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
P••••••••• A•••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Sep 9, 2022 · 9 filings
SEC status approved since Oct 11, 2022
RAUM
$15.0M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$15.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$15.0M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$15.0M as of Mar 31, 2026
Feb 22, 2023$10.0M then
HNW client RAUM$3.0M as of Mar 31, 2026
Feb 22, 2023$3.0M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Feb 22, 20230 then
Employees (5.A)1 as of Mar 31, 2026
Feb 22, 20231 then
Private funds: no history
RAUM +0.0% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $15.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 110derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $600,000derivedHNW RAUM over HNW clients
- Average account
- $136,364derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, 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
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$12.0M80%
- High-net-worth individuals$3.0M20%
- Individual clients
- 105reported
- HNW clients
- 5reported
- Pension plan clients
- 40reported
- Charitable clients
- n/areported
- Accounts
- 110reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••• G•••••••• | Naples, Fl | Oct 23, 2022 | 33 y | 1 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• A•••••• · President, Ccocontrolsince 04/2022 · owns 75% or more
Related persons
Schedule D 7.A
- P••••••••• A•••••••• I•••broker-dealery
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 31, 2026broker-dealer affiliate (Item 7.A.1): yes on the filing of 2025-11-16, no on the filing of 2026-03-31peers: independent wealth managers, under $100M (704)
What changed
consecutive filings, newest first
- Accounts · 150 to 110Nov 16, 2025 to Mar 31, 2026
- Related broker-dealer · true to falseNov 16, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Jun 5, 2025 to Nov 16, 2025
- Accounts · 99 to 150Jun 13, 2024 to Feb 11, 2025
- Individual clients · 94 to 105Jun 13, 2024 to Feb 11, 2025
- Pension plan clients · 41 to 40Jun 13, 2024 to Feb 11, 2025
- HQ city · unset to Jun 13, 2024 to Feb 11, 2025
- HQ state · unset to Jun 13, 2024 to Feb 11, 2025
- Individual RAUM · $9.0M to $12.0MJun 13, 2024 to Feb 11, 2025
- Non-discretionary RAUM · $12.0M to $15.0MJun 13, 2024 to Feb 11, 2025
- RAUM · $12.0M to $15.0MJun 13, 2024 to Feb 11, 2025
- Accounts · 95 to 99Feb 22, 2023 to Mar 22, 2024
- Individual clients · 84 to 94Feb 22, 2023 to Mar 22, 2024
- Individual RAUM · $7.0M to $9.0MFeb 22, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $10.0M to $12.0MFeb 22, 2023 to Mar 22, 2024
- RAUM · $10.0M to $12.0MFeb 22, 2023 to Mar 22, 2024
- Related adviser · true to falseFeb 22, 2023 to Mar 22, 2024
- Accounts · 85 to 95Sep 13, 2022 to Feb 22, 2023
- Individual clients · 80 to 84Sep 13, 2022 to Feb 22, 2023
- Pension plan clients · 50 to 41Sep 13, 2022 to Feb 22, 2023
- Individual RAUM · $5.0M to $7.0MSep 13, 2022 to Feb 22, 2023
- Non-discretionary RAUM · $8.0M to $10.0MSep 13, 2022 to Feb 22, 2023
- RAUM · $8.0M to $10.0MSep 13, 2022 to Feb 22, 2023
- Succession · true to falseSep 9, 2022 to Sep 13, 2022
Signals
2 dated events
- P••••••••• A•••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Sep 9, 2022 · Succession (Item 4) · fact
- P••••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Sep 9, 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
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 877-860-0900reportedpublic record, Form ADV, Mar 31, 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
- $15.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026