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•••••••• C•••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Jan 18, 2012 · 50 filings
SEC status approved since Aug 29, 2007
RAUM
$539M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
95%
$512M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$89.8M
derived; firm RAUM over IAPD count
Employees
14
10 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
3
reported on Schedule D
History
50 filings and snapshots on the tape
RAUM$539M as of Mar 30, 2026
Mar 29, 2012$141M then
HNW client RAUM$391M as of Mar 30, 2026
Mar 29, 2018$200M then
State-registered IARs (5.B.3)10 as of Mar 30, 2026
Mar 29, 20120 then
Employees (5.A)14 as of Mar 30, 2026
Mar 27, 20136 then
Private funds3 as of Mar 30, 2026
Mar 28, 20171 then
RAUM +10% over the last fiscal year+8.5% a year over threeIARs 10 to 10
Practice profile
derived from the filing of Mar 30, 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- ria with p•••••• funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $89.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 86derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $402,239derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 1.2derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.7%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Custody
- $140M, 202 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
- 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$391M73%
- Individuals$120M22%
- Pooled investment vehicles$27.2M5.1%
- Individual clients
- 394reported
- HNW clients
- 119reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,340reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $140M for 202 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.95 fund_share=0.05 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• E••••• G•••••••• | Lone Tree, Co | Jan 1, 1999 | 37 y | 0 |
| J••• C• G•••••••• | Gilbert, Az | May 5, 2009 | 25 y | 2 |
| J••• L•••• D•••••Certified Financial Planner | Lone Tree, Co | May 22, 2013 | 34 y | 1 |
| S•••• K•••• J••••Certified Financial Planner | Mesa, Az | Jun 30, 2014 | 26 y | 1 |
| R••••• G•••••• B••••••••• | Lone Tree, Co | Jul 3, 2017 | 30 y | 2 |
| Q•••••• G•••••• S•••••Personal Financial Specialist | Lone Tree, Co | Jan 10, 2024 | 15 y | 1 |
Advisor movement
4 left, 0 joined in 12 months
net -4 in 12 months3 left in 90 days0 joined in 90 daysdeparture rate 67% of current headcount5 left over 36 months
Left, latest
- B•••• B••• S••••• to A••Jul 2, 2026 · Other
- A••••• C••••••• to F•••••• W•••••Jul 2, 2026 · RIA to RIA
- J•••••• W••• to F•••••• W•••••Jul 2, 2026 · RIA to RIA
- S••• F••••••• S•••••••• to G••••••• I••••••••• L••Oct 2, 2025 · RIA to RIA
- M•••••• T••• B•••• to G•• W••••• M••••••••• L••Feb 12, 2025 · RIA to a newly registered adviser
- P•••• B••••• B••• to C••• L••May 1, 2020 · RIA to affiliated broker-dealer or bank
- D••• M••••••• H••••••• to H••••••• S••••••••• I•••••••••Aug 14, 2018 · Other
- S••••• R•• T••••• to N•••••••• A•••• M•••••••••Jul 18, 2017 · Other
- L•••• C•••••••• J•••• to N•••••••• A•••• M•••••••••Jul 29, 2016 · Other
- J•• F•••••• J•••• to W•••••• W••••• M••••••••• L••Jul 5, 2016 · Other
- J•••• C•••••••• C••••••• to L•••• F••• A••••••• S•••••••Jul 5, 2016 · Other
- M••• A••••• E•• to L•• F•••••••• L••Jul 5, 2016 · Other
- I•• D•••••• C••••••• to L•• F•••••••• L••Jul 5, 2016 · Other
- A••• J•••• M••••• to L•• F•••••••• L••Jul 5, 2016 · Other
- G••••••• W•••• C••••••• to A•••• C•••••• M••••••••• G•••• L••Jul 5, 2016 · Other
Joined, latest
- S••• F••••••• S•••••••• from C•••••• S••••• • C••• I•••Jun 26, 2025 · Affiliated broker-dealer or bank to independent RIA
- Q•••••• G•••••• S••••• from E••••• W••••• A•••••••• L••Jan 10, 2024 · RIA to RIA
