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.

SEC-registered adviser

Financial Gravity Family Office Services, LLC

Independent wealth managerLakeway, TexasCRD 316024SEC 801-122258IAPD
Latest filing Jan 12, 2026
First filing on the tape Aug 5, 2021 · 27 filings
SEC status approved since Sep 9, 2021
RAUM
$590M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$590M individuals and HNW
Advisors
40
registered through the firm on IAPD
RAUM per advisor
$14.8M
derived; firm RAUM over IAPD count
Employees
45
16 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$590M as of Jan 12, 2026
Dec 20, 2021$171M then
HNW client RAUM$270M as of Jan 12, 2026
Dec 8, 2022$61.7M then
State-registered IARs (5.B.3)13 as of Jan 12, 2026
Dec 20, 202115 then
Employees (5.A)45 as of Jan 12, 2026
Dec 20, 202150 then
Private funds: no history
RAUM +26% over the last fiscal year+41% a year over threeIARs 13 to 13
Practice profile
derived from the filing of Jan 12, 2026; every figure names its basis
RAUM per advisor
$14.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
43derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$191,894derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
13.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+26%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-1.7%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, 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
  • 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$320M54%
  • High-net-worth individuals$270M46%
Individual clients
1,567reported
HNW clients
149reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
3,077reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
38 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Keith William WeinmanLoveland, Co Sep 10, 202115 y1
John David PollockLakeway, TxSep 10, 202129 y2
Scott Christopher WintersLakeway, Tx Sep 10, 202123 y2
Timothy Scott TerryTomball, Tx Sep 12, 202111 y1
Erling Bert BrakkeChartered Financial AnalystConroe, Tx Sep 13, 202122 y2
William Raymond PerletteLakeway, Tx Sep 13, 202116 y1
Dean R. SpeckerWarrensburg, Mo Sep 13, 202115 y3
Ashley Christine WintersLakeway, Tx Sep 15, 202111 y1
Jill Ann HendersonLakeway, Tx Sep 16, 202129 y4
Karen CassidyArroyo Grande, Ca Sep 17, 202112 y0
Shelley Renae JohnsonCarmel, In Sep 17, 202126 y1
Philip J KehoeKalamazoo, Mi Sep 20, 202116 y2
John Linton AveryHighlands Ranch, Co Sep 21, 202142 y1
Daniel Wade DuboseHouston, Tx Sep 23, 202126 y2
Christian BrakkeNew Orleans, La Feb 9, 202211 y0
Lorne Howard LevyLakeway, Tx Feb 10, 202223 y1
Thomas Ryan WilliamsRochester, Mi Jun 1, 202213 y2
Charles Jay LoveLakeway, Tx Jun 2, 202212 y1
Kimberly PerryLakeway, Tx Nov 18, 202225 y2
Marc David OrourkeNovato, Ca Jan 4, 202327 y11
Michael Burton SmithSeymour, Tn Jan 12, 202326 y0
Brian LangLakeway, Tx Feb 14, 202313 y1
Steven Phillip MargulinCertified Financial Planner, Chartered Financial ConsultantLakeway, Tx Mar 6, 202337 y5
Marc Richard BarnesTucson, Az May 18, 202316 y0
John Eric WaltersSt. Petersburg, Fl Jun 30, 202325 y0
Sabina Li PanBerkley, Ca Jan 11, 202410 y1
John Thomas DrawdyWoodstock, Ga Feb 15, 202421 y4
Michael James FrenchAustin, Tx Apr 10, 202411 y3
Kaili Erin WintersLakeway, Tx Apr 15, 202414 y4
Roy Edward KelseyLakeway, Tx Apr 16, 202428 y8
Kristopher Douglas BlaslLakeway, Tx May 8, 202412 y4
Alan ScherBoulder, Co Aug 22, 202421 y0
Jon Ethan BellAlbuquerque, Nm Sep 6, 202414 y0
Jennifer Lynn RalstonTemecula, Ca Jan 3, 202517 y1
Matthew Louis RzepkaCertified Financial PlannerKalamazoo, Mi Feb 3, 202520 y3
David FischerCertified Financial PlannerAustin, Tx Feb 28, 202510 y2
William Christopher SparksMidland, Tx Mar 14, 202515 y0
Loren James GrabauLos Alamos, Ca Aug 7, 202517 y2
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 5.0% of current headcount5 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Jennifer Winters · Coocontrol
    since 08/2021 · owns less than 5%
  • Christopher Scott Winters · Ceo/Chairman Of The Boardcontrol
    since 08/2021 · owns less than 5%
  • Robert William Nelson · Membercontrol
    since 08/2020 · owns F of Financial Gravity Companies, Inc.
