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
R•• W••••• A••••••• L••
Latest filing Mar 17, 2026
First filing on the tape Nov 21, 2024 · 4 filings
SEC status approved since Dec 20, 2024
RAUM
$155M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
95%
$147M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$38.7M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$155M as of Mar 17, 2026
Jan 14, 2025$105M then
HNW client RAUM$138M as of Mar 17, 2026
Jan 14, 2025$95.3M then
State-registered IARs (5.B.3)4 as of Mar 17, 2026
Jan 14, 20253 then
Employees (5.A)4 as of Mar 17, 2026
Jan 14, 20253 then
Private funds: no history
RAUM +47% over the last fiscal yearIARs 3 to 4
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
- RAUM per advisor
- $38.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 18derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $470,391derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +47%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +22%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $27.8M, 32 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$138M89%
- Individuals$9.7M6.3%
- Corporations and businesses$6.5M4.2%
- Pension and profit-sharing plans$963,5520.6%
- Individual clients
- 26reported
- HNW clients
- 46reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 329reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $27.8M for 32 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.95 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 |
|---|---|---|---|---|
| G•••••• O••••• D••••Certified Financial Planner | Memphis, Tn | May 26, 2022 | 13 y | 2 |
| T•••••• W•••• E••••Certified Financial Planner, Personal Financial Specialist | Memphis, Tn | May 26, 2022 | 12 y | 2 |
| L••• M•••• S•••• | Memphis, Tn | Sep 23, 2024 | 11 y | 2 |
| M•••••• P•••• S••••••• | Memphis, Tn | Apr 9, 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
- L••• M•••• S•••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Sep 23, 2024 · Affiliated broker-dealer or bank to independent RIA
- G•••••• O••••• D•••• from C•••••• W••••• M••••••••• L••May 26, 2022 · RIA to RIA
- T•••••• W•••• E•••• from W•••••• • A••••••••• L••May 26, 2022 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• G••••••• O••••• · Chief Executive Officer And Chief Compliance Officercontrolsince 02/2022 · owns 10% to 25%
- E••••• T••••••• W•••• · Chief Investment Officercontrolsince 02/2022 · owns 10% to 25%
Entity owners
- R•• S••• L•• · Memberdirect · owns 75% or more
- R•••••••• B••• • G•••••••• P••••• · Memberindirect · owns 75% or more of R•• S••• L••
Related persons
Schedule D 7.A
- R••••••• B••• • G•••••••• P••••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Memphis, Tn · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 17, 2026RAUM (Item 5.F) moved from $105,016,228 to $154,758,579 (+47.0%) between the annual amendments of 2025-01-14 and 2026-03-17; the peer median change was +15.0% (4550 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 95% percentile
- custody status changedChange between filings · filing Mar 17, 2026custody of client assets (Item 9.A): no on the filing of 2025-01-14, yes on the filing of 2026-03-17peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 283 to 329Jan 14, 2025 to Mar 17, 2026
- Advisory employees · 3 to 4Jan 14, 2025 to Mar 17, 2026
- HNW clients · 41 to 46Jan 14, 2025 to Mar 17, 2026
- Individual clients · 18 to 26Jan 14, 2025 to Mar 17, 2026
- Pension plan clients · 0 to 1Jan 14, 2025 to Mar 17, 2026
- Assets in custody · unset to 27799290.0Jan 14, 2025 to Mar 17, 2026
- Custody of client assets · false to trueJan 14, 2025 to Mar 17, 2026
- Employees · 3 to 4Jan 14, 2025 to Mar 17, 2026
- State-registered IARs · 3 to 4Jan 14, 2025 to Mar 17, 2026
- Discretionary RAUM · $105M to $147MJan 14, 2025 to Mar 17, 2026
- HNW RAUM · $95.3M to $138MJan 14, 2025 to Mar 17, 2026
- Individual RAUM · $4.9M to $9.7MJan 14, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $324,443 to $8.2MJan 14, 2025 to Mar 17, 2026
- Pension RAUM · $0 to $963,552Jan 14, 2025 to Mar 17, 2026
- RAUM · $105M to $155MJan 14, 2025 to Mar 17, 2026
- Accounts · 259 to 283Nov 22, 2024 to Jan 14, 2025
- Corporate clients · 4 to 7Nov 22, 2024 to Jan 14, 2025
- Individual clients · 15 to 18Nov 22, 2024 to Jan 14, 2025
- Financial planning clients · 26-50 to 51-100Nov 22, 2024 to Jan 14, 2025
- Discretionary RAUM · $103M to $105MNov 22, 2024 to Jan 14, 2025
- HNW RAUM · $94.4M to $95.3MNov 22, 2024 to Jan 14, 2025
- Individual RAUM · $3.0M to $4.9MNov 22, 2024 to Jan 14, 2025
- Non-discretionary RAUM · $330,726 to $324,443Nov 22, 2024 to Jan 14, 2025
- RAUM · $103M to $105MNov 22, 2024 to Jan 14, 2025
Signals
1 dated events
- R•• W••••• A••••••• L•• filed its initial SEC registration (Form ADV)Nov 21, 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
- Business phone
- 901-244-2980reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/rbg-wealth-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- rbgwa.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 901-244-2980reportedpublic record, Form ADV, Mar 17, 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
- $38.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026