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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Former SEC-registered adviser
G•••••• C•••••• M••••••••• I••
Latest filing Mar 19, 2025
First filing on the tape Feb 6, 2012 · 16 filings
SEC status approved since Apr 15, 1998
RAUM
$179M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$179M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$179M as of Mar 19, 2025
Feb 6, 2012$153M then
HNW client RAUM$162M as of Mar 19, 2025
Mar 14, 2018$204M then
State-registered IARs (5.B.3)2 as of Mar 19, 2025
Feb 6, 20120 then
Employees (5.A)2 as of Mar 19, 2025
Feb 22, 20133 then
Private funds: no history
RAUM -11% over the last fiscal year-7.4% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 19, 2025; every figure names its basis
- RAUM per advisor
- $89.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $2.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -9.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$162M91%
- Individuals$17.0M9.5%
- Individual clients
- 35reported
- HNW clients
- 42reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 77reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- C••• D•••• G••• to A••••••••• W•••••• L••Jul 18, 2014 · Other
- K••••• J• M••••••••• to H•••••• P•••• O••••• L••May 18, 2011 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• A•••••• L••• · Vp, Chief Compliance Officer, Chief Financial Officercontrolsince 05/2011 · owns less than 5%
- G••••••• J•••• T••••• · President, Directorcontrolsince 03/1998 · owns 50% to 75%
- G••••••• J••••• M••• · Secretarycontrolsince 03/1998 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 152 to 77Jan 29, 2024 to Mar 19, 2025
- HNW clients · 48 to 42Jan 29, 2024 to Mar 19, 2025
- Individual clients · 37 to 35Jan 29, 2024 to Mar 19, 2025
- Financial planning clients · unset to Jan 29, 2024 to Mar 19, 2025
- Discretionary RAUM · $201M to $179MJan 29, 2024 to Mar 19, 2025
- HNW RAUM · $184M to $162MJan 29, 2024 to Mar 19, 2025
- Individual RAUM · $17.2M to $17.0MJan 29, 2024 to Mar 19, 2025
- RAUM · $201M to $179MJan 29, 2024 to Mar 19, 2025
- Accounts · 160 to 152Mar 14, 2023 to Jan 29, 2024
- Individual clients · 35 to 37Mar 14, 2023 to Jan 29, 2024
- Discretionary RAUM · $223M to $201MMar 14, 2023 to Jan 29, 2024
- HNW RAUM · $207M to $184MMar 14, 2023 to Jan 29, 2024
- Individual RAUM · $15.9M to $17.2MMar 14, 2023 to Jan 29, 2024
- RAUM · $223M to $201MMar 14, 2023 to Jan 29, 2024
- Accounts · 156 to 160Mar 10, 2022 to Mar 14, 2023
- HNW clients · 50 to 48Mar 10, 2022 to Mar 14, 2023
- Individual clients · 40 to 35Mar 10, 2022 to Mar 14, 2023
- Discretionary RAUM · $225M to $223MMar 10, 2022 to Mar 14, 2023
- HNW RAUM · $204M to $207MMar 10, 2022 to Mar 14, 2023
- Individual RAUM · $20.9M to $15.9MMar 10, 2022 to Mar 14, 2023
- RAUM · $225M to $223MMar 10, 2022 to Mar 14, 2023
- Accounts · 157 to 156Mar 31, 2021 to Mar 10, 2022
- HNW clients · 53 to 50Mar 31, 2021 to Mar 10, 2022
- Pension plan clients · 1.0 to unsetMar 31, 2021 to Mar 10, 2022
- Discretionary RAUM · $197M to $225MMar 31, 2021 to Mar 10, 2022
- HNW RAUM · $169M to $204MMar 31, 2021 to Mar 10, 2022
- Individual RAUM · $19.4M to $20.9MMar 31, 2021 to Mar 10, 2022
- Pension RAUM · 9206218.0 to unsetMar 31, 2021 to Mar 10, 2022
- RAUM · $197M to $225MMar 31, 2021 to Mar 10, 2022
- Accounts · 169 to 157Jun 22, 2020 to Mar 29, 2021
- HNW clients · 59 to 53Jun 22, 2020 to Mar 29, 2021
- Individual clients · 39 to 40Jun 22, 2020 to Mar 29, 2021
- Discretionary RAUM · $217M to $197MJun 22, 2020 to Mar 29, 2021
- HNW RAUM · $186M to $169MJun 22, 2020 to Mar 29, 2021
- Individual RAUM · $20.1M to $19.4MJun 22, 2020 to Mar 29, 2021
- Pension RAUM · $10.6M to $9.2MJun 22, 2020 to Mar 29, 2021
- RAUM · $217M to $197MJun 22, 2020 to Mar 29, 2021
- Accounts · 161 to 169Mar 22, 2019 to Mar 17, 2020
- HNW clients · 64 to 59Mar 22, 2019 to Mar 17, 2020
- Individual clients · 44 to 39Mar 22, 2019 to Mar 17, 2020
Signals
1 dated events
- G•••••• C•••••• M••••••••• I•• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $178.7M)Jan 2, 2026 · Left the SEC roster · derived
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