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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
G••••••• A••••••• I••
Latest filing Mar 19, 2026
First filing on the tape Dec 6, 2012 · 19 filings
SEC status approved since Jul 14, 1983
RAUM
$208M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
78%
$162M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$69.2M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$208M as of Mar 19, 2026
Dec 6, 2012$103M then
HNW client RAUM$130M as of Mar 19, 2026
Mar 30, 2018$25.1M then
State-registered IARs (5.B.3)1 as of Mar 19, 2026
Dec 6, 20123 then
Employees (5.A)4 as of Mar 19, 2026
Dec 6, 20123 then
Private funds: no history
RAUM +26% over the last fiscal year+4.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 19, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $69.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$130M63%
- Corporations and businesses$41.1M20%
- Individuals$31.9M15%
- Charitable organizations$4.7M2.3%
- Individual clients
- 121reported
- HNW clients
- 40reported
- Pension plan clients
- n/areported
- Charitable clients
- 11reported
- Accounts
- 182reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.78 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• W••••• K••••• | Columbus, Oh | May 4, 2011 | 35 y | 0 |
| M•••••• R••••• W•••• | Columbus, Oh | Dec 7, 2011 | 23 y | 3 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- T•••• C• P••• to E•••• S••••••••• L••Jun 14, 2013 · Other
- S•••••• L•• to N••••••••• I••••••••• A•••••••• L••Jan 16, 2008 · Other
- M•••••• R••••• W•••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Jan 2, 2008 · Other
Joined, latest
- M•••••• R••••• W•••• from C•••••• C••• I••••••••• M••••••••• C••••••• I•••Dec 7, 2011 · Other
- S•••••• L•• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 3, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••••• D•••••• E••••• · Presidentcontrolsince 05/1983 · owns 75% or more
- F•••••••• C•••••• L•• · Chief Compliance Officersince 03/2018 · owns less than 5%
Related persons
Schedule D 7.A
- G••••••• • A••••••••• I•••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Columbus, Oh · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 194 to 182Mar 17, 2025 to Mar 19, 2026
- Corporate clients · 9 to 10Mar 17, 2025 to Mar 19, 2026
- HNW clients · 36 to 40Mar 17, 2025 to Mar 19, 2026
- Individual clients · 138 to 121Mar 17, 2025 to Mar 19, 2026
- Financial planning clients · to 0Mar 17, 2025 to Mar 19, 2026
- Discretionary RAUM · $165M to $208MMar 17, 2025 to Mar 19, 2026
- HNW RAUM · $104M to $130MMar 17, 2025 to Mar 19, 2026
- Individual RAUM · $30.9M to $31.9MMar 17, 2025 to Mar 19, 2026
- RAUM · $165M to $208MMar 17, 2025 to Mar 19, 2026
- Accounts · 202 to 194Mar 20, 2024 to Mar 17, 2025
- Charity clients · 12 to 11Mar 20, 2024 to Mar 17, 2025
- Corporate clients · 10 to 9Mar 20, 2024 to Mar 17, 2025
- HNW clients · 41 to 36Mar 20, 2024 to Mar 17, 2025
- Individual clients · 139 to 138Mar 20, 2024 to Mar 17, 2025
- Financial planning clients · unset to Mar 20, 2024 to Mar 17, 2025
- Discretionary RAUM · $189M to $165MMar 20, 2024 to Mar 17, 2025
- HNW RAUM · $119M to $104MMar 20, 2024 to Mar 17, 2025
- Individual RAUM · $34.0M to $30.9MMar 20, 2024 to Mar 17, 2025
- RAUM · $189M to $165MMar 20, 2024 to Mar 17, 2025
- Accounts · 199 to 202Mar 15, 2023 to Mar 20, 2024
- BD registered reps · 4 to 3Mar 15, 2023 to Mar 20, 2024
- Corporate clients · 11 to 10Mar 15, 2023 to Mar 20, 2024
- HNW clients · 37 to 41Mar 15, 2023 to Mar 20, 2024
- Discretionary RAUM · $181M to $189MMar 15, 2023 to Mar 20, 2024
- HNW RAUM · $115M to $119MMar 15, 2023 to Mar 20, 2024
- Individual RAUM · $33.5M to $34.0MMar 15, 2023 to Mar 20, 2024
- RAUM · $181M to $189MMar 15, 2023 to Mar 20, 2024
- Accounts · 364 to 199Mar 15, 2022 to Mar 15, 2023
- Corporate clients · 12 to 11Mar 15, 2022 to Mar 15, 2023
- HNW clients · 45 to 37Mar 15, 2022 to Mar 15, 2023
- Individual clients · 147 to 139Mar 15, 2022 to Mar 15, 2023
- Discretionary RAUM · $254M to $181MMar 15, 2022 to Mar 15, 2023
- HNW RAUM · $168M to $115MMar 15, 2022 to Mar 15, 2023
- Individual RAUM · $38.8M to $33.5MMar 15, 2022 to Mar 15, 2023
- RAUM · $254M to $181MMar 15, 2022 to Mar 15, 2023
- Accounts · 389 to 364Mar 30, 2021 to Mar 15, 2022
- Corporate clients · 14 to 12Mar 30, 2021 to Mar 15, 2022
- HNW clients · 26 to 45Mar 30, 2021 to Mar 15, 2022
- Individual clients · 116 to 147Mar 30, 2021 to Mar 15, 2022
- Discretionary RAUM · $273M to $254MMar 30, 2021 to Mar 15, 2022
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.
How to reach
public business contact points only, each with its source
- Business phone
- 303-797-9080reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- G•••••••COMPANIES.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 614-221-0900reportedpublic record, Form ADV, Mar 19, 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
- $69.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026