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
T•• F••••••••• I••••••••• G••••
Legal name F•• W•••••• L••
Latest filing Mar 25, 2026
First filing on the tape Jan 4, 2022 · 10 filings
SEC status approved since Feb 4, 2022
RAUM
$286M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$286M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$143M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$286M as of Mar 25, 2026
Mar 14, 2023$241M then
HNW client RAUM$272M as of Mar 25, 2026
Mar 14, 2023$228M then
State-registered IARs (5.B.3)2 as of Mar 25, 2026
Mar 14, 20232 then
Employees (5.A)6 as of Mar 25, 2026
Mar 14, 20237 then
Private funds: no history
RAUM +12% over the last fiscal year+5.9% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 25, 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
- RAUM per advisor
- $143MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 76derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $548,772derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $59.8M, 47 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$272M95%
- Individuals$14.5M5.1%
- Individual clients
- 43reported
- HNW clients
- 108reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 522reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $59.8M for 47 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• D••••• G••••••• | Lafayette, Ca | Mar 7, 2022 | 24 y | 2 |
| G•••••• F•••• P••••••• | Greensboro, Ga | Mar 14, 2022 | 20 y | 2 |
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•••••• F•••• P••••••• from G••••• A••••• A•••••••• L••Mar 14, 2022 · RIA to a newly registered adviser
- A••• D••••• G••••••• from G••••• A••••• A•••••••• L••Mar 7, 2022 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••••• A•••• D••••• · Sole Membercontrolsince 12/2021 · owns 75% or more
- G•••••••• M••••••• D•••• · Chief Compliance Officer And Chief Operating Officercontrolsince 12/2021 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Lafayette, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Greensboro, GA1 employees
- Ormond Beach, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 516 to 522Mar 24, 2025 to Mar 25, 2026
- Charity clients · 0.0 to unsetMar 24, 2025 to Mar 25, 2026
- HNW clients · 105 to 108Mar 24, 2025 to Mar 25, 2026
- Assets in custody · $51.1M to $59.8MMar 24, 2025 to Mar 25, 2026
- Discretionary RAUM · $249M to $279MMar 24, 2025 to Mar 25, 2026
- HNW RAUM · $243M to $272MMar 24, 2025 to Mar 25, 2026
- Individual RAUM · $13.0M to $14.5MMar 24, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $6.6M to $7.2MMar 24, 2025 to Mar 25, 2026
- RAUM · $256M to $286MMar 24, 2025 to Mar 25, 2026
- Accounts · 532 to 516May 14, 2024 to Mar 24, 2025
- Charity clients · unset to 0.0May 14, 2024 to Mar 24, 2025
- HNW clients · 101 to 105May 14, 2024 to Mar 24, 2025
- Individual clients · 42 to 43May 14, 2024 to Mar 24, 2025
- Assets in custody · $42.9M to $51.1MMay 14, 2024 to Mar 24, 2025
- Financial planning clients · unset to May 14, 2024 to Mar 24, 2025
- Discretionary RAUM · $235M to $249MMay 14, 2024 to Mar 24, 2025
- HNW RAUM · $229M to $243MMay 14, 2024 to Mar 24, 2025
- Individual RAUM · $13.3M to $13.0MMay 14, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $6.6M to $6.6MMay 14, 2024 to Mar 24, 2025
- RAUM · $242M to $256MMay 14, 2024 to Mar 24, 2025
- Accounts · 614 to 532Aug 14, 2023 to Mar 22, 2024
- HNW clients · 100 to 101Aug 14, 2023 to Mar 22, 2024
- Individual clients · 40 to 42Aug 14, 2023 to Mar 22, 2024
- Assets in custody · $46.2M to $42.9MAug 14, 2023 to Mar 22, 2024
- Employees · 7 to 6Aug 14, 2023 to Mar 22, 2024
- Discretionary RAUM · $236M to $235MAug 14, 2023 to Mar 22, 2024
- HNW RAUM · $228M to $229MAug 14, 2023 to Mar 22, 2024
- Individual RAUM · $12.6M to $13.3MAug 14, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $4.7M to $6.6MAug 14, 2023 to Mar 22, 2024
- RAUM · $241M to $242MAug 14, 2023 to Mar 22, 2024
- Accounts · 729 to 614Jun 7, 2022 to Mar 14, 2023
- Advisory employees · 5 to 4Jun 7, 2022 to Mar 14, 2023
- BD registered reps · 0 to 2Jun 7, 2022 to Mar 14, 2023
- Corporate clients · unset to 0.0Jun 7, 2022 to Mar 14, 2023
- HNW clients · 92 to 100Jun 7, 2022 to Mar 14, 2023
- Individual clients · 39 to 40Jun 7, 2022 to Mar 14, 2023
- Pension plan clients · unset to 0.0Jun 7, 2022 to Mar 14, 2023
- Pooled vehicle clients · unset to 0.0Jun 7, 2022 to Mar 14, 2023
- Assets in custody · unset to 46216810.0Jun 7, 2022 to Mar 14, 2023
- Custody of client assets · false to trueJun 7, 2022 to Mar 14, 2023
Signals
1 dated events
- F•• W•••••• L•• filed its initial SEC registration (Form ADV)Jan 4, 2022 · 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 email
- fig@figwealth.usreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 925-298-5840reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- FIGwealth.usreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 925-298-5840reportedpublic record, Form ADV, Mar 25, 2026
- Team page
- FIGwealth.us/our-teamreportedpublished 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
- $143Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026