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
Ggm Wealth Advisors
Legal name Grant/Grossmendelsohn, LLC
Latest filing Mar 26, 2025
First filing on the tape Mar 28, 2012 · 26 filings
SEC status approved since Jan 1, 1996
RAUM
$447M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
86%
$383M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$447M as of Mar 26, 2025
Mar 28, 2012$250M then
HNW client RAUM$328M as of Mar 26, 2025
Mar 5, 2018$210M then
State-registered IARs (5.B.3)6 as of Mar 26, 2025
Mar 28, 20120 then
Employees (5.A)7 as of Mar 26, 2025
Mar 21, 20135 then
Private funds: no history
RAUM +0.8% over the last fiscal year-0.9% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 26, 2025; every figure names its basis
- RAUM per advisor
- $74.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $502,545derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 7.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $28.4M, 21 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$328M73%
- Individuals$55.4M12%
- Investment companies$20.3M4.5%
- Pension and profit-sharing plans$19.1M4.3%
- Charitable organizations$13.4M3.0%
- Corporations and businesses$10.8M2.4%
- Individual clients
- 216reported
- HNW clients
- 110reported
- Pension plan clients
- 5reported
- Charitable clients
- 11reported
- Accounts
- 889reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $28.4M for 21 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
- Mark Dwayne Bauer Jr. to Waverly Advisors, LLCAug 5, 2025 · RIA to RIA
- Michael Dean Little to Waverly Advisors, LLCAug 5, 2025 · RIA to RIA
- Jennifer Ann Sweeney to Waverly Advisors, LLCAug 5, 2025 · RIA to RIA
- Jeffrey Grant Johnson to Waverly Advisors, LLCAug 5, 2025 · RIA to RIA
- Steven Thomas Hannigan to Waverly Advisors, LLCAug 5, 2025 · RIA to RIA
- Ryan Mackenzie Baldwin to Waverly Advisors, LLCAug 5, 2025 · RIA to RIA
Joined, latest
- Steven Thomas Hannigan from Yhb Investment Advisors IncMar 7, 2016 · Other
- Jennifer Ann Sweeney from 1st Global Advisors IncNov 25, 2015 · Other
- Michael Dean Little from Wells Fargo AdvisorsApr 20, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for Waverly Advisors, LLCAug 5, 2025 · Baltimore, Md · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Alan David Goldner · Membercontrolsince 02/2016 · owns less than 5%
- David Scott Handwerger · Membercontrolsince 07/2020 · owns less than 5%
- Grant Jeffrey Johnson · Managing Directorcontrolsince 02/2016 · owns 10% to 25%
- Dean Michael Little · Director Of Wealth Management And Chief Compliance Officercontrolsince 02/2016 · owns 10% to 25%
- Barry Leonard Rus · Membercontrolsince 07/2020 · owns less than 5%
Entity owners
- Gross Mendelsohn & Associates, P.A. · Memberdirect · 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 |
|---|---|---|---|---|---|
| Baltimore, Md · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Fairfax, VA
What changed
consecutive filings, newest first
- Related adviser · false to trueFeb 26, 2025 to Mar 26, 2025
- Accounts · 787 to 889Mar 6, 2024 to Feb 26, 2025
- Charity clients · 13 to 11Mar 6, 2024 to Feb 26, 2025
- Corporate clients · 13 to 15Mar 6, 2024 to Feb 26, 2025
- HNW clients · 107 to 110Mar 6, 2024 to Feb 26, 2025
- Individual clients · 200 to 216Mar 6, 2024 to Feb 26, 2025
- Assets in custody · $26.0M to $28.4MMar 6, 2024 to Feb 26, 2025
- Discretionary RAUM · $419M to $437MMar 6, 2024 to Feb 26, 2025
- HNW RAUM · $344M to $328MMar 6, 2024 to Feb 26, 2025
