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•••••• I••••••••• M•••••••••
Legal name G•••••• I••••••••• M••••••••• I••
Latest filing Mar 29, 2024
First filing on the tape Mar 26, 2012 · 16 filings
RAUM
$642M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$606M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
16 filings and snapshots on the tape
RAUM$642M as of Mar 29, 2024
Mar 26, 2012$312M then
HNW client RAUM$574M as of Mar 29, 2024
Mar 23, 2018$430M then
State-registered IARs (5.B.3)1 as of Mar 29, 2024
Mar 26, 20120 then
Employees (5.A)1 as of Mar 29, 2024
Mar 28, 20131 then
Private funds: no history
RAUM +6.9% over the last fiscal year+11% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 29, 2024; every figure names its basis
- RAUM per advisor
- $642MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 280derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $774,995derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.6%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
- +6.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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$574M89%
- Charitable organizations$36.1M5.6%
- Individuals$31.8M5.0%
- Individual clients
- 142reported
- HNW clients
- 138reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 828reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
- D•••• G•••••• P•••••••• to P•• W••••• M•••••••••Aug 12, 2024 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••••• D••••• G•••••• · Cfo, Ceo, Chief Compliance Officercontrolsince 12/1992 · 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 |
|---|---|---|---|---|---|
| Orange, Va | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 832 to 828Mar 27, 2023 to Mar 29, 2024
- HNW clients · 136 to 138Mar 27, 2023 to Mar 29, 2024
- Individual clients · 147 to 142Mar 27, 2023 to Mar 29, 2024
- Discretionary RAUM · $601M to $642MMar 27, 2023 to Mar 29, 2024
- HNW RAUM · $542M to $574MMar 27, 2023 to Mar 29, 2024
- Individual RAUM · $25.6M to $31.8MMar 27, 2023 to Mar 29, 2024
- RAUM · $601M to $642MMar 27, 2023 to Mar 29, 2024
- Accounts · 788 to 832Mar 23, 2022 to Mar 26, 2023
- HNW clients · 126 to 136Mar 23, 2022 to Mar 26, 2023
- Individual clients · 168 to 147Mar 23, 2022 to Mar 26, 2023
- Discretionary RAUM · $563M to $601MMar 23, 2022 to Mar 26, 2023
- HNW RAUM · $495M to $542MMar 23, 2022 to Mar 26, 2023
- Individual RAUM · $35.6M to $25.6MMar 23, 2022 to Mar 26, 2023
- RAUM · $563M to $601MMar 23, 2022 to Mar 26, 2023
- Accounts · 780 to 788Mar 30, 2021 to Mar 23, 2022
- HNW clients · 122 to 126Mar 30, 2021 to Mar 23, 2022
- Individual clients · 188 to 168Mar 30, 2021 to Mar 23, 2022
- Discretionary RAUM · $473M to $563MMar 30, 2021 to Mar 23, 2022
- HNW RAUM · $413M to $495MMar 30, 2021 to Mar 23, 2022
- Individual RAUM · $28.4M to $35.6MMar 30, 2021 to Mar 23, 2022
- RAUM · $473M to $563MMar 30, 2021 to Mar 23, 2022
- Accounts · 814 to 780Mar 10, 2021 to Mar 30, 2021
- Charity clients · 1 to 2Mar 10, 2021 to Mar 30, 2021
- HNW clients · 116 to 122Mar 10, 2021 to Mar 30, 2021
- Individual clients · 174 to 188Mar 10, 2021 to Mar 30, 2021
- Discretionary RAUM · $492M to $473MMar 10, 2021 to Mar 30, 2021
- HNW RAUM · $429M to $413MMar 10, 2021 to Mar 30, 2021
- Individual RAUM · $38.8M to $28.4MMar 10, 2021 to Mar 30, 2021
- RAUM · $492M to $473MMar 10, 2021 to Mar 30, 2021
- Accounts · 1,015 to 814Mar 30, 2019 to Mar 31, 2020
- HNW clients · 114 to 116Mar 30, 2019 to Mar 31, 2020
- Individual clients · 156 to 174Mar 30, 2019 to Mar 31, 2020
- Discretionary RAUM · $458M to $492MMar 30, 2019 to Mar 31, 2020
- HNW RAUM · $385M to $429MMar 30, 2019 to Mar 31, 2020
- Individual RAUM · $36.0M to $38.8MMar 30, 2019 to Mar 31, 2020
- RAUM · $458M to $492MMar 30, 2019 to Mar 31, 2020
- Accounts · 781 to 1,015Mar 23, 2018 to Mar 30, 2019
- HNW clients · 124 to 114Mar 23, 2018 to Mar 30, 2019
- Individual clients · 119 to 156Mar 23, 2018 to Mar 30, 2019
- Discretionary RAUM · $499M to $458MMar 23, 2018 to Mar 30, 2019
Signals
1 dated events
- D•••• G•••••• P•••••••• left G•••••• I••••••••• M••••••••• for P•• W••••• M••••••••• (registered 2024-07-01)Aug 12, 2024 · Advisor changed firm · 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