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

Forta Financial Group, Inc.

Former SEC-registered adviserGreenwood Village, ColoradoCRD 28784SEC 801-113100IAPD
Latest filing Oct 5, 2021
First filing on the tape Feb 28, 2012 · 23 filings
RAUM
$172M
reported, Item 5.F
Discretionary
34%
of RAUM
Private clients
93%
$160M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
25
20 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$172M as of Dec 23, 2020
Feb 28, 2012$47.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)20 as of Dec 23, 2020
Feb 28, 20120 then
Employees (5.A)25 as of Dec 23, 2020
Apr 1, 201924 then
Private funds: no history
RAUM +44% over the last fiscal yearIARs 15 to 20
Practice profile
derived from the filing of Oct 5, 2021; every figure names its basis
RAUM per advisor
$8.6MderivedRAUM 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
$133,605derivedRAUM over accounts (5.F.2.f)
Discretionary
34%derivedof RAUM
Institutional
6.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
4.0derived5 offices incl. principal (1.F.5)
RAUM growth, one year
+44%derivedbetween the last two annual amendments
Advisor growth, one year
+33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
Wrap fee program
$21.4MreportedItem 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 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$160M93%
  • Pension and profit-sharing plans$11.8M6.9%
Individual clients
1,283reported
HNW clients
n/areported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
1,284reported
Financial planning clients
1-10reported
Wrap fee programs
$21.4M sponsored, $0 managedreported
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
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
  • Anthony Joseph Campen · Chief Compliance Officer, Cropcontrol
    since 11/2000 · owns less than 5%
  • Jill Ann Jaglowski · Ceo, Directorcontrol
    since 09/2021 · owns less than 5%
Entity owners
  • Financial Gravity Companies · Owner
    direct · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Loveland, CO2 employees
  • Kalamazoo, MI2 employees
  • Allen, TX1 employees
  • San Diego, CA1 employees
What changed
consecutive filings, newest first
  • Accounts · 965 to 1,284
    Jul 30, 2020 to Dec 23, 2020
  • Advisory employees · 15 to 20
    Jul 30, 2020 to Dec 23, 2020
  • BD registered reps · 14 to 12
    Jul 30, 2020 to Dec 23, 2020
  • Individual clients · 1,000 to 1,283
    Jul 30, 2020 to Dec 23, 2020
  • Pension plan clients · unset to 1.0
    Jul 30, 2020 to Dec 23, 2020
  • Employees · 24 to 25
    Jul 30, 2020 to Dec 23, 2020
  • State-registered IARs · 15 to 20
    Jul 30, 2020 to Dec 23, 2020
  • Other offices · 5 to 4
    Jul 30, 2020 to Dec 23, 2020
  • Discretionary RAUM · $19.1M to $58.6M
    Jul 30, 2020 to Dec 23, 2020
  • Individual RAUM · $109M to $160M
    Jul 30, 2020 to Dec 23, 2020
  • Non-discretionary RAUM · $99.8M to $113M
    Jul 30, 2020 to Dec 23, 2020
  • Pension RAUM · $9.7M to $11.8M
    Jul 30, 2020 to Dec 23, 2020
  • RAUM · $119M to $172M
    Jul 30, 2020 to Dec 23, 2020
  • Wrap assets (sponsor) · $22.5M to $21.4M
    Jul 30, 2020 to Dec 23, 2020
  • Business name · PRESIDENTIAL BROKERAGE, INC. to FORTA FINANCIAL GROUP, INC.
    Feb 18, 2020 to Jun 1, 2020
  • Other offices · 4 to 5
    Feb 18, 2020 to Jun 1, 2020
  • Legal name · PRESIDENTIAL BROKERAGE, INC. to FORTA FINANCIAL GROUP, INC.
    Dec 26, 2019 to Feb 18, 2020
  • Accounts · 1,001 to 965
    Nov 18, 2019 to Dec 26, 2019
  • BD registered reps · 15 to 14
    Nov 18, 2019 to Dec 26, 2019
  • Insurance-licensed employees · 0 to 2
    Nov 18, 2019 to Dec 26, 2019
  • Discretionary RAUM · $12.2M to $19.1M
    Nov 18, 2019 to Dec 26, 2019
  • Individual RAUM · $96.3M to $109M
    Nov 18, 2019 to Dec 26, 2019
  • Non-discretionary RAUM · $92.5M to $99.8M
    Nov 18, 2019 to Dec 26, 2019
  • Pension RAUM · $8.4M to $9.7M
    Nov 18, 2019 to Dec 26, 2019
  • RAUM · $105M to $119M
    Nov 18, 2019 to Dec 26, 2019
  • Accounts · 992 to 1,001
    Dec 27, 2018 to Apr 1, 2019
  • Individual clients · 990 to 1,000
    Dec 27, 2018 to Apr 1, 2019
  • Other offices · 2 to 4
    Dec 27, 2018 to Apr 1, 2019
  • Discretionary RAUM · $9.9M to $12.2M
    Dec 27, 2018 to Apr 1, 2019
  • Individual RAUM · $96.8M to $96.3M
    Dec 27, 2018 to Apr 1, 2019
  • Non-discretionary RAUM · $91.7M to $92.5M
    Dec 27, 2018 to Apr 1, 2019
  • Pension RAUM · $4.8M to $8.4M
    Dec 27, 2018 to Apr 1, 2019
  • RAUM · $102M to $105M
    Dec 27, 2018 to Apr 1, 2019
  • Wrap assets (sponsor) · $17.0M to $22.5M
    Dec 27, 2018 to Apr 1, 2019
  • Accounts · 691 to 992
    Jun 18, 2012 to Mar 30, 2018
  • Advisory employees · unset to 15.0
    Jun 18, 2012 to Mar 30, 2018
  • Advisory activities · 3 to 4
    Jun 18, 2012 to Mar 30, 2018
  • BD registered reps · unset to 15.0
    Jun 18, 2012 to Mar 30, 2018
  • Individual clients · unset to 990.0
    Jun 18, 2012 to Mar 30, 2018
  • Employees · unset to 24.0
    Jun 18, 2012 to Mar 30, 2018
Signals
8 dated events
  • Jill Ann Jaglowski (Ceo, Director) appeared on Schedule A of Forta Financial Group, Inc.
    Oct 5, 2021 · Control person joined · fact
  • Gary Joel Nemer (Director) no longer on Schedule A of Forta Financial Group, Inc. (listed 2021-03-09, absent 2021-10-05)
    Oct 5, 2021 · Control person left · inference
  • Scott Christopher Winters (Director) no longer on Schedule A of Forta Financial Group, Inc. (listed 2021-03-09, absent 2021-10-05)
    Oct 5, 2021 · Control person left · inference
  • Brad Allen Dowell (Finop) no longer on Schedule A of Forta Financial Group, Inc. (listed 2020-06-30, absent 2020-07-30)
    Jul 30, 2020 · Control person left · inference
  • Daniel George Lempe (Shareholder) no longer on Schedule A of Forta Financial Group, Inc. (listed 2020-02-18, absent 2020-06-01)
    Jun 1, 2020 · Control person left · inference
  • William Robert Nelson (Shareholder) no longer on Schedule A of Forta Financial Group, Inc. (listed 2020-02-18, absent 2020-06-01)
    Jun 1, 2020 · Control person left · inference
  • Forta Financial Group, Inc. reported 15 state-registered advisory representatives, up from 0 (2012-06-18 to 2018-03-30)
    Mar 30, 2018 · Advisor headcount change · derived
  • Presidential Brokerage, Inc. filed its initial SEC registration (Form ADV)
    Mar 30, 2018 · 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