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•••• J••• C•••••• M••••••••• I•••
Latest filing Mar 21, 2024
First filing on the tape Apr 2, 2012 · 21 filings
SEC status approved since May 17, 1990
RAUM
$465M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$432M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$465M as of Mar 21, 2024
Apr 2, 2012$277M then
HNW client RAUM$428M as of Mar 21, 2024
Mar 19, 2018$350M then
State-registered IARs (5.B.3)1 as of Mar 21, 2024
Apr 2, 20120 then
Employees (5.A)6 as of Mar 21, 2024
Mar 28, 20135 then
Private funds: no history
RAUM +21% over the last fiscal year+3.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 21, 2024; every figure names its basis
- RAUM per advisor
- $465MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 157derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $2.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$428M92%
- Charitable organizations$25.6M5.5%
- Pension and profit-sharing plans$6.9M1.5%
- Individuals$3.6M0.8%
- Individual clients
- 22reported
- HNW clients
- 135reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 204reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• S•••••• D•••••• · Presidentcontrolsince 06/1990 · owns less than 5%
- S••••••••• C••••••• S•••••• · Chief Compliance Officercontrolsince 09/2004 · owns less than 5%
- G••••••••• S•••••• D•••••• · Trusteecontrolsince 02/2007 · owns 75% or more of The Steve G••••••••• R•••••••• Trust D•••• F••••••• 21, 2007
Entity owners
- S••••• G••••••••• R•••••••• T••••• D•••• F••••••• 2•• 2••• · Trustdirect · owns 75% or more
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 · 212 to 204Mar 17, 2023 to Mar 21, 2024
- HNW clients · 131 to 135Mar 17, 2023 to Mar 21, 2024
- Individual clients · 21 to 22Mar 17, 2023 to Mar 21, 2024
- Pension plan clients · 7 to 6Mar 17, 2023 to Mar 21, 2024
- Discretionary RAUM · $383M to $465MMar 17, 2023 to Mar 21, 2024
- HNW RAUM · $363M to $428MMar 17, 2023 to Mar 21, 2024
- Individual RAUM · $2.0M to $3.6MMar 17, 2023 to Mar 21, 2024
- Pension RAUM · $7.8M to $6.9MMar 17, 2023 to Mar 21, 2024
- RAUM · $383M to $465MMar 17, 2023 to Mar 21, 2024
- Accounts · 221 to 212Mar 24, 2022 to Mar 17, 2023
- HNW clients · 138 to 131Mar 24, 2022 to Mar 17, 2023
- Individual clients · 23 to 21Mar 24, 2022 to Mar 17, 2023
- Discretionary RAUM · $518M to $383MMar 24, 2022 to Mar 17, 2023
- HNW RAUM · $487M to $363MMar 24, 2022 to Mar 17, 2023
- Individual RAUM · $4.0M to $2.0MMar 24, 2022 to Mar 17, 2023
- Pension RAUM · $12.3M to $7.8MMar 24, 2022 to Mar 17, 2023
- RAUM · $518M to $383MMar 24, 2022 to Mar 17, 2023
- Accounts · 216 to 221Mar 25, 2021 to Mar 24, 2022
- HNW clients · 134 to 138Mar 25, 2021 to Mar 24, 2022
- Individual clients · 16 to 23Mar 25, 2021 to Mar 24, 2022
- Pension plan clients · unset to 7.0Mar 25, 2021 to Mar 24, 2022
- Discretionary RAUM · $414M to $518MMar 25, 2021 to Mar 24, 2022
- HNW RAUM · $393M to $487MMar 25, 2021 to Mar 24, 2022
- Individual RAUM · $3.6M to $4.0MMar 25, 2021 to Mar 24, 2022
- Pension RAUM · $6.4M to $12.3MMar 25, 2021 to Mar 24, 2022
- RAUM · $414M to $518MMar 25, 2021 to Mar 24, 2022
- Accounts · 203 to 216Jun 30, 2020 to Mar 16, 2021
- HNW clients · 146 to 134Jun 30, 2020 to Mar 16, 2021
- Individual clients · 12 to 16Jun 30, 2020 to Mar 16, 2021
- Discretionary RAUM · $345M to $414MJun 30, 2020 to Mar 16, 2021
- HNW RAUM · $326M to $393MJun 30, 2020 to Mar 16, 2021
- Individual RAUM · $3.1M to $3.6MJun 30, 2020 to Mar 16, 2021
- Pension RAUM · $4.5M to $6.4MJun 30, 2020 to Mar 16, 2021
- RAUM · $345M to $414MJun 30, 2020 to Mar 16, 2021
- Accounts · 216 to 203Oct 3, 2019 to Mar 20, 2020
- HNW clients · 153 to 146Oct 3, 2019 to Mar 20, 2020
- Individual clients · 13 to 12Oct 3, 2019 to Mar 20, 2020
- Discretionary RAUM · $303M to $345MOct 3, 2019 to Mar 20, 2020
- HNW RAUM · $291M to $326MOct 3, 2019 to Mar 20, 2020
- Individual RAUM · $2.5M to $3.1MOct 3, 2019 to Mar 20, 2020
Signals
3 dated events
- G•••• J••• C•••••• M••••••••• I••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $464.6M)May 2, 2025 · Left the SEC roster · derived
- G•••• J••• C•••••• M••••••••• I••• reported RAUM $383.2M, down 26% from $517.6M (2022-03-24 to 2023-03-17)Mar 17, 2023 · RAUM change · derived
- G•••• J••• C•••••• M••••••••• I••• reported RAUM $517.6M, up 25% from $414.0M (2021-03-25 to 2022-03-24)Mar 24, 2022 · RAUM change · derived
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