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.
Former SEC-registered adviser
Gfp Private Wealth
Legal name Gries Financial LLC
Latest filing Aug 14, 2025
First filing on the tape Mar 29, 2012 · 42 filings
SEC status approved since Apr 16, 1999
RAUM
$1.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$1.2B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
30
18 advisory (5.B.1)
Offices
9
beyond the principal office
Private funds
7
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$1.3B as of Aug 14, 2025
Mar 29, 2012$485M then
HNW client RAUM$1.1B as of Aug 14, 2025
Mar 30, 2018$513M then
State-registered IARs (5.B.3)19 as of Aug 14, 2025
Mar 29, 20120 then
Employees (5.A)30 as of Aug 14, 2025
Mar 28, 201314 then
Private funds7 as of Aug 14, 2025
Mar 31, 202010 then
RAUM +11% over the last fiscal year+12% a year over threeIARs 0 to 19offices 1 to 9
Practice profile
derived from the filing of Aug 14, 2025; every figure names its basis
- RAUM per advisor
- $70.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $812,974derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 1.9derived10 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.4%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $95.4M, 45 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B83%
- Individuals$104M7.7%
- Charitable organizations$55.0M4.1%
- Pension and profit-sharing plans$47.4M3.5%
- Corporations and businesses$26.5M2.0%
- Individual clients
- 429reported
- HNW clients
- 264reported
- Pension plan clients
- 3reported
- Charitable clients
- 10reported
- Accounts
- 1,658reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $95.4M for 45 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- 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
18 left, 0 joined in 12 months
net -18 in 12 months0 left in 90 days0 joined in 90 days24 left over 36 months
Left, latest
- Kenneth Ross Brodkowitz to Bull Harbor Capital LLC.Apr 29, 2026 · RIA to RIA
- Robert Joseph Herman to Bull Harbor Capital LLC.Apr 29, 2026 · RIA to RIA
- Sarah Louise Gries to Arax Advisory PartnersMar 24, 2026 · RIA to RIA
- Brent Roger Horvath to Arax Advisory PartnersFeb 13, 2026 · RIA to RIA
- Robert Joseph Samrah to Arax Advisory PartnersFeb 6, 2026 · RIA to RIA
- Steven Bennett Goode to Logix Investments LLCFeb 6, 2026 · RIA to RIA
- Michael Norman Manly to Arax Advisory PartnersFeb 6, 2026 · RIA to RIA
- Carina Shipotofsky Diamond to Arax Advisory PartnersFeb 6, 2026 · RIA to RIA
- Edward Joseph Bell to Arax Advisory PartnersFeb 6, 2026 · RIA to RIA
- Jacob T Cooke to Arax Advisory PartnersFeb 6, 2026 · RIA to RIA
- Jennifer Weixiao Condon to Arax Advisory PartnersFeb 6, 2026 · RIA to RIA
- William George Caster to Arax Advisory PartnersFeb 6, 2026 · RIA to RIA
- Brian Joseph Durkin to Logix Investments LLCFeb 6, 2026 · RIA to RIA
- Glenn J Arons to Arax Advisory PartnersFeb 6, 2026 · RIA to RIA
- Kristian Daniel Jarosz to Arax Advisory PartnersFeb 6, 2026 · RIA to RIA
Joined, latest
- Carina Shipotofsky Diamond from Dakore Wealth Management, LLCSep 30, 2024 · RIA to RIA
- Brian Joseph Durkin from Lake Street AdvisorsMay 22, 2024 · RIA to RIA
- William George Caster from Bny Mellon Securities CorporationMay 21, 2024 · Other
- Jacob Robert Waldenmeyer from Charles Schwab & Co., Inc.Mar 20, 2024 · Affiliated broker-dealer or bank to independent RIA
- Daniel Vincent Beringer from Charles Schwab & Co., Inc.Mar 19, 2024 · Affiliated broker-dealer or bank to independent RIA
- Dennis Chapman Delphenich from Capital Portfolio Advisors, Inc.Nov 2, 2023 · Other
- Angelo Jerome Leslie from Planning Alternatives LtdDec 10, 2021 · RIA to RIA
- Robert Joseph Samrah from Rehmann WealthOct 3, 2021 · RIA to RIA
