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

Globalbridge

Former SEC-registered adviserMinneapolis, MinnesotaCRD 111538SEC 801-60180IAPD
Legal name Globalbridge Advisors, Inc.
Latest filing Feb 12, 2014
First filing on the tape Feb 9, 2012 · 7 filings
RAUM
$311M
reported, Item 5.F
Discretionary
100%
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
6
4 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$311M as of Feb 12, 2014
Feb 9, 2012$349M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 12, 2014
Feb 11, 20130 then
Employees (5.A)6 as of Feb 12, 2014
Feb 11, 20136 then
Private funds: no history
RAUM -10% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 12, 2014; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-10%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 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 institutions, selection of other advisersreportedItem 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
  • 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)
  • compensates non-employees for client referrals (8.G.2)
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
240reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Harold Paul Perseke · Chief Executive Officercontrol
    since 01/2013 · owns less than 5%
  • Russell Benjamin Avis · Chief Operating Officer
    since 08/2007 · owns less than 5%
  • Ann Sally Oberstar · Chief Compliance Officer
    since 02/2012 · owns less than 5%
Entity owners
  • Globalbridge, Inc. · Corporation, Shareholder
    direct · owns 75% or more
  • Globalbridge, Inc. · Shareholder
    indirect · owns 75% or more of Globalbridge Advisors, Inc.
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 · 157 to 240
    Dec 2, 2013 to Feb 12, 2014
  • Discretionary RAUM · $347M to $311M
    Dec 2, 2013 to Feb 12, 2014
  • RAUM · $347M to $311M
    Dec 2, 2013 to Feb 12, 2014
  • Related adviser · true to false
    Dec 2, 2013 to Feb 12, 2014
  • Related adviser · false to true
    Feb 11, 2013 to Mar 25, 2013
  • Accounts · 161 to 157
    Feb 1, 2013 to Feb 11, 2013
  • Advisory employees · 5 to 4
    Feb 1, 2013 to Feb 11, 2013
  • Employees · 8 to 6
    Feb 1, 2013 to Feb 11, 2013
  • Discretionary RAUM · $349M to $347M
    Feb 1, 2013 to Feb 11, 2013
  • RAUM · $349M to $347M
    Feb 1, 2013 to Feb 11, 2013
  • Advisory employees · unset to 5.0
    Mar 12, 2012 to Feb 1, 2013
  • Employees · unset to 8.0
    Mar 12, 2012 to Feb 1, 2013
  • State-registered IARs · unset to 0.0
    Mar 12, 2012 to Feb 1, 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