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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

G••••••• C••••••• I•••

CRD 323541

LOUISVILLE, KY

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Search this name across graphsid dfx:ria:bc1d31d7-fd00-8826-4d6d-57b69fffc0e7

Data as of Apr 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 4
On other graphs: 0
Observed: Sep 20, 2022 to Apr 23, 2026
12 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0
Regulatory AUM: $450MItem 5.F on the latest filing (2026-04-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $450M
Private client RAUM: $448MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
G•••••• L•••••	n/a	LOUISVILLE, KY	1	13	1	no
E•••• J•••• R•••••••	n/a	LOUISVILLE, KY	0	11

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••• S••••••• R••••••	MANAGING PARTNER AND FINANCIAL PLANNER	D	yes	10/2022	Oct 27, 2022	Apr 19, 2024
H••••• B•••• J•••••	MANAGING PARTNER AND FINANCIAL PLANNER / CHIEF COMPLIANCE OFFICER	D	yes	09/2022	Sep 20, 2022

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D•••••• M••••• A••••••••• L••	n/a	Asset manager	$362M	N	yes	n/a
D••• W••••• P•••••••• L••	n/a	Independent wealth	$30.4M	N	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 4 of 5

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$450M	$384M	17.1%	$251M	21.5%	10	10	0	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M•••• C••••••• A••••••• S••••••	2	Dec 15, 2022	Jan 1, 2025	PALM BEACH GARDENS, FL	Team lift out	Ibd to new firm	0.5%
M•••• C••••••• A••••••• S••••••	3	Dec 15, 2022

Relationships

Registered with (8)

← E•••• J•••• R•••••••Advisorregistration: current employment
Jul 24, 2026 to presentfactForm ADV
← Klein Stewart StubbsAdvisorregistration: current employment
Feb 3, 2025 to presentfactForm ADV
← G•••••• L•••••Advisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← S•••••• R•••••• G•••••

Dated events

Occurred
Dec 15, 2022
Team lift-out
3 advisors left M•••• C••••••• A••••••• S•••••• (Louisville, KY) for G••••••• C••••••• I••• a day apart
Form ADVobserved 6 days ago
3 advisors
Occurred
Dec 15, 2022
Team lift-out
2 advisors left M•••• C••••••• A••••••• S•••••• (Palm Beach Gardens, FL) for G••••••• C••••••• I••• on the same day
Form ADVobserved 6 days ago
2 advisors
Occurred
Oct 27, 2022
Control person joined
R Stephen Gibson (Managing Partner And Wealth Planner) appeared on Schedule A of G••••••• C••••••• I•••
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bc1d31d7-fd00-8826-4d6d-57b69fffc0e7
First observed: Sep 20, 2022
Last observed: Apr 23, 2026 5 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.