DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

G•••••••• C•••••• M••••••••• G•••• L••

CRD 142672

N•••••, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:f0a626dc-f28c-9977-4a9b-65559b82c110

Data as of Jun 8, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 29
Dated events: 23
On other graphs: 0
Observed: Jun 10, 2014 to Jun 8, 2023
35 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: $351M••• Locked
Discretionary RAUM: $351M
Private client RAUM: $341Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• W••••••• N•••	Member	C	yes	04/2022	Apr 28, 2022	Jun 8, 2023
C•••• R•••••	VICE PRESIDENT, PORTFOLIO MANAGER	B	yes	08/2008	Jan 28, 2020	Jun 8, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•• A•••• M••••••••• G••••• L••	n/a	Independent wealth	$4.5B	Y	yes	n/a
C•• N•••••• L••	n/a	Former SEC adviser	$191M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$351M	$298M	17.8%	$287M	6.9%	7	4	0	2

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
F•••• T•••• I••••••••• S•••••••• L•••	5	Dec 7, 2023	Oct 11, 2023	N•••••, FL	Firm absorbed	RIA to RIA	83.3%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M•••• • C••••• I••	2	Jan 6, 2020	Jul 12, 2019	N•••••, FL	Team lift out	Ibd to RIA	4.3%

Relationships

Affiliated with (3)

→ C•• A•••• M••••••••• G••••Registered adviserother investment adviser, control, common control
factForm ADV
→ C•• N•••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ C• I••••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (10)

← E•••• M••••••• J•••••Owner

Dated events

Occurred
Dec 7, 2023
Firm absorbed
••• Locked
Form ADVobserved 7 days ago
5 advisors
Occurred
Dec 7, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Dec 7, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Dec 7, 2023
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f0a626dc-f28c-9977-4a9b-65559b82c110
First observed: Jun 10, 2014
Last observed: Jun 8, 2023 40 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.