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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
G• I••••••••• I••
Legal name G• I••••••••• I•••
Latest filing Sep 16, 2026
First filing on the tape Apr 3, 2012 · 35 filings
SEC status approved since Mar 4, 1999
RAUM
$192M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
83%
$159M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$96.1M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$277M as of Mar 13, 2026
Apr 3, 2012$92.7M then
HNW client RAUM$232M as of Mar 13, 2026
Feb 27, 2018$137M then
State-registered IARs (5.B.3)3 as of Mar 13, 2026
Apr 3, 20120 then
Employees (5.A)4 as of Mar 13, 2026
Mar 15, 20134 then
Private funds: no history
RAUM -29% over the last fiscal year-2.5% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Sep 16, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $96.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $17,200, 1 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$144M75%
- Charitable organizations$33.6M17%
- Individuals$14.4M7.5%
- Individual clients
- 42reported
- HNW clients
- 35reported
- Pension plan clients
- n/areported
- Charitable clients
- 7reported
- Accounts
- 176reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $17,200 for 1 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.83 fund_share=0.0 institutional_share=0.17 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••• C•••••• C••••••••• | Eagan, Mn | Nov 23, 2021 | 16 y | 0 |
| G•••• H••••• S••••••Chartered Financial Analyst | Eagan, Mn | Apr 1, 2026 | 40 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
- S••••••• G•••• · Managing Principalcontrolsince 07/1992 · owns 10% to 25%
- S••••••• J•••• G•••• · Managing Principal, Chief Compliance Officercontrolsince 12/1996 · owns 50% to 75%
- C••••••••• G•••• C•••••• · Managing Principalsince 10/2010 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Eagan, Mn · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 169 to 176Mar 13, 2026 to Sep 16, 2026
- Advisory employees · 3 to 2Mar 13, 2026 to Sep 16, 2026
- Charity clients · 6 to 7Mar 13, 2026 to Sep 16, 2026
- Corporate clients · 1.0 to unsetMar 13, 2026 to Sep 16, 2026
- HNW clients · 36 to 35Mar 13, 2026 to Sep 16, 2026
- Individual clients · 40 to 42Mar 13, 2026 to Sep 16, 2026
- Assets in custody · $36.0M to $17,200Mar 13, 2026 to Sep 16, 2026
- Employees · 4 to 3Mar 13, 2026 to Sep 16, 2026
- Financial planning clients · 1-10 to 1-10Mar 13, 2026 to Sep 16, 2026
- State-registered IARs · 3 to 2Mar 13, 2026 to Sep 16, 2026
- Discretionary RAUM · $275M to $190MMar 13, 2026 to Sep 16, 2026
- HNW RAUM · $232M to $144MMar 13, 2026 to Sep 16, 2026
- Individual RAUM · $12.4M to $14.4MMar 13, 2026 to Sep 16, 2026
- Non-discretionary RAUM · $1.8M to $2.2MMar 13, 2026 to Sep 16, 2026
- RAUM · $277M to $192MMar 13, 2026 to Sep 16, 2026
- Related adviser · false to unsetMar 13, 2026 to Sep 16, 2026
- Related bank · false to unsetMar 13, 2026 to Sep 16, 2026
- Related broker-dealer · false to unsetMar 13, 2026 to Sep 16, 2026
- Related insurance company · false to unsetMar 13, 2026 to Sep 16, 2026
- Succession · false to unsetMar 13, 2026 to Sep 16, 2026
- Accounts · 180 to 169May 8, 2025 to Mar 13, 2026
- HNW clients · 38 to 36May 8, 2025 to Mar 13, 2026
- Individual clients · 44 to 40May 8, 2025 to Mar 13, 2026
- Assets in custody · $0 to $36.0MMay 8, 2025 to Mar 13, 2026
- Discretionary RAUM · $269M to $275MMay 8, 2025 to Mar 13, 2026
- HNW RAUM · $227M to $232MMay 8, 2025 to Mar 13, 2026
- Individual RAUM · $12.4M to $12.4MMay 8, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $1.8M to $1.8MMay 8, 2025 to Mar 13, 2026
- RAUM · $271M to $277MMay 8, 2025 to Mar 13, 2026
- Financial planning clients · 1-10 to 1-10Apr 22, 2025 to May 8, 2025
- Accounts · 172 to 180Apr 5, 2024 to Feb 12, 2025
- HNW clients · 41 to 38Apr 5, 2024 to Feb 12, 2025
- Individual clients · 38 to 44Apr 5, 2024 to Feb 12, 2025
- Assets in custody · $34.2M to $0Apr 5, 2024 to Feb 12, 2025
- HQ city · MINNEAPOLIS to EAGANApr 5, 2024 to Feb 12, 2025
- Discretionary RAUM · $244M to $269MApr 5, 2024 to Feb 12, 2025
- HNW RAUM · $206M to $227MApr 5, 2024 to Feb 12, 2025
- Individual RAUM · $10.8M to $12.4MApr 5, 2024 to Feb 12, 2025
- Non-discretionary RAUM · $0 to $1.8MApr 5, 2024 to Feb 12, 2025
- RAUM · $244M to $271MApr 5, 2024 to Feb 12, 2025
Signals
1 dated events
- G• I••••••••• I•• reported RAUM $244.9M, up 71% from $143.2M (2021-11-22 to 2022-02-22)Feb 22, 2022 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 612-371-0590reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.g•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 612-371-0590reportedpublic record, Form ADV, Sep 16, 2026
- Contact form
- g•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $96.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026