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.

Former SEC-registered adviser

G••••••••• A••••••••• L••

Former SEC-registered adviserMemphis, TennesseeCRD 108330SEC 801-36616IAPD
Latest filing Mar 30, 2022
First filing on the tape Mar 1, 2012 · 15 filings
RAUM
$398M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
18%
$70.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
18
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$398M as of Mar 30, 2022
Mar 1, 2012$512M then
HNW client RAUM$70.3M as of Mar 30, 2022
Mar 29, 2018$92.0M then
State-registered IARs (5.B.3)9 as of Mar 30, 2022
Mar 1, 20120 then
Employees (5.A)18 as of Mar 30, 2022
Mar 28, 201318 then
Private funds: no history
RAUM +41% over the last fiscal year+5.4% a year over threeIARs 7 to 9
Practice profile
derived from the filing of Mar 30, 2022; every figure names its basis
RAUM per advisor
$44.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
2derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.3MderivedHNW RAUM over HNW clients
Average account
$2.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
32%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
9.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+41%derivedbetween the last two annual amendments
Advisor growth, one year
+29%derivedItem 5.B.3 between annual amendments
Client growth, one year
+5.0%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
$48.3M, 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)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$200M50%
  • Charitable organizations$124M31%
  • High-net-worth individuals$70.3M18%
  • Pension and profit-sharing plans$4.0M1.0%
Individual clients
0reported
HNW clients
21reported
Pension plan clients
n/areported
Charitable clients
9reported
Accounts
183reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$48.3M for 1 clientsreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• M•••• C•••••• · Chief Financial Officercontrol
        since 10/2004 · owns less than 5%
      • D•••••••• M••••••• J•••• · Secretarycontrol
        since 12/1994 · owns less than 5%
      • G•••••• C••••••• C••• · Treasurercontrol
        since 12/1990 · owns less than 5%
      • K•••••• D•••••• D•••••• · Chief Compliance Officercontrol
        since 03/2022 · owns less than 5%
      • K••••••• M••••••• K•••••• · Chief Operations Officercontrol
        since 03/2022 · owns less than 5%
      • P••••••• W••••••• E••••• · Ceo/Presidentcontrol
        since 02/2013 · owns less than 5%
      Entity owners
      • G••••••••• C•••••• A••••••• L• · Holding Company
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Advisers that list G••••••••• A••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 43 to 183
        Jul 22, 2021 to Mar 30, 2022
      • Advisory employees · 9 to 12
        Jul 22, 2021 to Mar 30, 2022
      • Business name · G••••••••• A••••••••• I••• to G••••••••• A••••••••• L••
        Jul 22, 2021 to Mar 30, 2022
      • Charity clients · 10 to 9
        Jul 22, 2021 to Mar 30, 2022
      • Corporate clients · 13 to 12
        Jul 22, 2021 to Mar 30, 2022
      • HNW clients · 20 to 21
        Jul 22, 2021 to Mar 30, 2022
      • Insurance-licensed employees · 0 to 1
        Jul 22, 2021 to Mar 30, 2022
      • State-registered IARs · 7 to 9
        Jul 22, 2021 to Mar 30, 2022
      • Legal name · G••••••••• A••••••••• I••• to G••••••••• A••••••••• L••
        Jul 22, 2021 to Mar 30, 2022
      • HNW RAUM · $79.4M to $70.3M
        Jul 22, 2021 to Mar 30, 2022
      • Non-discretionary RAUM · $282M to $398M
        Jul 22, 2021 to Mar 30, 2022
      • Pension RAUM · $2.3M to $4.0M
        Jul 22, 2021 to Mar 30, 2022
      • RAUM · $282M to $398M
        Jul 22, 2021 to Mar 30, 2022
      • Succession · true to false
        Jul 22, 2021 to Mar 30, 2022
      • Organization form · Corporation to Limited Liability Company
        Mar 31, 2021 to Jul 22, 2021
      • Succession · false to true
        Mar 31, 2021 to Jul 22, 2021
      • Accounts · 180 to 43
        Jun 29, 2020 to Mar 31, 2021
      • Advisory employees · 10 to 9
        Jun 29, 2020 to Mar 31, 2021
      • Charity clients · 11 to 10
        Jun 29, 2020 to Mar 31, 2021
      • Corporate clients · 15 to 13
        Jun 29, 2020 to Mar 31, 2021
      • Assets in custody · $39.6M to $48.3M
        Jun 29, 2020 to Mar 31, 2021
      • Employees · 19 to 18
        Jun 29, 2020 to Mar 31, 2021
      • State-registered IARs · 8 to 7
        Jun 29, 2020 to Mar 31, 2021
      • HNW RAUM · $83.2M to $79.4M
        Jun 29, 2020 to Mar 31, 2021
      • Non-discretionary RAUM · $284M to $282M
        Jun 29, 2020 to Mar 31, 2021
      • Pension RAUM · $1.9M to $2.3M
        Jun 29, 2020 to Mar 31, 2021
      • RAUM · $284M to $282M
        Jun 29, 2020 to Mar 31, 2021
      • Accounts · 179 to 180
        Mar 28, 2019 to Mar 20, 2020
      • Advisory employees · 11 to 10
        Mar 28, 2019 to Mar 20, 2020
      • Charity clients · 12 to 11
        Mar 28, 2019 to Mar 20, 2020
      • Corporate clients · 17 to 15
        Mar 28, 2019 to Mar 20, 2020
      • HNW clients · 21 to 20
        Mar 28, 2019 to Mar 20, 2020
      • Assets in custody · $34.7M to $39.6M
        Mar 28, 2019 to Mar 20, 2020
      • Employees · 20 to 19
        Mar 28, 2019 to Mar 20, 2020
      • State-registered IARs · 9 to 8
        Mar 28, 2019 to Mar 20, 2020
      • HNW RAUM · $73.2M to $83.2M
        Mar 28, 2019 to Mar 20, 2020
      • Non-discretionary RAUM · $340M to $284M
        Mar 28, 2019 to Mar 20, 2020
      • Pension RAUM · $1.6M to $1.9M
        Mar 28, 2019 to Mar 20, 2020
      • RAUM · $340M to $284M
        Mar 28, 2019 to Mar 20, 2020
      • Accounts · 58 to 179
        Apr 23, 2018 to Mar 28, 2019
      Signals
      5 dated events
      • Kenneth Matthew Kinnear (Chief Operations Officer) appeared on Schedule A of G••••••••• A••••••••• L••
        Mar 30, 2022 · Control person joined · fact
      • G••••••••• A••••••••• L•• reported RAUM $398.1M, up 41% from $281.7M (2021-07-22 to 2022-03-30)
        Mar 30, 2022 · RAUM change · derived
      • Douglas Darren Kearns (Chief Compliance Officer) appeared on Schedule A of G••••••••• A••••••••• L••
        Mar 30, 2022 · Control person joined · fact
      • G••••••••• A••••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Jul 22, 2021 · Succession (Item 4) · fact
      • Andrew Robert Taylor (Director) no longer on Schedule A of G••••••••• A••••••••• L•• (listed 2019-03-28, absent 2020-03-20)
        Mar 20, 2020 · 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