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.

Former SEC-registered adviser

Global Portfolio Strategies, Inc.

Former SEC-registered adviserHartford, ConnecticutCRD 105812SEC 801-16664IAPD
Latest filing Jun 21, 2022
First filing on the tape Mar 23, 2012 · 46 filings
RAUM
$1.7B
reported, Item 5.F
Discretionary
54%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
32
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
46 filings and snapshots on the tape
RAUM$4.6B as of Mar 16, 2022
Mar 23, 2012$2.1B then
HNW client RAUM$0 as of Mar 16, 2022
Mar 28, 2018$0 then
State-registered IARs (5.B.3)7 as of Mar 16, 2022
Mar 23, 20120 then
Employees (5.A)32 as of Mar 16, 2022
Mar 22, 2013116 then
Private funds: no history
RAUM -62% over the last fiscal year-26% a year over threeIARs 5 to 7offices 2 to 1
Practice profile
derived from the filing of Jun 21, 2022; every figure names its basis
RAUM per advisor
$242MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$5.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
54%derivedof RAUM
Institutional
30%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.6derivedItem 5.A over advisors
Advisors per office
3.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+0.7%derivedbetween the last two annual amendments
Advisor growth, one year
+40%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$1.1B67%
  • Insurance companies$504M30%
  • Banks and thrifts$54.2M3.2%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
285reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Rae Jennifer Bourret · Manager And Vice Presidentcontrol
    since 04/2022 · owns less than 5%
  • Arthur Harry Dalessio · Chairman And Chief Executive Officer And Directorcontrol
    since 09/2017 · owns less than 5%
  • Alan Bradley Geissbuhler · Director And Vice Presidentcontrol
    since 04/2022 · owns less than 5%
  • Enrique Lazaro Guzman · Presidentcontrol
    since 06/2020 · owns less than 5%
  • Rice Brockett Hudson · Assistant Secretarycontrol
    since 04/2022 · owns less than 5%
  • D Scott Johnson · Director And Vice Presidentcontrol
    since 04/2022 · owns less than 5%
  • Adam Kavan · Senior Counsel & Secretarycontrol
    since 04/2022 · owns less than 5%
  • David Jonathan Kreider · Senior Vice Presidentcontrol
    since 04/2022 · owns less than 5%
  • Carl David Larsen · Assistant Secretarycontrol
    since 04/2022 · owns less than 5%
  • Allen Nathaniel Mandeville · Assistant Vice Presidentcontrol
    since 04/2022 · owns less than 5%
  • Marie Christine Moritz · Chief Financial Officercontrol
    since 04/2022 · owns less than 5%
  • Joseph Eric Platt · Manager And Vice Presidentcontrol
    since 06/2022 · owns less than 5%
  • Susan Kara Roe · Treasurercontrol
    since 04/2022 · owns less than 5%
  • Leann Katherine Stoner · Chief Compliance Officercontrol
    since 04/2022 · owns less than 5%
  • Roger Andre Desmarais · Trusteecontrol
    since 10/2013 · owns F of The Demarais Family Residuary Trust
  • Guy Paul Desmarais · Trusteecontrol
    since 10/2013 · owns F of The Demarais Family Residuary Trust
  • Sophie Desmarais · Trusteecontrol
    since 10/2013 · owns F of The Demarais Family Residuary Trust
  • Guy Fortin · Trusteecontrol
    since 10/2013 · owns F of The Demarais Family Residuary Trust
  • Michel Plessis-Belair · Trusteecontrol
    since 10/2013 · owns F of The Demarais Family Residuary Trust
Entity owners
  • Great-West Life And Annuity Insurance Company · Member
    direct · owns 75% or more
  • Great-West Financial (Nova Scotia) Co. · Member
    indirect · owns 75% or more of Gwl&A Financial, Inc.
  • Great-West Lifeco Inc. · Member
    indirect · owns 75% or more of Great-West Financial (Nova Scotia) Co.
  • Great-West Lifeco U.S. LLC · Member
    indirect · owns 75% or more of Gwl&A Financial, Inc.
  • Gwl&A Financial, Inc. · Member
    indirect · owns 75% or more of Great-West Life And Annuity Insurance Company
  • Pansolo Holding Inc. · Shareholder
    indirect · owns 75% or more of Power Corporation Of Canada
  • Power Corporation Of Canada · Shareholder
    indirect · owns 75% or more of Power Financial Corporation
  • Power Financial Corporation · Shareholder
    indirect · owns 50% to 75% of Great-West Lifeco Inc.
  • The Demarais Family Residuary Trust · Shareholder
    indirect · owns 75% or more of Pansolo Holding Inc.
