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

Rg Capital

Former SEC-registered adviserScottsdale, ArizonaCRD 221520SEC 801-117926IAPD
Legal name Bhf Rg Capital Inc.
Latest filing Nov 1, 2021
First filing on the tape Dec 10, 2019 · 7 filings
RAUM
$155M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$155M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$155M as of May 4, 2021
Jan 28, 2020$121M then
HNW client RAUM$91.2M as of May 4, 2021
Jan 28, 2020$71.0M then
State-registered IARs (5.B.3)2 as of May 4, 2021
Jan 28, 20202 then
Employees (5.A)4 as of May 4, 2021
Jan 28, 20204 then
Private funds: no history
RAUM +28% over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of Nov 1, 2021; every figure names its basis
RAUM per advisor
$155MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
348derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$939,742derivedHNW RAUM over HNW clients
Average account
$268,696derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+28%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+118%derived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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
  • 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
  • High-net-worth individuals$91.2M59%
  • Individuals$63.3M41%
Individual clients
251reported
HNW clients
97reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
575reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • G Kelly Richards · President / Chief Compliance Officercontrol
    since 04/2015 · 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 employees · 2 to 1
    May 4, 2021 to Nov 1, 2021
  • Employees · 4 to 2
    May 4, 2021 to Nov 1, 2021
  • Insurance-licensed employees · 2 to 1
    May 4, 2021 to Nov 1, 2021
  • State-registered IARs · 2 to 1
    May 4, 2021 to Nov 1, 2021
  • Accounts · 506 to 575
    Mar 11, 2021 to May 4, 2021
  • HNW clients · 45 to 97
    Mar 11, 2021 to May 4, 2021
  • Individual clients · 115 to 251
    Mar 11, 2021 to May 4, 2021
  • Discretionary RAUM · $121M to $155M
    Mar 11, 2021 to May 4, 2021
  • HNW RAUM · $71.0M to $91.2M
    Mar 11, 2021 to May 4, 2021
  • Individual RAUM · $50.0M to $63.3M
    Mar 11, 2021 to May 4, 2021
  • RAUM · $121M to $155M
    Mar 11, 2021 to May 4, 2021
  • Individual clients · 461 to 115
    Dec 10, 2019 to Jan 28, 2020
Signals
2 dated events
  • Roger Richard Oelze (Chief Compliance Officer) no longer on Schedule A of Rg Capital (listed 2021-05-04, absent 2021-11-01)
    Nov 1, 2021 · Control person left · inference
  • Rg Capital filed its initial SEC registration (Form ADV)
    Dec 10, 2019 · 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