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.
Latest filing Sep 2, 2026
First filing on the tape May 27, 2026 · 2 filings
SEC status 120-day approval since May 27, 2026
RAUM
$377M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$344M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$188M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$377M as of Sep 2, 2026
May 27, 2026$0 then
HNW client RAUM: $344M
State-registered IARs (5.B.3)2 as of Sep 2, 2026
May 27, 20260 then
Employees (5.A)2 as of Sep 2, 2026
May 27, 20262 then
Private funds: no history
Practice profile
derived from the filing of Sep 2, 2026; every figure names its basis
Archetypes, each a printed rule
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $188MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $20.2MderivedHNW RAUM over HNW clients
- Average account
- $5.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$344M91%
- Corporations and businesses$33.2M8.8%
- Individual clients
- n/areported
- HNW clients
- 17reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 71reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Donald Randolph WaescheCertified Financial Planner | Tampa, Fl | May 28, 2026 | 49 y | 2 |
| Beatrice A WaescheCertified Financial Planner | New London, Ct | May 28, 2026 | 11 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 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
- Beatrice A Waesche from Provise Management Group, LLCMay 28, 2026 · RIA to a newly registered adviser
- Donald Randolph Waesche from Creative PlanningMay 28, 2026 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Metairie, La | 2 | 2 | 0 | ||
| New London, Ct | 2 | 2 | 0 | ||
| Tampa, Fl | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Sep 2, 2026RAUM per account of $5,305,556 against a peer median of $440,397 (5431 comparable advisers, 99.0th percentile, 3.3 robust deviations)peers: independent wealth managers, $100M to $500M (5,431) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 0 to 71May 27, 2026 to Sep 2, 2026
- Corporate clients · unset to 1.0May 27, 2026 to Sep 2, 2026
- HNW clients · unset to 17.0May 27, 2026 to Sep 2, 2026
- Financial planning clients · 0 to 0May 27, 2026 to Sep 2, 2026
- HQ city · to unsetMay 27, 2026 to Sep 2, 2026
- HQ state · to unsetMay 27, 2026 to Sep 2, 2026
- State-registered IARs · 0 to 2May 27, 2026 to Sep 2, 2026
- Discretionary RAUM · $0 to $377MMay 27, 2026 to Sep 2, 2026
- HNW RAUM · unset to 343500000.0May 27, 2026 to Sep 2, 2026
- RAUM · $0 to $377MMay 27, 2026 to Sep 2, 2026
- Related adviser · false to unsetMay 27, 2026 to Sep 2, 2026
- Related bank · false to unsetMay 27, 2026 to Sep 2, 2026
- Related broker-dealer · false to unsetMay 27, 2026 to Sep 2, 2026
- Related insurance company · false to unsetMay 27, 2026 to Sep 2, 2026
- Succession · false to unsetMay 27, 2026 to Sep 2, 2026
Signals
No event on the tape.
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
- info@genoawealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Website
- genoawealth.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 985- 869-6070reportedpublic record, Form ADV, Sep 2, 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
- $188Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026