Related persons
Schedule D 7.A
Advisers that list Global Portfolio Strategies, Inc. as a related person
Offices
Schedule D 1.F, the 25 largest
  • Irvine, CA1 employees
What changed
consecutive filings, newest first
  • Accounts · 286 to 285
    Mar 16, 2022 to Apr 29, 2022
  • Other offices · 2 to 1
    Mar 16, 2022 to Apr 29, 2022
  • Non-discretionary RAUM · $3.6B to $782M
    Mar 16, 2022 to Apr 29, 2022
  • Pension RAUM · $2.9B to $0
    Mar 16, 2022 to Apr 29, 2022
  • RAUM · $4.6B to $1.7B
    Mar 16, 2022 to Apr 29, 2022
  • Accounts · 321 to 286
    Jan 18, 2022 to Mar 16, 2022
  • Advisory employees · 4 to 5
    Jan 18, 2022 to Mar 16, 2022
  • BD registered reps · 9 to 21
    Jan 18, 2022 to Mar 16, 2022
  • Corporate clients · 53 to 47
    Jan 18, 2022 to Mar 16, 2022
  • Employees · 31 to 32
    Jan 18, 2022 to Mar 16, 2022
  • Insurance-licensed employees · 0 to 1
    Jan 18, 2022 to Mar 16, 2022
  • State-registered IARs · 5 to 7
    Jan 18, 2022 to Mar 16, 2022
  • Discretionary RAUM · $789M to $914M
    Jan 18, 2022 to Mar 16, 2022
  • Non-discretionary RAUM · $3.7B to $3.6B
    Jan 18, 2022 to Mar 16, 2022
  • Pension RAUM · $3.0B to $2.9B
    Jan 18, 2022 to Mar 16, 2022
  • RAUM · $4.5B to $4.6B
    Jan 18, 2022 to Mar 16, 2022
  • Accounts · 348 to 321
    Oct 21, 2020 to Mar 17, 2021
  • Advisory employees · 5 to 4
    Oct 21, 2020 to Mar 17, 2021
  • BD registered reps · 24 to 9
    Oct 21, 2020 to Mar 17, 2021
  • Corporate clients · 58 to 53
    Oct 21, 2020 to Mar 17, 2021
  • Employees · 34 to 31
    Oct 21, 2020 to Mar 17, 2021
  • State-registered IARs · 7 to 5
    Oct 21, 2020 to Mar 17, 2021
  • Discretionary RAUM · $639M to $789M
    Oct 21, 2020 to Mar 17, 2021
  • Non-discretionary RAUM · $3.4B to $3.7B
    Oct 21, 2020 to Mar 17, 2021
  • Pension RAUM · $2.8B to $3.0B
    Oct 21, 2020 to Mar 17, 2021
  • RAUM · $4.1B to $4.5B
    Oct 21, 2020 to Mar 17, 2021
  • Accounts · 369 to 348
    Mar 26, 2020 to Jul 16, 2020
  • Advisory employees · 13 to 5
    Mar 26, 2020 to Jul 16, 2020
  • Advisory activities · 4 to 3
    Mar 26, 2020 to Jul 16, 2020
  • Corporate clients · 65 to 58
    Mar 26, 2020 to Jul 16, 2020
  • Pooled vehicle clients · 2 to 0
    Mar 26, 2020 to Jul 16, 2020
  • Employees · 55 to 34
    Mar 26, 2020 to Jul 16, 2020
  • Other offices · 3 to 2
    Mar 26, 2020 to Jul 16, 2020
  • Discretionary RAUM · $1.2B to $639M
    Mar 26, 2020 to Jul 16, 2020
  • Non-discretionary RAUM · $3.5B to $3.4B
    Mar 26, 2020 to Jul 16, 2020
  • Pension RAUM · $2.8B to $2.8B
    Mar 26, 2020 to Jul 16, 2020
  • Pooled vehicle RAUM · $461M to $0
    Mar 26, 2020 to Jul 16, 2020
  • RAUM · $4.7B to $4.1B
    Mar 26, 2020 to Jul 16, 2020
  • Accounts · 409 to 369
    Dec 17, 2019 to Mar 26, 2020
  • BD registered reps · 22 to 24
    Dec 17, 2019 to Mar 26, 2020
Signals
48 dated events
  • Michael H Beaulieu left Global Portfolio Strategies, Inc. for Citizens Securities, Inc. (registered 2024-09-19)
    Jan 31, 2023 · Advisor changed firm · fact
  • Global Portfolio Strategies, Inc.'s advisors moved to Empower Capital Management, LLC (Hartford, CT): 3 of 5 registered, on the same day
    Dec 13, 2022 · Firm absorbed (people side) · derived
  • Joseph Eric Platt (Manager And Vice President) appeared on Schedule A of Global Portfolio Strategies, Inc.
    Jun 21, 2022 · Control person joined · fact
  • Allen Nathaniel Mandeville (Assistant Vice President) appeared on Schedule A of Global Portfolio Strategies, Inc.