- Jared Anthony Gruszczynski from MarinerApr 30, 2021 · Affiliated broker-dealer or bank to independent RIA
- Vick Khoboyan from Merrill Lynch, Pierce, Fenner & Smith IncorporatedApr 29, 2021 · Wirehouse to independent RIA
- Glenn J Arons from Park Avenue Securities LLCOct 16, 2020 · Affiliated broker-dealer or bank to independent RIA
- Alan Marshall Eichner from Eichner Investment Planning, LLCMar 25, 2010 · Other
- Brent Roger Horvath from Charles Schwab & Co., Inc.Nov 23, 2009 · Other
- Robert Joseph Herman from Logix Investment ManagementNov 23, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 12 left for Arax Advisory PartnersFeb 6, 2026 · Cleveland, Oh · Firm absorbed
Private funds
11 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Altalpha Vintage, L.P. | Private Equity Fund | $12.3M | 50 | Jun 27, 2024 |
| Fieldstone - Sage Mill | Real Estate Fund | $2.0M | 29 | Oct 11, 2019 |
| Fieldstone Gem Vi Investors | Real Estate Fund | $1.2M | 27 | Oct 11, 2019 |
| Fieldstone Gem V Investors | Real Estate Fund | $986,696 | 27 | Oct 11, 2019 |
| Fieldstone Phoenix '07 Fund | Real Estate Fund | $468,512 | 31 | Oct 11, 2019 |
| Fieldstone Phoenix 2010 Fund | Real Estate Fund | $50,232 | 23 | Oct 11, 2019 |
| Fieldstone Phoenix 2011 Fund | Real Estate Fund | $40,836 | 24 | Oct 11, 2019 |
| Fieldstone Phoenix 2012 Fundno longer reported | Real Estate Fund | $32,058 | 18 | Oct 11, 2019 |
| Fieldstone Gem Investors IV | Real Estate Fund | $14,840 | 36 | Oct 11, 2019 |
| Fieldstone Citymark | Real Estate Fund | $0 | 16 | Oct 11, 2019 |
| Gem III Investors | Real Estate Fund | $0 | 18 | Oct 11, 2019 |
Owners and control persons
Schedule A and B, latest filing
- Joseph Edward Bell · Chairmancontrolsince 05/2022 · owns less than 5%
- Ross Kenneth Brodkowitz · Chief Investment Officercontrolsince 03/2017 · owns less than 5%
- Shipotofsky Carina Diamond · Chief Growth Officer / Chief Executive Officercontrolsince 09/2024 · owns less than 5%
- Joseph Brian Durkin · Chief Compliance Officercontrolsince 05/2024 · owns less than 5%
- Rich Lauren Fine · Senior Managing Directorcontrolsince 05/2022 · owns less than 5%
- Joseph Robert Herman · Managing Principalcontrolsince 05/2022 · owns less than 5%
- Hamilton Jeffrey Palmer · Executive Director, Integration Strategiescontrolsince 10/2023 · owns less than 5%
- Jayant Hemal Gala · Vice President Operationssince 11/2022 · owns less than 5%
Entity owners
- T4g Financial Services LLC · Memberdirect · owns 75% or more
- Delta Dental Plan Of Michigan Inc · Memberindirect · owns 75% or more of The 4100 Group, Inc.
- Delta Dental Plan Of Ohio Inc · Memberindirect · owns 25% to 50% of The 4100 Group, Inc.
- Renaissance Health Service Corporation · Memberindirect · owns F of Delta Dental Plan Of Michigan Inc
- T4g Management LLC · Memberindirect · owns 75% or more of T4g Financial Services LLC
- The 4100 Group, Inc. · Memberindirect · owns 75% or more of T4g Management LLC
Related persons
Schedule D 7.A
- Bull Harbor Capital LLC.investment advisernRAUM $355M
- Delta Dental Of Kentucky, Increal estaten
- Delta Dental Of North Carolinareal estaten
- Delta Dental Of Tennesseereal estaten
- Delta Dental Plan Of Arkansas, Increal estaten
- Delta Dental Plan Of Indiana, Increal estaten
- Delta Dental Plan Of Michigan, Increal estatey
- Delta Dental Plan Of New Mexico, Increal estaten
- Delta Dental Plan Of Ohio, Increal estaten
- Logix Investments LLCinvestment adviseryRAUM $100M
- Red Cedar Investment Managementinvestment advisernRAUM $3.3B
- Renaissance Life & Health Company Of New Yorkreal estaten
- Renaissance Life And Health Insurance Company Of Americareal estaten
Advisers that list Gfp Private Wealth as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chagrin Falls, Oh | 0 | 0 | 1 | ||
