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••••••••• G•••
Legal name G•••• W••••••• L•••• J••
Latest filing Mar 26, 2025
First filing on the tape Mar 15, 2012 · 31 filings
SEC status approved since Jun 10, 2015
RAUM
$311M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$290M 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
2
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$311M as of Mar 26, 2025
Mar 15, 2012$43.8M then
HNW client RAUM$278M as of Mar 26, 2025
Mar 20, 2018$159M then
State-registered IARs (5.B.3)2 as of Mar 26, 2025
Mar 15, 20120 then
Employees (5.A)2 as of Mar 26, 2025
Mar 29, 20162 then
Private funds: no history
RAUM +62% over the last fiscal year+6.1% a year over threeIARs 2 to 2offices 1 to 2
Practice profile
derived from the filing of Mar 26, 2025; every figure names its basis
- RAUM per advisor
- $155MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $21.4MderivedHNW RAUM over HNW clients
- Average account
- $948,051derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +62%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.0%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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$278M90%
- Charitable organizations$20.9M6.7%
- Individuals$11.7M3.8%
- Corporations and businesses$4,2180.0%
- Individual clients
- 85reported
- HNW clients
- 13reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 328reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- C••••••••• R•••• B••••• to A•••••••• P•••••••• L••Dec 3, 2025 · RIA to RIA
- W•••••• L••• G••• to A•••••••• P•••••••• L••Dec 3, 2025 · RIA to RIA
- W••••• M•••• N••••• to Y••• C•••••• C••••Feb 24, 2020 · RIA to RIA
- W•••••• L••• G••• to H••••• F•••••••• S•••••••• L•••Jan 27, 2012 · Other
Joined, latest
- C••••••••• R•••• B••••• from S••••••• F•••••••• S•••••••• I•••Sep 8, 2022 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••• W••••••• L••• · Sole Proprietor/Principal/Chief Compliance Officercontrolsince 08/2007 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Nashville, Tn | 0 | 0 | 1 | ||
| Santa Fe, Nm | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 313 to 328Oct 30, 2024 to Mar 26, 2025
- Individual clients · 86 to 85Oct 30, 2024 to Mar 26, 2025
- Financial planning clients · 11-25 to 1-10Oct 30, 2024 to Mar 26, 2025
- HQ city · unset to Oct 30, 2024 to Mar 26, 2025
- HQ state · unset to Oct 30, 2024 to Mar 26, 2025
- Other offices · 1 to 2Oct 30, 2024 to Mar 26, 2025
- Discretionary RAUM · $192M to $311MOct 30, 2024 to Mar 26, 2025
- HNW RAUM · $169M to $278MOct 30, 2024 to Mar 26, 2025
- Individual RAUM · $11.4M to $11.7MOct 30, 2024 to Mar 26, 2025
- RAUM · $192M to $311MOct 30, 2024 to Mar 26, 2025
- Accounts · 292 to 313Mar 10, 2023 to Mar 25, 2024
- HNW clients · 11 to 13Mar 10, 2023 to Mar 25, 2024
- Individual clients · 82 to 86Mar 10, 2023 to Mar 25, 2024
- Discretionary RAUM · $193M to $192MMar 10, 2023 to Mar 25, 2024
- HNW RAUM · $167M to $169MMar 10, 2023 to Mar 25, 2024
- Individual RAUM · $10.3M to $11.4MMar 10, 2023 to Mar 25, 2024
- RAUM · $193M to $192MMar 10, 2023 to Mar 25, 2024
- Accounts · 213 to 292Nov 8, 2022 to Mar 10, 2023
- Charity clients · 3 to 2Nov 8, 2022 to Mar 10, 2023
- Corporate clients · 2 to 1Nov 8, 2022 to Mar 10, 2023
- HNW clients · 15 to 11Nov 8, 2022 to Mar 10, 2023
- Individual clients · 52 to 82Nov 8, 2022 to Mar 10, 2023
- Financial planning clients · 0 to 11-25Nov 8, 2022 to Mar 10, 2023
- Other offices · 0 to 1Nov 8, 2022 to Mar 10, 2023
- Discretionary RAUM · $260M to $193MNov 8, 2022 to Mar 10, 2023
- HNW RAUM · $225M to $167MNov 8, 2022 to Mar 10, 2023
- Individual RAUM · $6.8M to $10.3MNov 8, 2022 to Mar 10, 2023
- RAUM · $260M to $193MNov 8, 2022 to Mar 10, 2023
- Advisory employees · 1 to 2Mar 26, 2022 to Nov 8, 2022
- Advisory activities · 2 to 3Mar 26, 2022 to Nov 8, 2022
- BD registered reps · 1 to 0Mar 26, 2022 to Nov 8, 2022
- Employees · 1 to 2Mar 26, 2022 to Nov 8, 2022
- Financial planning clients · unset to 0Mar 26, 2022 to Nov 8, 2022
- State-registered IARs · 1 to 2Mar 26, 2022 to Nov 8, 2022
- Accounts · 187 to 213Mar 25, 2021 to Mar 25, 2022
- Corporate clients · 1 to 2Mar 25, 2021 to Mar 25, 2022
- HNW clients · 10 to 15Mar 25, 2021 to Mar 25, 2022
- Individual clients · 59 to 52Mar 25, 2021 to Mar 25, 2022
- Discretionary RAUM · $232M to $260MMar 25, 2021 to Mar 25, 2022
- HNW RAUM · $185M to $225MMar 25, 2021 to Mar 25, 2022
Signals
6 dated events
- G••••••••• G••• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $311.0M)Jan 2, 2026 · Left the SEC roster · derived
- C••••••••• R•••• B••••• left G••••••••• G••• for A•••••••• P•••••••• L•• (registered 2025-10-03)Dec 3, 2025 · Advisor changed firm · fact
- W•••••• L••• G••• left G••••••••• G••• for A•••••••• P•••••••• L•• (registered 2025-10-03)Dec 3, 2025 · Advisor changed firm · fact
- G••••••••• G••• reported RAUM $311.0M, up 62% from $192.3M (2024-10-30 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- G••••••••• G••• reported RAUM $298.9M, up 122% from $134.6M (2019-04-23 to 2020-03-28)Mar 28, 2020 · RAUM change · derived
- G••••••••• G••• filed its initial SEC registration (Form ADV)May 29, 2015 · First SEC registration · fact
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