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•••• M••••••••• L••
Latest filing Nov 26, 2024
First filing on the tape Mar 30, 2012 · 25 filings
SEC status approved since Jul 27, 1988
RAUM
$314M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
87%
$274M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$314M as of Mar 28, 2024
Mar 30, 2012$226M then
HNW client RAUM$195M as of Mar 28, 2024
Mar 28, 2018$228M then
State-registered IARs (5.B.3)2 as of Mar 28, 2024
Apr 1, 20133 then
Employees (5.A)4 as of Mar 28, 2024
Apr 1, 20134 then
Private funds: no history
RAUM +13% over the last fiscal year+4.7% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Nov 26, 2024; every figure names its basis
- RAUM per advisor
- $157MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 139derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $510,966derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $19.9M, 63 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)
- 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$195M62%
- Individuals$79.0M25%
- Charitable organizations$20.9M6.7%
- State and municipal entities$11.7M3.7%
- Corporations and businesses$6.4M2.0%
- Pension and profit-sharing plans$948,8680.3%
- Individual clients
- 218reported
- HNW clients
- 59reported
- Pension plan clients
- n/areported
- Charitable clients
- 15reported
- Accounts
- 615reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $19.9M for 63 clientsreported
- 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
- K•••• W•••••• B•••••• to M•• C•••••• M••••••••• L••Jan 6, 2025 · RIA to RIA
- J•••• B••••• B••• to M•• C•••••• M••••••••• L••Jan 6, 2025 · RIA to RIA
- S•••• M•••••• L•••••• to C••••••••• F•••••••• N••••••Jun 21, 2024 · RIA to affiliated broker-dealer or bank
- E••• K• L•••••• to L•• F•••••••• L••Dec 31, 2011 · Other
- J•••• D••••• A••••••• to G•••••••• G•••••••• L••Dec 8, 2005 · Other
Joined, latest
- E••• K• L•••••• from R•••••• J•••• • A••••••••• I•••Oct 5, 2009 · Other
- S•••• M•••••• L•••••• from C••••••• I••••••••• I••••••••• L••Feb 27, 2008 · Other
- J•••• D••••• A••••••• from G•••••••• G•••••••• L••Jul 4, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for M•• C•••••• M••••••••• L••Jan 6, 2025 · Fayetteville, Ar
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• J••••• B••••• · Member And Vice Presidentcontrolsince 02/2017 · owns 25% to 50%
- B••••••• K••••• W•••••• · Member, President, And Chief Compliance Officercontrolsince 02/2017 · owns 50% to 75%
- B••••••• D••••••• T••• · Membersince 02/2017 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Fayetteville, Ar · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 584 to 615Mar 28, 2023 to Mar 28, 2024
- Advisory employees · 3 to 2Mar 28, 2023 to Mar 28, 2024
- Charity clients · 14 to 15Mar 28, 2023 to Mar 28, 2024
- Corporate clients · 2.0 to unsetMar 28, 2023 to Mar 28, 2024
- HNW clients · 52 to 59Mar 28, 2023 to Mar 28, 2024
- Pension plan clients · 1.0 to unsetMar 28, 2023 to Mar 28, 2024
- Assets in custody · unset to 19866985.0Mar 28, 2023 to Mar 28, 2024
- Custody of client assets · false to trueMar 28, 2023 to Mar 28, 2024
- Financial planning clients · 0 to unsetMar 28, 2023 to Mar 28, 2024
- State-registered IARs · 3 to 2Mar 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $267M to $301MMar 28, 2023 to Mar 28, 2024
- HNW RAUM · $164M to $195MMar 28, 2023 to Mar 28, 2024
- Individual RAUM · $79.8M to $79.0MMar 28, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $10.6M to $13.3MMar 28, 2023 to Mar 28, 2024
- Pension RAUM · $856,513 to $948,868Mar 28, 2023 to Mar 28, 2024
- RAUM · $278M to $314MMar 28, 2023 to Mar 28, 2024
- Accounts · 594 to 584Mar 16, 2022 to Mar 28, 2023
- Charity clients · 12 to 14Mar 16, 2022 to Mar 28, 2023
- HNW clients · 51 to 52Mar 16, 2022 to Mar 28, 2023
- Individual clients · 222 to 218Mar 16, 2022 to Mar 28, 2023
- Discretionary RAUM · $297M to $267MMar 16, 2022 to Mar 28, 2023
- HNW RAUM · $188M to $164MMar 16, 2022 to Mar 28, 2023
- Individual RAUM · $88.2M to $79.8MMar 16, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $13.1M to $10.6MMar 16, 2022 to Mar 28, 2023
- Pension RAUM · $582,371 to $856,513Mar 16, 2022 to Mar 28, 2023
- RAUM · $310M to $278MMar 16, 2022 to Mar 28, 2023
- Accounts · 568 to 594Mar 19, 2021 to Mar 16, 2022
- Charity clients · 10 to 12Mar 19, 2021 to Mar 16, 2022
- HNW clients · 49 to 51Mar 19, 2021 to Mar 16, 2022
- Individual clients · 212 to 222Mar 19, 2021 to Mar 16, 2022
- Discretionary RAUM · $264M to $297MMar 19, 2021 to Mar 16, 2022
- HNW RAUM · $165M to $188MMar 19, 2021 to Mar 16, 2022
- Individual RAUM · $73.9M to $88.2MMar 19, 2021 to Mar 16, 2022
- Non-discretionary RAUM · $9.8M to $13.1MMar 19, 2021 to Mar 16, 2022
- Pension RAUM · $561,916 to $582,371Mar 19, 2021 to Mar 16, 2022
- RAUM · $274M to $310MMar 19, 2021 to Mar 16, 2022
- Accounts · 689 to 568Jun 29, 2020 to Mar 19, 2021
- Corporate clients · 1 to 2Jun 29, 2020 to Mar 19, 2021
- HNW clients · 64 to 49Jun 29, 2020 to Mar 19, 2021
- Individual clients · 253 to 212Jun 29, 2020 to Mar 19, 2021
Signals
8 dated events
- G••••••• A•••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $314.2M)Feb 3, 2025 · Left the SEC roster · derived
- J•••• B••••• B••• left G••••••• A•••• M••••••••• L•• for M•• C•••••• M••••••••• L•• (registered 2025-01-03)Jan 6, 2025 · Advisor changed firm · fact
- K•••• W•••••• B•••••• left G••••••• A•••• M••••••••• L•• for M•• C•••••• M••••••••• L•• (registered 2025-01-09)Jan 6, 2025 · Advisor changed firm · fact
- 2 advisors left G••••••• A•••• M••••••••• L•• (Fayetteville, AR) for M•• C•••••• M••••••••• L•• on the same dayJan 6, 2025 · Team lift-out · derived
- Jean Carla Muruaga-Atkins (Trustee) no longer on Schedule A of G••••••• A•••• M••••••••• L•• (listed 2024-03-29, absent 2024-11-20)Nov 20, 2024 · Control person left · inference
- S•••• M•••••• L•••••• left G••••••• A•••• M••••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2012-03-06)Jun 21, 2024 · Advisor changed firm · fact
- Jean Carla Muruaga-Atkins (Trustee) appeared on Schedule A of G••••••• A•••• M••••••••• L••Mar 28, 2024 · Control person joined · fact
- Edward Glenn Atkins (Member - Exec. Vp & Chief Compliance Officer) no longer on Schedule A of G••••••• A•••• M••••••••• L•• (listed 2023-03-28, absent 2024-03-28)Mar 28, 2024 · 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