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••••• L• R•• • A••••••••• L•••

Former SEC-registered adviserDallas, TexasCRD 110274SEC 801-13458IAPD
Latest filing Mar 17, 2017
First filing on the tape Mar 26, 2012 · 7 filings
RAUM
$831M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$831M as of Mar 17, 2017
Mar 26, 2012$422M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 17, 2017
Mar 8, 20134 then
Employees (5.A)8 as of Mar 17, 2017
Mar 8, 20137 then
Private funds: no history
RAUM +8.4% over the last fiscal year+8.5% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 17, 2017; every figure names its basis
RAUM per advisor
$166MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$1.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+8.4%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$9.2M, 13 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
680reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$9.2M for 13 clientsreported
Compensation
% of AUM, fixedreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H•••• L••••••• K•• · Chief Compliance Officer/Chief Financial Officercontrol
      since 04/2011 · owns less than 5%
    • R••• G•••••• L•••• · Chairman Of Board, Limited Partner Of G••••• L Ray & Assoc., Ltdcontrol
      since 03/2004 · owns 25% to 50%
    • R••• J•••••• H••••• · President (Since 3/2004) And Trustee Of J•• 2••• G•• T•••• (Since 12/2012)control
      since 03/2004 · owns 25% to 50%
    • R••• G•••••• L•••• · Managing Membercontrol
      since 06/2001 · owns 75% or more of G••••• L• R•• • A••••••••• I• L••
    • F•••••• J••••• R•• · Trustee Of J•• 2••• G•• T••••
      since 12/2012 · owns 10% to 25%
    Entity owners
    • G••••• L• R•• • A••••••••• I• L•• · General Partner G••••• L Ray & Assoc., Ltd
      direct · owns less than 5%
    • J•• 2••• G•• T•••• · 40% Limited Partnership Interest In G••••• L Ray & Assoc., Ltd
      direct · owns 25% to 50%
    • J•• 2••• G•• T•••• · 10% Limited Partnership Interest In G••••• L Ray & Assoc., Ltd
      direct · owns 10% to 25%
    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 · 690 to 680
      Mar 22, 2016 to Mar 17, 2017
    • Assets in custody · $9.6M to $9.2M
      Mar 22, 2016 to Mar 17, 2017
    • Discretionary RAUM · $767M to $809M
      Mar 22, 2016 to Mar 17, 2017
    • Non-discretionary RAUM · $0 to $22.1M
      Mar 22, 2016 to Mar 17, 2017
    • RAUM · $767M to $831M
      Mar 22, 2016 to Mar 17, 2017
    • Accounts · 675 to 690
      Jul 8, 2015 to Mar 22, 2016
    • Advisory employees · 6 to 5
      Jul 8, 2015 to Mar 22, 2016
    • Assets in custody · $10.6M to $9.6M
      Jul 8, 2015 to Mar 22, 2016
    • Employees · 9 to 8
      Jul 8, 2015 to Mar 22, 2016
    • Financial planning clients · 1-10 to 0
      Jul 8, 2015 to Mar 22, 2016
    • State-registered IARs · 6 to 5
      Jul 8, 2015 to Mar 22, 2016
    • Discretionary RAUM · $782M to $767M
      Jul 8, 2015 to Mar 22, 2016
    • RAUM · $782M to $767M
      Jul 8, 2015 to Mar 22, 2016
    • Advisory activities · 3 to 2
      Mar 6, 2015 to Jul 8, 2015
    • Accounts · 596 to 675
      Mar 7, 2014 to Mar 6, 2015
    • Advisory activities · 2 to 3
      Mar 7, 2014 to Mar 6, 2015
    • Assets in custody · $8.0M to $10.6M
      Mar 7, 2014 to Mar 6, 2015
    • Financial planning clients · unset to 1-10
      Mar 7, 2014 to Mar 6, 2015
    • Discretionary RAUM · $651M to $782M
      Mar 7, 2014 to Mar 6, 2015
    • RAUM · $651M to $782M
      Mar 7, 2014 to Mar 6, 2015
    • Accounts · 567 to 596
      Mar 8, 2013 to Mar 7, 2014
    • Advisory employees · 4 to 6
      Mar 8, 2013 to Mar 7, 2014
    • Assets in custody · $8.8M to $8.0M
      Mar 8, 2013 to Mar 7, 2014
    • Employees · 7 to 9
      Mar 8, 2013 to Mar 7, 2014
    • State-registered IARs · 4 to 6
      Mar 8, 2013 to Mar 7, 2014
    • Discretionary RAUM · $483M to $651M
      Mar 8, 2013 to Mar 7, 2014
    • RAUM · $483M to $651M
      Mar 8, 2013 to Mar 7, 2014
    • Accounts · 550 to 567
      Mar 26, 2012 to Mar 8, 2013
    • Advisory employees · unset to 4.0
      Mar 26, 2012 to Mar 8, 2013
    • Assets in custody · $7.1M to $8.8M
      Mar 26, 2012 to Mar 8, 2013
    • Employees · unset to 7.0
      Mar 26, 2012 to Mar 8, 2013
    • State-registered IARs · unset to 4.0
      Mar 26, 2012 to Mar 8, 2013
    • Discretionary RAUM · $422M to $483M
      Mar 26, 2012 to Mar 8, 2013
    • RAUM · $422M to $483M
      Mar 26, 2012 to Mar 8, 2013
    • Related insurance company · true to false
      Mar 26, 2012 to Mar 8, 2013
    Signals
    No event on the tape.
    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