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
G••• L• G••••••••
Legal name G•••••••• G••• L••••
Latest filing Mar 27, 2026
First filing on the tape Mar 29, 2012 · 21 filings
SEC status approved since May 15, 1985
RAUM
$141M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$124M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$141M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$141M as of Mar 27, 2026
Mar 29, 2012$120M then
HNW client RAUM$104M as of Mar 27, 2026
Mar 14, 2019$126M then
State-registered IARs (5.B.3)1 as of Mar 27, 2026
Mar 29, 20120 then
Employees (5.A)1 as of Mar 27, 2026
Mar 14, 20131 then
Private funds: no history
RAUM -0.5% over the last fiscal year+2.8% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $141MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +19%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$104M81%
- Individuals$20.3M16%
- Charitable organizations$3.5M2.8%
- Individual clients
- 34reported
- HNW clients
- 29reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 124reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••• L•••• G•••••••• | Eden Prairie, Mn | Jul 31, 2013 | 41 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••••••••• G•••• L•••• · Sole Proprietor & Chief Compliance Officercontrolsince 01/1985 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 27, 2026HNW share of RAUM moved from 7.0% to 74.0% between the annual amendments of 2025-03-31 and 2026-03-27peers: independent wealth managers, $100M to $500M (5,676)
- business activity changedChange between filings · filing Mar 27, 2026financial planning (Item 5.G.1): no on the filing of 2025-03-31, yes on the filing of 2026-03-27peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 119 to 124Mar 31, 2025 to Mar 27, 2026
- Advisory activities · 3 to 4Mar 31, 2025 to Mar 27, 2026
- HNW clients · 26 to 29Mar 31, 2025 to Mar 27, 2026
- Individual clients · 27 to 34Mar 31, 2025 to Mar 27, 2026
- Financial planning clients · to 1-10Mar 31, 2025 to Mar 27, 2026
- Discretionary RAUM · $142M to $141MMar 31, 2025 to Mar 27, 2026
- HNW RAUM · $9.6M to $104MMar 31, 2025 to Mar 27, 2026
- Individual RAUM · $129M to $20.3MMar 31, 2025 to Mar 27, 2026
- RAUM · $142M to $141MMar 31, 2025 to Mar 27, 2026
- Accounts · 127 to 119Nov 1, 2024 to Mar 31, 2025
- Charity clients · 1 to 3Nov 1, 2024 to Mar 31, 2025
- HNW clients · 32 to 26Nov 1, 2024 to Mar 31, 2025
- Individual clients · 24 to 27Nov 1, 2024 to Mar 31, 2025
- Financial planning clients · unset to Nov 1, 2024 to Mar 31, 2025
- Discretionary RAUM · $133M to $142MNov 1, 2024 to Mar 31, 2025
- HNW RAUM · $122M to $9.6MNov 1, 2024 to Mar 31, 2025
- Individual RAUM · $9.6M to $129MNov 1, 2024 to Mar 31, 2025
- RAUM · $133M to $142MNov 1, 2024 to Mar 31, 2025
- HQ city · MINNEAPOLIS to EDEN PRAIRIEMar 28, 2024 to Nov 1, 2024
- Accounts · 153 to 127Mar 29, 2023 to Mar 28, 2024
- Charity clients · unset to 1.0Mar 29, 2023 to Mar 28, 2024
- HNW clients · 31 to 32Mar 29, 2023 to Mar 28, 2024
- Individual clients · 37 to 24Mar 29, 2023 to Mar 28, 2024
- Financial planning clients · 1-10 to unsetMar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $130M to $133MMar 29, 2023 to Mar 28, 2024
- HNW RAUM · $113M to $122MMar 29, 2023 to Mar 28, 2024
- Individual RAUM · $17.1M to $9.6MMar 29, 2023 to Mar 28, 2024
- RAUM · $130M to $133MMar 29, 2023 to Mar 28, 2024
- Accounts · 162 to 153Mar 24, 2022 to Mar 29, 2023
- Charity clients · 1.0 to unsetMar 24, 2022 to Mar 29, 2023
- Corporate clients · 3.0 to unsetMar 24, 2022 to Mar 29, 2023
- HNW clients · 44 to 31Mar 24, 2022 to Mar 29, 2023
- Individual clients · 31 to 37Mar 24, 2022 to Mar 29, 2023
- Discretionary RAUM · $149M to $130MMar 24, 2022 to Mar 29, 2023
- HNW RAUM · $115M to $113MMar 24, 2022 to Mar 29, 2023
- Individual RAUM · $11.0M to $17.1MMar 24, 2022 to Mar 29, 2023
- RAUM · $149M to $130MMar 24, 2022 to Mar 29, 2023
- Accounts · 160 to 162Mar 29, 2021 to Mar 24, 2022
- Corporate clients · 4 to 3Mar 29, 2021 to Mar 24, 2022
- HNW clients · 46 to 44Mar 29, 2021 to Mar 24, 2022
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- G••• L• G•••••••• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Principal office phone
- 612-360-4557reportedpublic record, Form ADV, Mar 27, 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
- $141Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026