  • Joel Gary Nemer · Membercontrol
    since 08/2020 · owns F of Financial Gravity Companies, Inc.
  • David John Pollock · Membercontrol
    since 10/2019 · owns F of Financial Gravity Companies, Inc.
  • Christopher Scott Winters · Managing Membercontrol
    since 08/2020 · owns F of Financial Gravity Companies, Inc.
  • Ashley Baucum · Chief Administrative Officer
    since 04/2024 · owns less than 5%
  • Erin Kaili Winters · Chief Compliance Officer
    since 04/2024 · owns less than 5%
Entity owners
  • Financial Gravity Companies, Inc. · Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
  • Financial Gravity Asset Management, Inc.
    investment advisern
  • Financial Gravity Enhanced Markets, LLC
    insurancereal estaten
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Lakeway, Tx · principal4001
Austin, Tx400
Highlands Ranch, Co300
Temecula, Ca200
Kalamazoo, Mi200
Castle Pines, Co000
Phoenix, Az000
Temperance, Mi001
Offices
Schedule D 1.F, the 25 largest
  • Fargo, ND1 employees
  • Woodstock, GA1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
  • HNW share shiftChange between filings · filing Jan 12, 2026
    HNW share of RAUM moved from 29.0% to 46.0% between the annual amendments of 2024-12-20 and 2026-01-12
    peers: independent wealth managers, $500M to $1B (1,483)
  • account count surgeChange between filings · filing Jan 12, 2026
    accounts (Item 5.F.2.f) moved from 1,745.0 to 3,077.0 (+76.0%) between the annual amendments of 2024-12-20 and 2026-01-12; the peer median change was +6.0% (1256 comparable advisers, 97.0th percentile of changes)
    peers: independent wealth managers, $500M to $1B (1,256) · 97% percentile
How anomalies are measured
What changed
consecutive filings, newest first
  • Accounts · 1,745 to 3,077
    Dec 20, 2024 to Dec 23, 2025
  • HNW clients · 428 to 149
    Dec 20, 2024 to Dec 23, 2025
  • Individual clients · 1,317 to 1,567
    Dec 20, 2024 to Dec 23, 2025
  • Financial planning clients · 101-250 to 101-250
    Dec 20, 2024 to Dec 23, 2025
  • Discretionary RAUM · $467M to $590M
    Dec 20, 2024 to Dec 23, 2025
  • HNW RAUM · $136M to $270M
    Dec 20, 2024 to Dec 23, 2025
  • Individual RAUM · $331M to $320M
    Dec 20, 2024 to Dec 23, 2025
  • RAUM · $467M to $590M
    Dec 20, 2024 to Dec 23, 2025
  • Accounts · 2,654 to 1,745
    Apr 22, 2024 to Dec 20, 2024
  • Charity clients · 3 to 0
    Apr 22, 2024 to Dec 20, 2024
  • Corporate clients · 29 to 0
    Apr 22, 2024 to Dec 20, 2024
  • HNW clients · 128 to 428
    Apr 22, 2024 to Dec 20, 2024
  • Individual clients · 917 to 1,317
    Apr 22, 2024 to Dec 20, 2024
  • Pension plan clients · 4 to 0
    Apr 22, 2024 to Dec 20, 2024
  • Discretionary RAUM · $263M to $467M
    Apr 22, 2024 to Dec 20, 2024
  • Individual RAUM · $204M to $331M
    Apr 22, 2024 to Dec 20, 2024
  • Non-discretionary RAUM · $102M to $0
    Apr 22, 2024 to Dec 20, 2024
  • Pension RAUM · $946,829 to $0
    Apr 22, 2024 to Dec 20, 2024
  • RAUM · $365M to $467M
    Apr 22, 2024 to Dec 20, 2024
  • Other offices · 1 to 2
    Dec 8, 2023 to Jan 3, 2024
  • Accounts · 1,218 to 2,654
    Dec 4, 2023 to Dec 8, 2023
  • Charity clients · 1 to 3
    Dec 4, 2023 to Dec 8, 2023
  • Corporate clients · 3 to 29
    Dec 4, 2023 to Dec 8, 2023
  • HNW clients · 68 to 128
    Dec 4, 2023 to Dec 8, 2023
  • Individual clients · 1,075 to 917
    Dec 4, 2023 to Dec 8, 2023
  • Pension plan clients · 16 to 4
    Dec 4, 2023 to Dec 8, 2023
  • Financial planning clients · 1-10 to 101-250
    Dec 4, 2023 to Dec 8, 2023
  • Discretionary RAUM · $28.6M to $263M
    Dec 4, 2023 to Dec 8, 2023
  • HNW RAUM · $61.7M to $136M
    Dec 4, 2023 to Dec 8, 2023
  • Individual RAUM · $136M to $204M
    Dec 4, 2023 to Dec 8, 2023
  • Non-discretionary RAUM · $182M to $102M
