DFX Intelligence

G•••• S••••• C•••••• L•••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

G•••• S••••• C•••••• L•••••••••

G•••• S••••• C•••••• L•••••••••, LLC, CRD 172945

MEMPHIS, TN

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Search this name across graphsid dfx:ria:63138092-916a-dbfe-569a-b29bd96913f0

Data as of Mar 31, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Aug 28, 2014 to Mar 31, 2016
5 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $48.1M••• Locked
Discretionary RAUM: $28.6M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••• R••••••• A•••••••	CHIEF COMPLIANCE OFFICER, MEMBER	Na	yes	08/2014	Aug 28, 2014	Mar 31, 2016
G•••• S••••• C••••••• L••	Member	C	yes	08/2014	Aug 28, 2014	Mar 31, 2016

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••• C•••• C•••••• A•••••••• L•	n/a	Former SEC adviser	$4.1B	N	yes	n/a
G•••• S••••• C••••••• L••	n/a	Independent wealth	$1.6B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
L•••••••••	Ky	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 31, 2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$48.1M	$13.7M	250.7%	n/a	n/a	1	1	n/a	n/a

Relationships

Affiliated with (3)

→ S•••• G•••• C•••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ C••••• C•••• C•••••• A•••••••• L•Registered adviserother investment adviser, common control
factForm ADV
→ A••••••• I••••••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (6)

← G•••• S••••• C••••••• L••

Dated events

Occurred
Aug 28, 2014
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:63138092-916a-dbfe-569a-b29bd96913f0
First observed: Aug 28, 2014
Last observed: Mar 31, 2016 127 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.