| Mamoroneck, Ny | 0 | 0 | 1 | ||
| Marshfield, Ma | 0 | 0 | 1 | ||
| Nashville, Tn | 0 | 0 | 1 | ||
| Park City, Ut | 0 | 0 | 0 | ||
| Sarasota, Fl | 0 | 0 | 1 | ||
| Cleveland, Oh · principal | 0 | 0 | 13 | ||
| Overland Park, Ks | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Cincinnati, OH3 employees
- , 1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 101-250 to 101-250May 5, 2025 to Jul 28, 2025
- Accounts · 1,731 to 1,658Dec 2, 2024 to Mar 28, 2025
- Advisory employees · 17 to 18Dec 2, 2024 to Mar 28, 2025
- Business name · GRIES FINANCIAL PARTNERS to GFP PRIVATE WEALTHDec 2, 2024 to Mar 28, 2025
- Charity clients · 14 to 10Dec 2, 2024 to Mar 28, 2025
- Corporate clients · 28 to 21Dec 2, 2024 to Mar 28, 2025
- HNW clients · 224 to 264Dec 2, 2024 to Mar 28, 2025
- Individual clients · 466 to 429Dec 2, 2024 to Mar 28, 2025
- Pension plan clients · 4 to 3Dec 2, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.3B to $1.3BDec 2, 2024 to Mar 28, 2025
- HNW RAUM · $990M to $1.1BDec 2, 2024 to Mar 28, 2025
- Individual RAUM · $133M to $104MDec 2, 2024 to Mar 28, 2025
- Pension RAUM · $3.3M to $47.4MDec 2, 2024 to Mar 28, 2025
- RAUM · $1.3B to $1.3BDec 2, 2024 to Mar 28, 2025
- Advisory employees · 10 to 17Jul 2, 2024 to Dec 2, 2024
- Insurance-licensed employees · 0 to 5Jul 2, 2024 to Dec 2, 2024
- State-registered IARs · 0 to 19Jul 2, 2024 to Dec 2, 2024
- Other offices · 6 to 9Jul 2, 2024 to Dec 2, 2024
- Private funds · 8 to 7Jul 2, 2024 to Dec 2, 2024
- Business name · GRIES FINANCIAL LLC to GRIES FINANCIAL PARTNERSJun 27, 2024 to Jul 2, 2024
- Other offices · 1 to 6Jun 7, 2024 to Jun 27, 2024
- Private funds · 7 to 8Jun 7, 2024 to Jun 27, 2024
- Advisory employees · 13 to 10May 10, 2024 to Jun 7, 2024
- Advisory activities · 4 to 7May 10, 2024 to Jun 7, 2024
- Employees · 27 to 30May 10, 2024 to Jun 7, 2024
- Discretionary RAUM · $1.2B to $1.3BMay 10, 2024 to Jun 7, 2024
- HNW RAUM · $938M to $990MMay 10, 2024 to Jun 7, 2024
- Individual RAUM · $126M to $133MMay 10, 2024 to Jun 7, 2024
- Pension RAUM · $3.1M to $3.3MMay 10, 2024 to Jun 7, 2024
- RAUM · $1.2B to $1.3BMay 10, 2024 to Jun 7, 2024
- Accounts · 1,177 to 1,731Mar 7, 2024 to Mar 29, 2024
- Advisory employees · 11 to 13Mar 7, 2024 to Mar 29, 2024
- Charity clients · 10 to 14Mar 7, 2024 to Mar 29, 2024
- Corporate clients · 29 to 28Mar 7, 2024 to Mar 29, 2024
- HNW clients · 196 to 224Mar 7, 2024 to Mar 29, 2024
- Individual clients · 261 to 466Mar 7, 2024 to Mar 29, 2024
- Assets in custody · $134M to $95.4MMar 7, 2024 to Mar 29, 2024
- Custody of client assets · false to trueMar 7, 2024 to Mar 29, 2024
- Employees · 20 to 27Mar 7, 2024 to Mar 29, 2024
- Financial planning clients · 51-100 to 101-250Mar 7, 2024 to Mar 29, 2024
Signals
35 dated events
- Gfp Private Wealth no longer on the SEC adviser roster (last listed 2026-05-01, RAUM $1.3B)Jun 1, 2026 · Left the SEC roster · derived
- Robert Joseph Herman left Gfp Private Wealth for Bull Harbor Capital Llc. (registered 2024-07-18)Apr 29, 2026 · Advisor changed firm · fact
- Kenneth Ross Brodkowitz left Gfp Private Wealth for Bull Harbor Capital Llc. (registered 2024-07-17)Apr 29, 2026 · Advisor changed firm · fact
- Sarah Louise Gries left Gfp Private Wealth for Arax Advisory Partners (registered 2026-03-26)Mar 24, 2026 · Advisor changed firm · fact
- Brent Roger Horvath left Gfp Private Wealth for Arax Advisory Partners (registered 2026-02-12)Feb 13, 2026 · Advisor changed firm · fact
- Kristian Daniel Jarosz left Gfp Private Wealth for Arax Advisory Partners (registered 2026-02-03)Feb 6, 2026 · Advisor changed firm · fact
