSan Diego, CaliforniaCRD 18697SEC 801-61470IAPD
Latest filing Sep 11, 2017
First filing on the tape Feb 16, 2012 · 31 filings
RAUM
$597M
reported, Item 5.F
Discretionary
85%
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
126
112 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$597M as of Mar 31, 2017
Jun 14, 2012$597M then
HNW client RAUM: no history
State-registered IARs (5.B.3)124 as of Mar 31, 2017
Jun 14, 20120 then
Employees (5.A)126 as of Mar 31, 2017
May 21, 201316 then
Private funds: no history
RAUM -7.7% over the last fiscal year+8.8% a year over threeIARs 124 to 124
Practice profile
derived from the filing of Sep 11, 2017; every figure names its basis
RAUM per advisor
$4.8MderivedRAUM 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
$224,528derivedRAUM over accounts (5.F.2.f)
Discretionary
85%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
20.7derived6 offices incl. principal (1.F.5)
RAUM growth, one year
-7.7%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%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 individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • 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)
  • has custody of client securities (9.A.1.b)
  • controlled by a public reporting company (10.A)
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
2,658reported
Financial planning clients
101-250reported
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
  • James David Ballard · Vpcontrol
    since 08/2016 · owns less than 5%
  • John Arthur III Barragan · President/Coocontrol
    since 07/2014 · owns less than 5%
  • Luanne Marie Graham · Advisory Ccocontrol
    since 01/2016 · owns less than 5%
  • Brett Lamar Harrison · Directorcontrol
    since 08/2016 · owns less than 5%
  • Bryan K Jacobsen · B-D Cco, Secretarycontrol
    since 12/2015 · owns less than 5%
  • Shirley Anne Klicman · Vpcontrol
    since 01/2010 · owns less than 5%
  • Gregory Alan Olson · Asst. Secretarycontrol
    since 08/2016 · owns less than 5%
  • Jason Dylan Rogers · Senior Executive Vpcontrol
    since 07/2014 · owns less than 5%
  • Stanley Robert Smiley · Vpcontrol
    since 08/2016 · owns less than 5%
  • Margaret Susan Tietjen · Chief Executive Officer/ Directorcontrol
    since 07/2014 · owns less than 5%
  • Traci Lynn Sherrod · Avp
    since 05/2013 · owns less than 5%
Entity owners
  • Chargers Acquisition LLC · Shareholder
    direct · owns 75% or more
  • Aretec Group, Inc. · Sole Member
    indirect · owns 75% or more of Rcs Capital Holdings, LLC
  • Rcs Capital Holdings, LLC · Holding Company
    indirect · owns 75% or more of Charges Acquisition LLC
Related persons
Schedule D 7.A
Advisers that list Girard Securities, Inc. as a related person
Offices
Schedule D 1.F, the 25 largest
  • Arcadia, CA
  • Mission Viejo, CA
  • Salt Lake City, UT
  • San Diego, CA
  • Southfield, MI
What changed
consecutive filings, newest first
  • Accounts · 3,210 to 2,658
    Feb 21, 2017 to Mar 31, 2017
  • Advisory employees · 121 to 112
    Feb 21, 2017 to Mar 31, 2017
  • BD registered reps · 130 to 126
    Feb 21, 2017 to Mar 31, 2017
  • Employees · 130 to 126
    Feb 21, 2017 to Mar 31, 2017
  • Insurance-licensed employees · 49 to 48
    Feb 21, 2017 to Mar 31, 2017
  • Discretionary RAUM · $556M to $510M
    Feb 21, 2017 to Mar 31, 2017
  • Non-discretionary RAUM · $90.8M to $86.7M
    Feb 21, 2017 to Mar 31, 2017
  • RAUM · $646M to $597M
    Feb 21, 2017 to Mar 31, 2017
  • Related bank · true to false
    Feb 21, 2017 to Mar 31, 2017
  • Assets in custody · unset to 0.0
    Aug 11, 2016 to Oct 5, 2016
  • Accounts · 2,590 to 3,210
    Dec 14, 2015 to Mar 30, 2016
  • Advisory employees · 4 to 121
    Dec 14, 2015 to Mar 30, 2016
  • BD registered reps · 23 to 130
    Dec 14, 2015 to Mar 30, 2016
  • Employees · 30 to 130
    Dec 14, 2015 to Mar 30, 2016
  • Insurance-licensed employees · 0 to 49
    Dec 14, 2015 to Mar 30, 2016
  • Financial planning clients · 1-10 to 101-250
    Dec 14, 2015 to Mar 30, 2016
  • State-registered IARs · 0 to 124
    Dec 14, 2015 to Mar 30, 2016
  • Discretionary RAUM · $563M to $556M
    Dec 14, 2015 to Mar 30, 2016
  • Non-discretionary RAUM · $89.6M to $90.8M
    Dec 14, 2015 to Mar 30, 2016
  • RAUM · $652M to $646M
    Dec 14, 2015 to Mar 30, 2016
  • Accounts · 3,219 to 2,590
    Apr 21, 2015 to May 29, 2015
  • Employees · 23 to 30
    Apr 21, 2015 to May 29, 2015
  • Discretionary RAUM · $518M to $563M
    Apr 21, 2015 to May 29, 2015
  • Non-discretionary RAUM · $124M to $89.6M
    Apr 21, 2015 to May 29, 2015
  • RAUM · $642M to $652M
    Apr 21, 2015 to May 29, 2015
  • Related bank · false to true
    Apr 2, 2015 to Apr 21, 2015
  • Related broker-dealer · false to true
    Oct 23, 2014 to Apr 2, 2015
  • Related insurance company · true to false
    Oct 23, 2014 to Apr 2, 2015
  • Accounts · 2,010 to 3,219
    Sep 12, 2013 to Apr 11, 2014
  • Advisory employees · 6 to 4
    Sep 12, 2013 to Apr 11, 2014
  • BD registered reps · 13 to 23
    Sep 12, 2013 to Apr 11, 2014
  • Employees · 16 to 23
    Sep 12, 2013 to Apr 11, 2014
  • Discretionary RAUM · $376M to $518M
    Sep 12, 2013 to Apr 11, 2014
  • Non-discretionary RAUM · $87.9M to $124M
    Sep 12, 2013 to Apr 11, 2014
  • RAUM · $464M to $642M
    Sep 12, 2013 to Apr 11, 2014
  • Employees · 30 to 16
    Apr 2, 2013 to May 21, 2013
  • Accounts · 2,637 to 2,010
    Aug 30, 2012 to Mar 26, 2013
  • Advisory employees · unset to 6.0
    Aug 30, 2012 to Mar 26, 2013
  • BD registered reps · unset to 13.0
    Aug 30, 2012 to Mar 26, 2013
  • Employees · unset to 30.0
    Aug 30, 2012 to Mar 26, 2013
Signals
1 dated events
  • 3 advisors left United Capital Financial Advisors (Dallas, TX) for Girard Securities, Inc. within 14 days
    Oct 13, 2023 · Team lift-out · derived
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
Across the graphs

Girard Securities, Inc. is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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