- Individual RAUM · $35.2M to $55.4MMar 6, 2024 to Feb 26, 2025
- Non-discretionary RAUM · $23.9M to $9.6MMar 6, 2024 to Feb 26, 2025
- Pension RAUM · $16.5M to $19.1MMar 6, 2024 to Feb 26, 2025
- RAUM · $443M to $447MMar 6, 2024 to Feb 26, 2025
- Accounts · 741 to 787Oct 31, 2023 to Mar 6, 2024
- Corporate clients · 12 to 13Oct 31, 2023 to Mar 6, 2024
- HNW clients · 111 to 107Oct 31, 2023 to Mar 6, 2024
- Individual clients · 170 to 200Oct 31, 2023 to Mar 6, 2024
- Assets in custody · $24.1M to $26.0MOct 31, 2023 to Mar 6, 2024
- Discretionary RAUM · $413M to $419MOct 31, 2023 to Mar 6, 2024
- HNW RAUM · $348M to $344MOct 31, 2023 to Mar 6, 2024
- Individual RAUM · $28.3M to $35.2MOct 31, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $21.6M to $23.9MOct 31, 2023 to Mar 6, 2024
- Pension RAUM · $17.5M to $16.5MOct 31, 2023 to Mar 6, 2024
- RAUM · $434M to $443MOct 31, 2023 to Mar 6, 2024
- Advisory activities · 5 to 6Feb 22, 2023 to Oct 31, 2023
- Accounts · 676 to 741Feb 8, 2022 to Feb 22, 2023
- Advisory employees · 8 to 6Feb 8, 2022 to Feb 22, 2023
- Corporate clients · 13 to 12Feb 8, 2022 to Feb 22, 2023
- HNW clients · 107 to 111Feb 8, 2022 to Feb 22, 2023
- Individual clients · 146 to 170Feb 8, 2022 to Feb 22, 2023
- Assets in custody · $27.7M to $24.1MFeb 8, 2022 to Feb 22, 2023
- Employees · 9 to 7Feb 8, 2022 to Feb 22, 2023
- State-registered IARs · 8 to 6Feb 8, 2022 to Feb 22, 2023
- Discretionary RAUM · $431M to $413MFeb 8, 2022 to Feb 22, 2023
- HNW RAUM · $362M to $348MFeb 8, 2022 to Feb 22, 2023
- Individual RAUM · $29.3M to $28.3MFeb 8, 2022 to Feb 22, 2023
- Non-discretionary RAUM · $27.9M to $21.6MFeb 8, 2022 to Feb 22, 2023
- Pension RAUM · $23.3M to $17.5MFeb 8, 2022 to Feb 22, 2023
- RAUM · $459M to $434MFeb 8, 2022 to Feb 22, 2023
- Accounts · 614 to 676Mar 1, 2021 to Feb 8, 2022
Signals
11 dated events
- Ggm Wealth Advisors no longer on the SEC adviser roster (last listed 2025-08-01, RAUM $446.8M)Sep 2, 2025 · Left the SEC roster · derived
- Ryan Mackenzie Baldwin left Ggm Wealth Advisors for Waverly Advisors, Llc (registered 2025-12-17)Aug 5, 2025 · Advisor changed firm · fact
- Steven Thomas Hannigan left Ggm Wealth Advisors for Waverly Advisors, Llc (registered 2025-03-21)Aug 5, 2025 · Advisor changed firm · fact
- Jeffrey Grant Johnson left Ggm Wealth Advisors for Waverly Advisors, Llc (registered 2025-07-14)Aug 5, 2025 · Advisor changed firm · fact
- Mark Dwayne Bauer Jr. left Ggm Wealth Advisors for Waverly Advisors, Llc (registered 2026-01-01)Aug 5, 2025 · Advisor changed firm · fact
- Jennifer Ann Sweeney left Ggm Wealth Advisors for Waverly Advisors, Llc (registered 2025-03-21)Aug 5, 2025 · Advisor changed firm · fact
- Michael Dean Little left Ggm Wealth Advisors for Waverly Advisors, Llc (registered 2025-03-21)Aug 5, 2025 · Advisor changed firm · fact
- Ggm Wealth Advisors's advisors moved to Waverly Advisors, LLC (Baltimore, MD): 6 of 6 registered, on the same dayAug 5, 2025 · Firm absorbed (people side) · derived
- O'Connor Paul Wallace (Member) no longer on Schedule A of Ggm Wealth Advisors (listed 2020-06-19, absent 2021-03-01)Mar 1, 2021 · Control person left · inference
- David Scott Handwerger (Member) appeared on Schedule A of Ggm Wealth AdvisorsMar 1, 2021 · Control person joined · fact
- Barry Leonard Rus (Member) appeared on Schedule A of Ggm Wealth AdvisorsMar 1, 2021 · Control person joined · 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