- Andrej Drazetic left Gfp Private Wealth for Arax Advisory Partners (registered 2026-02-03)Feb 6, 2026 · Advisor changed firm · fact
- Daniel Vincent Beringer left Gfp Private Wealth for Arax Advisory Partners (registered 2026-02-02)Feb 6, 2026 · Advisor changed firm · fact
- Steven Bennett Goode left Gfp Private Wealth for Logix Investments Llc (registered 2024-07-18)Feb 6, 2026 · Advisor changed firm · fact
- Brian Joseph Durkin left Gfp Private Wealth for Logix Investments Llc (registered 2024-07-29)Feb 6, 2026 · Advisor changed firm · fact
- Edward Joseph Bell left Gfp Private Wealth for Arax Advisory Partners (registered 2026-02-03)Feb 6, 2026 · Advisor changed firm · fact
- Jacob T Cooke left Gfp Private Wealth for Arax Advisory Partners (registered 2026-02-03)Feb 6, 2026 · Advisor changed firm · fact
- Michael Norman Manly left Gfp Private Wealth for Arax Advisory Partners (registered 2026-02-03)Feb 6, 2026 · Advisor changed firm · fact
- Glenn J Arons left Gfp Private Wealth for Arax Advisory Partners (registered 2026-02-02)Feb 6, 2026 · Advisor changed firm · fact
- Robert Joseph Samrah left Gfp Private Wealth for Arax Advisory Partners (registered 2026-02-02)Feb 6, 2026 · Advisor changed firm · fact
- William George Caster left Gfp Private Wealth for Arax Advisory Partners (registered 2026-02-03)Feb 6, 2026 · Advisor changed firm · fact
- Dennis Chapman Delphenich left Gfp Private Wealth for Arax Advisory Partners (registered 2026-02-03)Feb 6, 2026 · Advisor changed firm · fact
- Jennifer Weixiao Condon left Gfp Private Wealth for Arax Advisory Partners (registered 2026-02-03)Feb 6, 2026 · Advisor changed firm · fact
- Carina Shipotofsky Diamond left Gfp Private Wealth for Arax Advisory Partners (registered 2026-02-05)Feb 6, 2026 · Advisor changed firm · fact
- Gfp Private Wealth's advisors moved to Arax Advisory Partners (Cleveland, OH): 12 of 18 registered, within 7 daysFeb 6, 2026 · Firm absorbed (people side) · derived
- Jacob Robert Waldenmeyer left Gfp Private Wealth for Creative Planning (registered 2025-07-02)Jun 30, 2025 · Advisor changed firm · fact
- Lauren Rich Fine left Gfp Private Wealth for Beatrice Advisors Lp (registered 2025-03-11)Jan 31, 2025 · Advisor changed firm · fact
- Gfp Private Wealth reported 19 state-registered advisory representatives, up from 0 (2024-07-02 to 2024-12-02)Dec 2, 2024 · Advisor headcount change · derived
- Shipotofsky Carina Diamond (Chief Growth Officer / Chief Executive Officer) appeared on Schedule A of Gfp Private WealthDec 2, 2024 · Control person joined · fact
- George William Caster (President) no longer on Schedule A of Gfp Private Wealth (listed 2024-07-02, absent 2024-12-02)Dec 2, 2024 · Control person left · inference
- Angelo Jerome Leslie left Gfp Private Wealth for Osaic Wealth, Inc. (registered 2025-01-27)Nov 22, 2024 · Advisor changed firm · fact
- Gfp Private Wealth reported 6 offices beyond its principal office, up from 1 (2024-06-07 to 2024-06-27)Jun 27, 2024 · Office count change · derived
- Joseph Brian Durkin (Chief Compliance Officer) appeared on Schedule A of Gfp Private WealthMay 10, 2024 · Control person joined · fact
- George William Caster (President) appeared on Schedule A of Gfp Private WealthMar 7, 2024 · Control person joined · fact
- John Caldwell Guilds left Gfp Private Wealth for Emerson Equity Llc (registered 2023-11-20)Mar 6, 2024 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- Gfp Private Wealth · Independent Sponsorsshared crd · capital_provider
- Gries Financial Partners · Private Equityshared crd · organization
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
Across the graphs
Gfp Private Wealth is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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