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•••••••• M••••• • A•••••••••
Latest filing Oct 7, 2022
First filing on the tape Mar 29, 2012 · 16 filings
RAUM
$997M
reported, Item 5.F
Discretionary
75%
of RAUM
Private clients
74%
$735M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
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$997M as of Mar 22, 2022
Mar 29, 2012$290M then
HNW client RAUM$721M as of Mar 22, 2022
Mar 30, 2018$452M then
State-registered IARs (5.B.3)2 as of Mar 22, 2022
Mar 29, 20120 then
Employees (5.A)6 as of Mar 22, 2022
Mar 27, 20136 then
Private funds: no history
RAUM +33% over the last fiscal year+21% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Oct 7, 2022; every figure names its basis
- RAUM per advisor
- $499MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.6MderivedHNW RAUM over HNW clients
- Average account
- $2.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 75%derivedof RAUM
- Institutional
- 26%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +33%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $62.6M, 8 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$721M72%
- Charitable organizations$259M26%
- Individuals$13.5M1.4%
- Pension and profit-sharing plans$2.6M0.3%
- Corporations and businesses$361,3920.0%
- Individual clients
- 41reported
- HNW clients
- 68reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 365reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $62.6M for 8 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- R•••••• M•••••• G•••••••• to M••••• G••••• A••••••• I•••Dec 16, 2022 · RIA to RIA
- T•••• L••• M••••••• to F•• S••••••••• C•••••••••Apr 24, 2008 · Other
- J•••• C•••••• A••••• to W••• I••••••••• I•••Nov 21, 2007 · Other
- K•••• R•• G••••••••• to A••••• C••••••••• G••••Jun 22, 2004 · Other
Joined, latest
- T•••• L••• M••••••• from M•• I•••••••• S•••••••• L••Jan 2, 2008 · Other
- J•••• C•••••• A••••• from B••• O• A•••••• I••••••••• S•••••••• I•••Jan 8, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• R••••••• M•••••• · President/Chief Compliance Officercontrolsince 01/1996 · owns less than 5%
- M•••••• R•••••• G•••• · Vice President, Vp Compliancecontrolsince 10/1998 · owns less than 5%
Entity owners
- M••••• G••••• A••••••• I••• · Parent Companydirect · 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.
What changed
consecutive filings, newest first
- Accounts · 316 to 365Mar 15, 2021 to Mar 22, 2022
- HNW clients · 64 to 68Mar 15, 2021 to Mar 22, 2022
- Individual clients · 33 to 41Mar 15, 2021 to Mar 22, 2022
- Assets in custody · $42.7M to $62.6MMar 15, 2021 to Mar 22, 2022
- Discretionary RAUM · $643M to $743MMar 15, 2021 to Mar 22, 2022
- HNW RAUM · $554M to $721MMar 15, 2021 to Mar 22, 2022
- Individual RAUM · $12.1M to $13.5MMar 15, 2021 to Mar 22, 2022
- Non-discretionary RAUM · $106M to $254MMar 15, 2021 to Mar 22, 2022
- Pension RAUM · $2.3M to $2.6MMar 15, 2021 to Mar 22, 2022
- RAUM · $749M to $997MMar 15, 2021 to Mar 22, 2022
- Accounts · 309 to 316Aug 6, 2020 to Mar 15, 2021
- HNW clients · 69 to 64Aug 6, 2020 to Mar 15, 2021
- Individual clients · 29 to 33Aug 6, 2020 to Mar 15, 2021
- Assets in custody · $36.6M to $42.7MAug 6, 2020 to Mar 15, 2021
- Employees · 7 to 6Aug 6, 2020 to Mar 15, 2021
- Discretionary RAUM · $587M to $643MAug 6, 2020 to Mar 15, 2021
- HNW RAUM · $501M to $554MAug 6, 2020 to Mar 15, 2021
- Individual RAUM · $7.7M to $12.1MAug 6, 2020 to Mar 15, 2021
- Non-discretionary RAUM · $105M to $106MAug 6, 2020 to Mar 15, 2021
- Pension RAUM · $1.9M to $2.3MAug 6, 2020 to Mar 15, 2021
- RAUM · $692M to $749MAug 6, 2020 to Mar 15, 2021
- Accounts · 314 to 309Mar 27, 2019 to Mar 25, 2020
- HNW clients · 53 to 69Mar 27, 2019 to Mar 25, 2020
- Individual clients · 46 to 29Mar 27, 2019 to Mar 25, 2020
- Pension plan clients · 6.0 to unsetMar 27, 2019 to Mar 25, 2020
- Assets in custody · $31.7M to $36.6MMar 27, 2019 to Mar 25, 2020
- Discretionary RAUM · $504M to $587MMar 27, 2019 to Mar 25, 2020
- HNW RAUM · $379M to $501MMar 27, 2019 to Mar 25, 2020
- Individual RAUM · $15.6M to $7.7MMar 27, 2019 to Mar 25, 2020
- Non-discretionary RAUM · $56.1M to $105MMar 27, 2019 to Mar 25, 2020
- Pension RAUM · $9.8M to $1.9MMar 27, 2019 to Mar 25, 2020
- RAUM · $561M to $692MMar 27, 2019 to Mar 25, 2020
- Accounts · 322 to 314Mar 30, 2018 to Mar 27, 2019
- Charity clients · 4 to 0Mar 30, 2018 to Mar 27, 2019
- Corporate clients · 2 to 0Mar 30, 2018 to Mar 27, 2019
- HNW clients · 65 to 53Mar 30, 2018 to Mar 27, 2019
- Individual clients · 41 to 46Mar 30, 2018 to Mar 27, 2019
- Pension plan clients · 5 to 6Mar 30, 2018 to Mar 27, 2019
- Pooled vehicle clients · unset to 0.0Mar 30, 2018 to Mar 27, 2019
- Assets in custody · $35.0M to $31.7MMar 30, 2018 to Mar 27, 2019
Signals
2 dated events
- R•••••• M•••••• G•••••••• left G•••••••• M••••• • A••••••••• for M••••• G••••• A••••••• I••• (registered 2022-10-31)Dec 16, 2022 · Advisor changed firm · fact
- G•••••••• M••••• • A••••••••• reported RAUM $997.2M, up 33% from $749.2M (2021-03-15 to 2022-03-22)Mar 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.
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