    May 10, 2022 · Control person joined · fact
  • Carl David Larsen (Assistant Secretary) appeared on Schedule A of Global Portfolio Strategies, Inc.
    May 10, 2022 · Control person joined · fact
  • Global Portfolio Strategies, Inc. reported RAUM $1.7B, down 63% from $4.6B (2022-03-16 to 2022-04-29)
    Apr 29, 2022 · RAUM change · derived
  • Jozef Peter Puzio (Chief Operations Officer And Director) no longer on Schedule A of Global Portfolio Strategies, Inc. (listed 2022-03-16, absent 2022-04-29)
    Apr 29, 2022 · Control person left · inference
  • Anthony Michael Knowling (Director) no longer on Schedule A of Global Portfolio Strategies, Inc. (listed 2022-03-16, absent 2022-04-29)
    Apr 29, 2022 · Control person left · inference
  • Lawrence Anthony Mcelynn (Chief Compliance Officer) no longer on Schedule A of Global Portfolio Strategies, Inc. (listed 2022-03-16, absent 2022-04-29)
    Apr 29, 2022 · Control person left · inference
  • Edward Kyle Shute (Chief Financial Officer) no longer on Schedule A of Global Portfolio Strategies, Inc. (listed 2022-03-16, absent 2022-04-29)
    Apr 29, 2022 · Control person left · inference
  • Marie Michele Drummey (Chief Legal Officer) no longer on Schedule A of Global Portfolio Strategies, Inc. (listed 2022-03-16, absent 2022-04-29)
    Apr 29, 2022 · Control person left · inference
  • Sophie Desmarais (Trustee) appeared on Schedule A of Global Portfolio Strategies, Inc.
    Apr 29, 2022 · Control person joined · fact
  • Leann Katherine Stoner (Chief Compliance Officer) appeared on Schedule A of Global Portfolio Strategies, Inc.
    Apr 29, 2022 · Control person joined · fact
  • Marie Christine Moritz (Chief Financial Officer) appeared on Schedule A of Global Portfolio Strategies, Inc.
    Apr 29, 2022 · Control person joined · fact
  • Adam Kavan (Senior Counsel & Secretary) appeared on Schedule A of Global Portfolio Strategies, Inc.
    Apr 29, 2022 · Control person joined · fact
  • Susan Kara Roe (Treasurer) appeared on Schedule A of Global Portfolio Strategies, Inc.
    Apr 29, 2022 · Control person joined · fact
  • David Jonathan Kreider (Senior Vice President) appeared on Schedule A of Global Portfolio Strategies, Inc.
    Apr 29, 2022 · Control person joined · fact
  • Rae Jennifer Bourret (Manager) appeared on Schedule A of Global Portfolio Strategies, Inc.
    Apr 29, 2022 · Control person joined · fact
  • Alan Bradley Geissbuhler (Director) appeared on Schedule A of Global Portfolio Strategies, Inc.
    Apr 29, 2022 · Control person joined · fact
  • D Scott Johnson (Director) appeared on Schedule A of Global Portfolio Strategies, Inc.
    Apr 29, 2022 · Control person joined · fact
  • Rice Brockett Hudson (Assistant Secretary) appeared on Schedule A of Global Portfolio Strategies, Inc.
    Apr 29, 2022 · Control person joined · fact
  • Guy Paul Desmarais (Trustee) appeared on Schedule A of Global Portfolio Strategies, Inc.
    Apr 29, 2022 · Control person joined · fact
  • Michel Plessis-Belair (Trustee) appeared on Schedule A of Global Portfolio Strategies, Inc.
    Apr 29, 2022 · Control person joined · fact
  • Guy Fortin (Trustee) appeared on Schedule A of Global Portfolio Strategies, Inc.
    Apr 29, 2022 · Control person joined · fact
  • Roger Andre Desmarais (Trustee) appeared on Schedule A of Global Portfolio Strategies, Inc.
    Apr 29, 2022 · Control person joined · fact
  • John Christolini left Global Portfolio Strategies, Inc. for Pgim Investments Llc (registered 2022-08-12)
    Mar 30, 2022 · Advisor changed firm · fact
  • Ilias Khalif Ford (Chief Legal Officer) no longer on Schedule A of Global Portfolio Strategies, Inc. (listed 2021-12-16, absent 2022-01-18)
    Jan 18, 2022 · Control person left · inference
  • Marie Michele Drummey (Chief Legal Officer) appeared on Schedule A of Global Portfolio Strategies, Inc.
    Jan 18, 2022 · Control person joined · fact
  • Edward Kyle Shute (Chief Financial Officer) appeared on Schedule A of Global Portfolio Strategies, Inc.
    Dec 16, 2021 · Control person joined · fact
  • Lawrence Robert Burkhart (Chief Financial Officer) no longer on Schedule A of Global Portfolio Strategies, Inc. (listed 2021-11-30, absent 2021-12-16)
    Dec 16, 2021 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026