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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SEC-registered adviser
G•••• F••••••••
Legal name G•••• • G••••• L•••••
Latest filing Feb 13, 2026
First filing on the tape Mar 2, 2020 · 17 filings
SEC status approved since Oct 7, 2020
RAUM
$215M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
73%
$158M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$71.8M
derived; firm RAUM over IAPD count
Employees
12
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$215M as of Feb 13, 2026
Mar 5, 2021$140M then
HNW client RAUM$109M as of Feb 13, 2026
Mar 5, 2021$50.6M then
State-registered IARs (5.B.3)3 as of Feb 13, 2026
Mar 5, 20212 then
Employees (5.A)12 as of Feb 13, 2026
Mar 5, 20218 then
Private funds: no history
RAUM +4.9% over the last fiscal year+13% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Feb 13, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $71.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 103derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $453,385derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 26%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +59%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Custody
- $5.2M, 6 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.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$109M50%
- Individuals$49.1M23%
- Charitable organizations$32.0M15%
- Pension and profit-sharing plans$24.4M11%
- Corporations and businesses$1.2M0.6%
- Individual clients
- 255reported
- HNW clients
- 55reported
- Pension plan clients
- 10reported
- Charitable clients
- 6reported
- Accounts
- 475reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.2M for 6 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.73 fund_share=0.0 institutional_share=0.26 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B••••• L•••• W••••• | Shelby, Nc | Aug 12, 2025 | 13 y | 0 |
| G••• B•••• G••••Personal Financial Specialist | Shelby, Nc | Oct 23, 2025 | 26 y | 1 |
| J•••• D••••• G••••Personal Financial Specialist | Shelby, Nc | Nov 4, 2025 | 26 y | 1 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J•••• D••••• G•••• from C•• I••••••••• A•••••••Nov 4, 2025 · RIA to RIA
- G••• B•••• G•••• from C•• I••••••••• A•••••••Oct 23, 2025 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C•• I••••••••• A•••••••Dec 16, 2025 · Lakeland, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• G•••• B•••• · General Partnercontrolsince 01/2000 · owns 50% to 75%
- G••••• J••••• D••••• · General Partner, Ccocontrolsince 01/2000 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Shelby, Nc · principal | 3 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- client count surgeChange between filings · filing Feb 13, 2026individual and HNW clients (Item 5.D) moved from 195.0 to 310.0 (+59.0%) between the annual amendments of 2025-02-03 and 2026-02-13; the peer median change was +3.0% (3309 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 452 to 475Feb 3, 2025 to Feb 13, 2026
- Advisory employees · 2 to 3Feb 3, 2025 to Feb 13, 2026
- Corporate clients · 13 to 1Feb 3, 2025 to Feb 13, 2026
- HNW clients · 56 to 55Feb 3, 2025 to Feb 13, 2026
- Individual clients · 139 to 255Feb 3, 2025 to Feb 13, 2026
- Pension plan clients · 11 to 10Feb 3, 2025 to Feb 13, 2026
- Assets in custody · $6.2M to $5.2MFeb 3, 2025 to Feb 13, 2026
- State-registered IARs · 2 to 3Feb 3, 2025 to Feb 13, 2026
- Discretionary RAUM · $205M to $215MFeb 3, 2025 to Feb 13, 2026
- HNW RAUM · $107M to $109MFeb 3, 2025 to Feb 13, 2026
- Individual RAUM · $38.2M to $49.1MFeb 3, 2025 to Feb 13, 2026
- Pension RAUM · $24.1M to $24.4MFeb 3, 2025 to Feb 13, 2026
- RAUM · $205M to $215MFeb 3, 2025 to Feb 13, 2026
- Accounts · 513 to 452Oct 24, 2024 to Feb 3, 2025
- Corporate clients · 9 to 13Oct 24, 2024 to Feb 3, 2025
- Individual clients · 140 to 139Oct 24, 2024 to Feb 3, 2025
- Assets in custody · $4.5M to $6.2MOct 24, 2024 to Feb 3, 2025
- Financial planning clients · 26-50 to 51-100Oct 24, 2024 to Feb 3, 2025
- Discretionary RAUM · $204M to $205MOct 24, 2024 to Feb 3, 2025
- HNW RAUM · $109M to $107MOct 24, 2024 to Feb 3, 2025
- Individual RAUM · $36.0M to $38.2MOct 24, 2024 to Feb 3, 2025
- Pension RAUM · $23.9M to $24.1MOct 24, 2024 to Feb 3, 2025
- RAUM · $204M to $205MOct 24, 2024 to Feb 3, 2025
- Accounts · 424 to 513Apr 26, 2024 to Oct 24, 2024
- Advisory employees · 3 to 2Apr 26, 2024 to Oct 24, 2024
- Corporate clients · unset to 9.0Apr 26, 2024 to Oct 24, 2024
- HNW clients · 58 to 56Apr 26, 2024 to Oct 24, 2024
- Individual clients · 139 to 140Apr 26, 2024 to Oct 24, 2024
- Pension plan clients · 12 to 11Apr 26, 2024 to Oct 24, 2024
- Employees · 11 to 12Apr 26, 2024 to Oct 24, 2024
- Financial planning clients · 51-100 to 26-50Apr 26, 2024 to Oct 24, 2024
- Discretionary RAUM · $182M to $204MApr 26, 2024 to Oct 24, 2024
- HNW RAUM · $98.7M to $109MApr 26, 2024 to Oct 24, 2024
- Individual RAUM · $30.9M to $36.0MApr 26, 2024 to Oct 24, 2024
- Pension RAUM · $24.0M to $23.9MApr 26, 2024 to Oct 24, 2024
- RAUM · $182M to $204MApr 26, 2024 to Oct 24, 2024
- State-registered IARs · 3 to 2Mar 8, 2024 to Apr 26, 2024
- Accounts · 389 to 424Feb 24, 2023 to Mar 8, 2024
- Advisory employees · 2 to 3Feb 24, 2023 to Mar 8, 2024
- Charity clients · 5 to 6Feb 24, 2023 to Mar 8, 2024
Signals
2 dated events
- 2 advisors left C•• I••••••••• A••••••• (Lakeland, FL) for G•••• F•••••••• on the same dayDec 16, 2025 · Team lift-out · derived
- G•••• • G••••• L•• filed its initial SEC registration (Form ADV)Mar 2, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- i•••@g•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 704-482-2001reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- G••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 704-482-2001reportedpublic record, Form ADV, Feb 13, 2026
- Contact form
- g•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $71.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026