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••• T•••••• F•••••••• M••••••••• G•••• L••
Latest filing Mar 3, 2026
First filing on the tape Jul 7, 2020 · 13 filings
SEC status approved since Aug 7, 2020
RAUM
$256M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$255M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$51.2M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$256M as of Mar 3, 2026
Mar 25, 2021$164M then
HNW client RAUM$89.1M as of Mar 3, 2026
Mar 25, 2021$33.4M then
State-registered IARs (5.B.3)5 as of Mar 3, 2026
Mar 25, 20215 then
Employees (5.A)5 as of Mar 3, 2026
Mar 25, 20215 then
Private funds: no history
RAUM +22% over the last fiscal year+16% a year over threeIARs 5 to 5
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
- $51.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 208derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $245,665derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.3%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$166M65%
- High-net-worth individuals$89.1M35%
- Corporations and businesses$592,1500.2%
- Charitable organizations$84,2000.0%
- Individual clients
- 992reported
- HNW clients
- 47reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,042reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• G••• B••• I• | West Des Moines, Ia | Aug 11, 2020 | 26 y | 0 |
| J••• A• J•••••• | West Des Moines, Ia | Aug 11, 2020 | 14 y | 1 |
| H•••••• E••••• M•••••• | West Des Moines, Ia | Aug 11, 2020 | 35 y | 5 |
| G•••••• S•••• B••••••••Chartered Financial Consultant | West Des Moines, Ia | Aug 12, 2020 | 17 y | 1 |
| S•••• N••••• B••••••• | West Des Moines, Ia | Nov 18, 2020 | 15 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
- G•••••• S•••• B•••••••• from N••••••••• M••••• I••••••••• S•••••••••Aug 12, 2020 · Other
- H•••••• E••••• M•••••• from B•••••••• L••Aug 11, 2020 · RIA to a newly registered adviser
- J••• A• J•••••• from E••••• J••••Aug 11, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• G••••••• S•••• · Member/ Chief Compliance Officercontrolsince 01/2020 · owns 25% to 50%
- B••• I•• D•••••• G••• · Membercontrolsince 01/2020 · owns 25% to 50%
- J••••••• J•••• A• · Membercontrolsince 01/2020 · owns 25% to 50%
- M••••••• H••••••• E••••• · Membercontrolsince 01/2020 · 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 |
|---|---|---|---|---|---|
| West Des Moines, Ia · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Medford, OR1 employees
What changed
consecutive filings, newest first
- Accounts · 1,056 to 1,042Mar 7, 2025 to Mar 3, 2026
- HNW clients · 37 to 47Mar 7, 2025 to Mar 3, 2026
- Individual clients · 1,016 to 992Mar 7, 2025 to Mar 3, 2026
- Discretionary RAUM · $210M to $256MMar 7, 2025 to Mar 3, 2026
- HNW RAUM · $57.0M to $89.1MMar 7, 2025 to Mar 3, 2026
- Individual RAUM · $153M to $166MMar 7, 2025 to Mar 3, 2026
- RAUM · $210M to $256MMar 7, 2025 to Mar 3, 2026
- Financial planning clients · 0 to 0Mar 4, 2025 to Mar 7, 2025
- Accounts · 1,044 to 1,056Mar 28, 2024 to Mar 4, 2025
- HNW clients · 21 to 37Mar 28, 2024 to Mar 4, 2025
- Individual clients · 1,020 to 1,016Mar 28, 2024 to Mar 4, 2025
- Discretionary RAUM · $181M to $210MMar 28, 2024 to Mar 4, 2025
- HNW RAUM · $32.9M to $57.0MMar 28, 2024 to Mar 4, 2025
- Individual RAUM · $148M to $153MMar 28, 2024 to Mar 4, 2025
- RAUM · $181M to $210MMar 28, 2024 to Mar 4, 2025
- Wrap assets (manager) · 0.0 to unsetMar 28, 2024 to Mar 4, 2025
- Wrap assets (sponsor) · 0.0 to unsetMar 28, 2024 to Mar 4, 2025
- Accounts · 1,021 to 1,044Jan 4, 2024 to Mar 28, 2024
- HNW clients · 18 to 21Jan 4, 2024 to Mar 28, 2024
- Individual clients · 1,003 to 1,020Jan 4, 2024 to Mar 28, 2024
- Discretionary RAUM · $164M to $181MJan 4, 2024 to Mar 28, 2024
- HNW RAUM · $26.9M to $32.9MJan 4, 2024 to Mar 28, 2024
- Individual RAUM · $138M to $148MJan 4, 2024 to Mar 28, 2024
- RAUM · $164M to $181MJan 4, 2024 to Mar 28, 2024
- Other offices · 0 to 1Mar 22, 2023 to Jun 8, 2023
- Accounts · 976 to 1,021Dec 1, 2022 to Mar 22, 2023
- Charity clients · 2.0 to unsetDec 1, 2022 to Mar 22, 2023
- HNW clients · 21 to 18Dec 1, 2022 to Mar 22, 2023
- Individual clients · 953 to 1,003Dec 1, 2022 to Mar 22, 2023
- Discretionary RAUM · $177M to $164MDec 1, 2022 to Mar 22, 2023
- HNW RAUM · $32.7M to $26.9MDec 1, 2022 to Mar 22, 2023
- Individual RAUM · $144M to $138MDec 1, 2022 to Mar 22, 2023
- RAUM · $177M to $164MDec 1, 2022 to Mar 22, 2023
- Accounts · 1,155 to 976Mar 25, 2021 to Feb 6, 2022
- Advisory employees · 4 to 5Mar 25, 2021 to Feb 6, 2022
- BD registered reps · 4 to 5Mar 25, 2021 to Feb 6, 2022
- Charity clients · unset to 2.0Mar 25, 2021 to Feb 6, 2022
- HNW clients · 26 to 21Mar 25, 2021 to Feb 6, 2022
- Individual clients · 1,129 to 953Mar 25, 2021 to Feb 6, 2022
- Discretionary RAUM · $164M to $177MMar 25, 2021 to Feb 6, 2022
Signals
1 dated events
- F••• T•••••• F•••••••• M••••••••• G•••• L•• filed its initial SEC registration (Form ADV)Jul 7, 2020 · 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
- 515-226-3483reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 515-223-7483reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 515-223-7487reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- f••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 515-223-7487reportedpublic record, Form ADV, Mar 3, 2026
- Contact form
- f••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- f••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $51.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026