    Dec 4, 2023 to Dec 8, 2023
  • Pension RAUM · $3.0M to $946,829
    Dec 4, 2023 to Dec 8, 2023
  • RAUM · $211M to $365M
    Dec 4, 2023 to Dec 8, 2023
  • Other offices · 0 to 1
    Nov 27, 2023 to Dec 4, 2023
  • Advisory activities · 4 to 3
    Mar 1, 2023 to Mar 8, 2023
  • Advisory employees · 17 to 16
    Jan 11, 2023 to Jan 26, 2023
  • Employees · 46 to 45
    Jan 11, 2023 to Jan 26, 2023
  • State-registered IARs · 12 to 13
    Jan 11, 2023 to Jan 26, 2023
  • Employees · 47 to 46
    Dec 8, 2022 to Jan 11, 2023
  • Accounts · 891 to 1,218
    Oct 11, 2022 to Dec 8, 2022
Signals
17 dated events
  • Aleksey Kaplan left Financial Gravity Family Office Services, Llc for Lpl Financial Llc (registered 2026-04-20)
    Apr 17, 2026 · Advisor changed firm · fact
  • Austin M Reaster left Financial Gravity Family Office Services, Llc for Ameritas Advisory Services, Llc (registered 2026-02-24)
    Feb 23, 2026 · Advisor changed firm · fact
  • Financial Gravity Family Office Services, Llc reported RAUM $590.5M, up 26% from $467.2M (2024-12-20 to 2025-12-23)
    Dec 23, 2025 · RAUM change · derived
  • Mitchell Monson left Financial Gravity Family Office Services, Llc for Secure Investment Management, Llc (registered 2025-08-12)
    Aug 11, 2025 · Advisor changed firm · fact
  • Evan C Riss left Financial Gravity Family Office Services, Llc for Morgan Stanley (registered 2025-06-06)
    May 19, 2025 · Advisor changed firm · fact
  • Financial Gravity Family Office Services, Llc reported RAUM $467.2M, up 28% from $365.4M (2024-04-22 to 2024-12-20)
    Dec 20, 2024 · RAUM change · derived
  • Wallace Michael Darling no longer registered at Financial Gravity Family Office Services, Llc; no later IA registration on IAPD
    Dec 18, 2024 · Advisor departure · fact
  • J'Neanne Mary Theus left Financial Gravity Family Office Services, Llc for Compass Financial Management Llc (registered 2026-02-19)
    Aug 26, 2024 · Advisor changed firm · fact
  • Financial Gravity Family Office Services, Llc reported RAUM $365.4M, up 73% from $210.9M (2023-12-04 to 2023-12-08)
    Dec 8, 2023 · RAUM change · derived
  • Jennifer Winters (Coo) appeared on Schedule A of Financial Gravity Family Office Services, Llc
    Mar 23, 2023 · Control person joined · fact
  • Tatiana Tsoir left Financial Gravity Family Office Services, Llc for Tlg Advisors, Inc. (registered 2024-01-22)
    Feb 16, 2023 · Advisor changed firm · fact
  • John Whitman Sardoni left Financial Gravity Family Office Services, Llc for Generous Wealth Management (registered 2023-08-22)
    Jan 26, 2023 · Advisor changed firm · fact
  • Erin Kaili Winters (Chief Compliance Officer) no longer on Schedule A of Financial Gravity Family Office Services, Llc (listed 2022-12-08, absent 2023-01-11)
    Jan 11, 2023 · Control person left · inference
  • Kaili Erin Winters left Financial Gravity Family Office Services, Llc for 49 Financial (registered 2023-01-27)
    Jan 6, 2023 · Advisor changed firm · fact
  • Martin David Eisenstein left Financial Gravity Family Office Services, Llc for Rmr Wealth Builders, Inc. (registered 2022-10-05)
    Jul 26, 2022 · Advisor changed firm · fact
  • Financial Gravity Family Office Services, Llc reported 15 state-registered advisory representatives, up from 3 (2021-12-01 to 2021-12-20)
    Dec 20, 2021 · Advisor headcount change · derived
  • Financial Gravity Family Office Services, Inc. filed its initial SEC registration (Form ADV)
    Aug 5, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
How to reach
public business contact points only, each with its source
Principal office phone
800-588-3893reportedpublic record, Form ADV, Jan 12, 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
$14.8Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026