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.
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SEC-registered adviser
F•••••••• W••••• G••••• L••
Latest filing Mar 3, 2026
First filing on the tape May 24, 2024 · 3 filings
SEC status approved since Jun 25, 2024
RAUM
$178M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$177M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$44.5M
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
3 filings and snapshots on the tape
RAUM$178M as of Mar 3, 2026
Feb 3, 2025$140M then
HNW client RAUM$41.0M as of Mar 3, 2026
Feb 3, 2025$108M then
State-registered IARs (5.B.3)3 as of Mar 3, 2026
Feb 3, 20252 then
Employees (5.A)3 as of Mar 3, 2026
Feb 3, 20253 then
Private funds: no history
RAUM +27% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $44.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $305,668derivedHNW RAUM over HNW clients
- Average account
- $393,803derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.8%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
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminars, otherreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$136M76%
- High-net-worth individuals$41.0M23%
- Pension and profit-sharing plans$1.4M0.8%
- Individual clients
- 87reported
- HNW clients
- 134reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 452reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••••• E••• G••••Certified Financial Planner | Centerville, Oh | Jan 3, 2019 | 30 y | 2 |
| J••• C•••••• G•••••Certified Financial Planner | Centerville, Oh | Jan 17, 2019 | 23 y | 2 |
| B••• P••• S•••••••Certified Financial Planner | Cincinnati, Oh | Feb 6, 2025 | 15 y | 5 |
| J••••• G•••••• D••••• | Centerville, Oh | Apr 7, 2026 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 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
- B••• P••• S••••••• from V•••• F•••••••• A•••••••• L••Feb 6, 2025 · RIA to RIA
- J••• C•••••• G••••• from A•••••• F•••••••• G••••• L••Jan 17, 2019 · RIA to RIA
- R••••••• E••• G•••• from A•••••• F•••••••• G••••• L••Jan 3, 2019 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from A•••••• F•••••••• G••••• L••Jan 24, 2019 · Oakwood, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• R•••••••• E••• · Managing Member & Chief Compliance Officercontrolsince 11/2018 · owns 50% to 75%
- G•••••• J•••• C•••••• · Membercontrolsince 11/2018 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Centerville, Oh · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Mason, OH2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 3, 2026HNW share of RAUM moved from 77.0% to 23.0% between the annual amendments of 2025-02-03 and 2026-03-03peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 379 to 452Feb 3, 2025 to Mar 3, 2026
- Advisory employees · 2 to 3Feb 3, 2025 to Mar 3, 2026
- HNW clients · 69 to 134Feb 3, 2025 to Mar 3, 2026
- Individual clients · 124 to 87Feb 3, 2025 to Mar 3, 2026
- State-registered IARs · 2 to 3Feb 3, 2025 to Mar 3, 2026
- Discretionary RAUM · $140M to $178MFeb 3, 2025 to Mar 3, 2026
- HNW RAUM · $108M to $41.0MFeb 3, 2025 to Mar 3, 2026
- Individual RAUM · $30.6M to $136MFeb 3, 2025 to Mar 3, 2026
- Pension RAUM · $1.1M to $1.4MFeb 3, 2025 to Mar 3, 2026
- RAUM · $140M to $178MFeb 3, 2025 to Mar 3, 2026
- Accounts · 392 to 379May 24, 2024 to Feb 3, 2025
- HNW clients · 62 to 69May 24, 2024 to Feb 3, 2025
- Individual clients · 112 to 124May 24, 2024 to Feb 3, 2025
- Employees · 2 to 3May 24, 2024 to Feb 3, 2025
- Financial planning clients · 101-250 to 101-250May 24, 2024 to Feb 3, 2025
- Discretionary RAUM · $111M to $140MMay 24, 2024 to Feb 3, 2025
- HNW RAUM · $80.5M to $108MMay 24, 2024 to Feb 3, 2025
- Individual RAUM · $29.4M to $30.6MMay 24, 2024 to Feb 3, 2025
- Pension RAUM · $818,528 to $1.1MMay 24, 2024 to Feb 3, 2025
- RAUM · $111M to $140MMay 24, 2024 to Feb 3, 2025
Signals
1 dated events
- F•••••••• W••••• G••••• L•• filed its initial SEC registration (Form ADV)May 24, 2024 · 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
- Firm profile
- linkedin.com/company/fiduciary-wealth-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- f•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 855-560-7171reportedpublic record, Form ADV, Mar 3, 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
- $44.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026