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•••• G•••••
Legal name F•••• G••••• ••• L••••••
Latest filing Jun 30, 2026
First filing on the tape Apr 9, 2021 · 7 filings
SEC status approved since May 12, 2021
RAUM
$26.0M
reported, Item 5.F
Discretionary
55%
of RAUM
Private clients
55%
$14.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$26.0M as of Jun 30, 2026
Jul 29, 2022$40.4M then
HNW client RAUM$6.3M as of Jun 30, 2026
Jul 29, 2022$17.9M then
State-registered IARs (5.B.3)0 as of Jun 30, 2026
Jul 29, 20220 then
Employees (5.A)3 as of Jun 30, 2026
Jul 29, 20224 then
Private funds1 as of Jun 30, 2026
Jul 29, 20221 then
RAUM +22% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $243,591derivedHNW RAUM over HNW clients
- Average account
- $34,894derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 55%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -14%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.8%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
- Pooled investment vehicles$11.6M45%
- Individuals$8.0M31%
- High-net-worth individuals$6.3M24%
- Investment companies$29,0810.1%
- Individual clients
- 718reported
- HNW clients
- 26reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 746reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.55 fund_share=0.45 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G••••• F•••••• F••• S•• A• S••••••••• P•••••••• O• F• C•••••• S•• | Hedge Fund | $11.3M | 85 | Jul 29, 2022 |
Owners and control persons
Schedule A and B, latest filing
- K•••••• N••••• · Chief Compliance Officer And Directorcontrolsince 01/2021 · owns less than 5%
- M••••• D••••• · Director And Indirect Ownercontrolsince 10/1998 · owns less than 5%
- P•••• R••••• · Directorcontrolsince 05/2022 · owns less than 5%
- M••••• D••••• · Director And Indirect Ownercontrolsince 10/1998 · owns 50% to 75% of F•••• G••••• S••••••••• P••• L••
- S•••••• S•••••• · Indirect Ownersince 10/1998 · owns 25% to 50% of F•••• G••••• S••••••••• P••• L••
Entity owners
- F•••• G••••• S••••••••• P••• L•• · Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- F• C•••••• M••••••••• L•••investment advisern
- F•••• G••••• F•••••• P••• L•••investment advisern
- F•••• G••••• S••••••••• P••• L•••broker-dealery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 634 to 746Jun 30, 2025 to Jun 30, 2026
- HNW clients · 27 to 26Jun 30, 2025 to Jun 30, 2026
- Individual clients · 605 to 718Jun 30, 2025 to Jun 30, 2026
- Discretionary RAUM · $7.9M to $14.4MJun 30, 2025 to Jun 30, 2026
- HNW RAUM · $2.8M to $6.3MJun 30, 2025 to Jun 30, 2026
- Individual RAUM · $4.5M to $8.0MJun 30, 2025 to Jun 30, 2026
- Non-discretionary RAUM · $9.4M to $11.6MJun 30, 2025 to Jun 30, 2026
- Pooled vehicle RAUM · $9.4M to $11.6MJun 30, 2025 to Jun 30, 2026
- RAUM · $17.2M to $26.0MJun 30, 2025 to Jun 30, 2026
- Accounts · 590 to 634Jun 27, 2024 to Jun 30, 2025
- HNW clients · 39 to 27Jun 27, 2024 to Jun 30, 2025
- Individual clients · 549 to 605Jun 27, 2024 to Jun 30, 2025
- Pooled vehicle clients · 2 to 1Jun 27, 2024 to Jun 30, 2025
- Employees · 4 to 3Jun 27, 2024 to Jun 30, 2025
- Financial planning clients · unset to Jun 27, 2024 to Jun 30, 2025
- HQ state · unset to Jun 27, 2024 to Jun 30, 2025
- Discretionary RAUM · $9.1M to $7.9MJun 27, 2024 to Jun 30, 2025
- HNW RAUM · $5.1M to $2.8MJun 27, 2024 to Jun 30, 2025
- Individual RAUM · $4.0M to $4.5MJun 27, 2024 to Jun 30, 2025
- Non-discretionary RAUM · $9.3M to $9.4MJun 27, 2024 to Jun 30, 2025
- Pooled vehicle RAUM · $9.3M to $9.4MJun 27, 2024 to Jun 30, 2025
- RAUM · $18.4M to $17.2MJun 27, 2024 to Jun 30, 2025
- Accounts · 595 to 590Jun 30, 2023 to Jun 27, 2024
- HNW clients · 38 to 39Jun 30, 2023 to Jun 27, 2024
- Individual clients · 555 to 549Jun 30, 2023 to Jun 27, 2024
- Discretionary RAUM · $10.9M to $9.1MJun 30, 2023 to Jun 27, 2024
- HNW RAUM · $5.0M to $5.1MJun 30, 2023 to Jun 27, 2024
- Individual RAUM · $5.9M to $4.0MJun 30, 2023 to Jun 27, 2024
- Non-discretionary RAUM · $10.5M to $9.3MJun 30, 2023 to Jun 27, 2024
- Pooled vehicle RAUM · $10.5M to $9.3MJun 30, 2023 to Jun 27, 2024
- RAUM · $21.4M to $18.4MJun 30, 2023 to Jun 27, 2024
- Accounts · 495 to 595Jul 29, 2022 to Jun 30, 2023
- HNW clients · 12 to 38Jul 29, 2022 to Jun 30, 2023
- Individual clients · 481 to 555Jul 29, 2022 to Jun 30, 2023
- Discretionary RAUM · $25.9M to $10.9MJul 29, 2022 to Jun 30, 2023
- HNW RAUM · $17.9M to $5.0MJul 29, 2022 to Jun 30, 2023
- Individual RAUM · $8.0M to $5.9MJul 29, 2022 to Jun 30, 2023
- Non-discretionary RAUM · $14.5M to $10.5MJul 29, 2022 to Jun 30, 2023
- Pooled vehicle RAUM · $14.5M to $10.5MJul 29, 2022 to Jun 30, 2023
- RAUM · $40.4M to $21.4MJul 29, 2022 to Jun 30, 2023
Signals
2 dated events
- Rajesh Pore (Director) appeared on Schedule A of F•••• G•••••Jul 29, 2022 · Control person joined · fact
- F•••• G••••• filed its initial SEC registration (Form ADV)Apr 9, 2021 · ria f•••• adv filing · 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 email
- contact@firstglobalsec.comreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- firstglobalsec.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- +44 208 904 4942reportedpublic record, Form ADV, Jun 30, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026