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.
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SEC-registered adviser
R•••• A•••• M••••••••• C• I••
Latest filing Feb 26, 2026
First filing on the tape Mar 30, 2012 · 36 filings
SEC status approved since Jan 25, 1991
RAUM
$640M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
96%
$616M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$80.0M
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$640M as of Feb 26, 2026
Mar 30, 2012$215M then
HNW client RAUM$519M as of Feb 26, 2026
Mar 27, 2018$276M then
State-registered IARs (5.B.3)8 as of Feb 26, 2026
Mar 21, 20136 then
Employees (5.A)8 as of Feb 26, 2026
Mar 21, 20136 then
Private funds: no history
RAUM +22% over the last fiscal year+15% a year over threeIARs 7 to 8offices 1 to 2
Practice profile
derived from the filing of Feb 26, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $80.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $692,631derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publications, otherreportedItem 5.G
- Custody
- $17.2M, 8 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$519M81%
- Individuals$96.4M15%
- Corporations and businesses$18.9M3.0%
- Charitable organizations$5.2M0.8%
- Individual clients
- 268reported
- HNW clients
- 142reported
- Pension plan clients
- n/areported
- Charitable clients
- 7reported
- Accounts
- 924reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $17.2M for 8 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• J••••• G••••• | Bolivia, Nc | Apr 29, 1991 | 43 y | 0 |
| A••• J• C•••• G••••••• | Dallas, Pa | Sep 29, 1997 | 29 y | 0 |
| R••••• H••••••• G••••• | Dallas, Pa | Jan 14, 2000 | 36 y | 0 |
| S•••• A•••• S•••••••• | Dallas, Pa | Apr 18, 2012 | 37 y | 0 |
| E•••••••• B•••••• G••••• | Dallas, Pa | Jan 22, 2013 | 25 y | 0 |
| R••••• J••••• G••••• | Dallas, Pa | Aug 30, 2018 | 10 y | 0 |
| D•••••• D•••• G•••• | Dallas, Pa | Jul 1, 2024 | 12 y | 0 |
| A••• J•••••• G••••••• | Dallas, Pa | May 8, 2025 | 20 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• E••••••••• B•••••• · Chief Operating Officercontrolsince 01/2002 · owns 25% to 50%
- G•••••• R•••••• H••••••• · Presidentcontrolsince 01/2002 · owns 50% to 75%
- G•••••••• A•••• J• C•••• · Senior Vice Presidentsince 01/2002 · owns less than 5%
- G•••••• R•••••• J••••• · Foundersince 11/1990 · owns less than 5%
- G•••••• S•••••• J••••• · Shareholdersince 11/1998 · owns less than 5%
- S••••••••• S••••• A•••• · Chief Compliance Officersince 01/2013 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Dallas, Pa · principal | 8 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 855 to 924Jun 4, 2025 to Feb 26, 2026
- Corporate clients · 15 to 13Jun 4, 2025 to Feb 26, 2026
- HNW clients · 130 to 142Jun 4, 2025 to Feb 26, 2026
- Individual clients · 246 to 268Jun 4, 2025 to Feb 26, 2026
- Assets in custody · $14.9M to $17.2MJun 4, 2025 to Feb 26, 2026
- Other offices · 1 to 2Jun 4, 2025 to Feb 26, 2026
- Discretionary RAUM · $513M to $629MJun 4, 2025 to Feb 26, 2026
- HNW RAUM · $434M to $519MJun 4, 2025 to Feb 26, 2026
- Individual RAUM · $65.5M to $96.4MJun 4, 2025 to Feb 26, 2026
- Non-discretionary RAUM · $9.1M to $11.2MJun 4, 2025 to Feb 26, 2026
- RAUM · $522M to $640MJun 4, 2025 to Feb 26, 2026
- Advisory employees · 7 to 8Feb 12, 2025 to Jun 4, 2025
- Employees · 7 to 8Feb 12, 2025 to Jun 4, 2025
- Financial planning clients · 101-250 to 101-250Feb 12, 2025 to Jun 4, 2025
- State-registered IARs · 7 to 8Feb 12, 2025 to Jun 4, 2025
- Accounts · 814 to 855Dec 3, 2024 to Feb 12, 2025
- Charity clients · 6 to 7Dec 3, 2024 to Feb 12, 2025
- Corporate clients · 10 to 15Dec 3, 2024 to Feb 12, 2025
- HNW clients · 112 to 130Dec 3, 2024 to Feb 12, 2025
- Individual clients · 268 to 246Dec 3, 2024 to Feb 12, 2025
- Assets in custody · $10.4M to $14.9MDec 3, 2024 to Feb 12, 2025
- Financial planning clients · 51-100 to 101-250Dec 3, 2024 to Feb 12, 2025
- Discretionary RAUM · $440M to $513MDec 3, 2024 to Feb 12, 2025
- HNW RAUM · $359M to $434MDec 3, 2024 to Feb 12, 2025
- Individual RAUM · $70.4M to $65.5MDec 3, 2024 to Feb 12, 2025
- Non-discretionary RAUM · $8.6M to $9.1MDec 3, 2024 to Feb 12, 2025
- RAUM · $449M to $522MDec 3, 2024 to Feb 12, 2025
- Advisory employees · 6 to 7Mar 28, 2024 to Aug 29, 2024
- State-registered IARs · 6 to 7Mar 28, 2024 to Aug 29, 2024
- Other offices · 2 to 1Mar 28, 2024 to Aug 29, 2024
- Accounts · 797 to 814Sep 15, 2023 to Feb 26, 2024
- Advisory activities · 5 to 6Sep 15, 2023 to Feb 26, 2024
- HNW clients · 100 to 112Sep 15, 2023 to Feb 26, 2024
- Individual clients · 287 to 268Sep 15, 2023 to Feb 26, 2024
- Assets in custody · $9.6M to $10.4MSep 15, 2023 to Feb 26, 2024
- Discretionary RAUM · $367M to $440MSep 15, 2023 to Feb 26, 2024
- HNW RAUM · $334M to $359MSep 15, 2023 to Feb 26, 2024
- Individual RAUM · $72.2M to $70.4MSep 15, 2023 to Feb 26, 2024
- Non-discretionary RAUM · $56.8M to $8.6MSep 15, 2023 to Feb 26, 2024
- RAUM · $424M to $449MSep 15, 2023 to Feb 26, 2024
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- R•••• A•••• M••••••••• C• I•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business email
- i•••@r•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- a••••••••@r•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- r•••••••@r•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- r•••••••@r•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 570-823-3383reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/6196003reportedpublic record, Form ADV, Sep 19, 2026
- Website
- R••••ADVISORS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 570-823-3383reportedpublic record, Form ADV, Feb 26, 2026
- Team page
- r•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $80.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026