- R••••• G•••••• B••••••••• from S••••• M•••••••••Jul 3, 2017 · Other
- P•••• B••••• B••• from J••• M••••• S••••••••• L••Jan 27, 2017 · Other
- D••• M••••••• H••••••• from M•••••• S••••• P•••••••• L••Jun 2, 2016 · Other
- J•••• C•••••••• C••••••• from T• A••••••••• I••••••••• M••••••••• L••Jan 28, 2016 · Other
- M••• A••••• E•• from W•••• F•••• A•••••••Jul 28, 2015 · Other
- I•• D•••••• C••••••• from W•••• F•••• A•••••••Jul 28, 2015 · Other
- G••••••• W•••• C••••••• from W•••• F•••• A•••••••Jul 28, 2015 · Other
- K••• R••••• S•••• from S•••••••• A••••••• L••Apr 17, 2015 · Other
- M••••• T••• S•••••••• from U•• F•••••••• S••••••• I•••Aug 27, 2014 · Other
- S•••• K•••• J•••• from S•••••••• A••••••• L••Jun 30, 2014 · Other
- J••• L•••• D••••• from S•••••••• A••••••• L••May 22, 2013 · Other
- R••••• V••••• S••••• from S•••••••• A••••••• L••Oct 11, 2012 · Other
- J••• E••••• M•••••• from S•• I••••••••• I•••Oct 4, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for F•••••• W•••••Jul 2, 2026 · Lone Tree, Co
- 3 left for W•••••• W••••• M••••••••• L••Jul 5, 2016 · Lone Tree, Co
- 3 left for L•• F•••••••• L••Jul 5, 2016 · Lone Tree, Co
- 2 left for T••••• R••••••••• P•••••••• L••Dec 31, 2015 · Lone Tree, Co
- 3 joined from W•••• F•••• A•••••••Jul 29, 2015 · Greenwood Village, Co
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•• P•••••• E••••• F•••• L• | Private Equity Fund | $20.0M | 63 | Feb 20, 2019 |
| G•• G••••••••• F••• I• L••• | Private Equity Fund | $18.2M | 54 | Sep 2, 2021 |
| G•• F••••••••• O••••••••• L••• S•••• E••••• F•••• L•no longer reported | Hedge Fund | $9.8M | 21 | Jun 1, 2016 |
| G•• P•••••• E••••• F••• I•• L• | Private Equity Fund | $4.0M | 23 | Mar 31, 2020 |
Owners and control persons
Schedule A and B, latest filing
- G••••••••• J•••••• K•••• · Managercontrolsince 12/2017 · owns less than 5%
- G••••••••• K••••• E••••• · Managercontrolsince 10/2002 · owns less than 5%
- G••••••••• J•••• C• · Manangercontrolsince 04/2013 · owns less than 5%
- G••••••••• J•••••• D•• · Membercontrolsince 04/2007 · owns 50% to 75% of G••••••••• L••
- G••••••••• J•••••• K•••• · Membercontrolsince 12/2017 · owns 50% to 75% of K••••• L••
- G••••••••• K••••• E••••• · Membercontrolsince 04/2007 · owns 50% to 75% of G••••••••• L••
- G••••••••• N••••••• · Membercontrolsince 12/2017 · owns 50% to 75% of K••••• L••
- G••••••••• J•••• C• · Membercontrolsince 04/2013 · owns 50% to 75% of G•••••••• H•••••••• L••
- G••••••••• S•••••• K• · Membercontrolsince 04/2013 · owns 50% to 75% of G•••••••• H•••••••• L••
- S•••••• Q••••••• G•••••• · Ccosince 03/2024 · owns less than 5%
Entity owners
- G••••••••• L•• · Memberdirect · owns 75% or more
- G•••••••• H•••••••• L•• · Memberdirect · owns 5% to 10%
- K••••• L•• · Memberdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- M•••••• B••••insurancey
- Q•••••• S•••••insurancey
- R•• B•••••••••insurancey
Advisers that list G•••••••• C•••••• M••••••••• L•• as a related person
- 333368 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lone Tree, Co · principal | 6 | 0 | 4 | 1 | 2 |
| Mesa, Az | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Mesa, AZ2 employees
- Palm Desert, CA1 employees
- Phoenix, AZ1 employees
What changed
consecutive filings, newest first
- Accounts · 1,325 to 1,340Feb 11, 2026 to Mar 30, 2026
- HNW clients · 108 to 119Feb 11, 2026 to Mar 30, 2026
- Individual clients · 414 to 394Feb 11, 2026 to Mar 30, 2026
- Assets in custody · $108M to $140MFeb 11, 2026 to Mar 30, 2026
- Discretionary RAUM · $448M to $497MFeb 11, 2026 to Mar 30, 2026
- HNW RAUM · $335M to $391MFeb 11, 2026 to Mar 30, 2026
- Individual RAUM · $121M to $120MFeb 11, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $40.1M to $42.5MFeb 11, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $31.4M to $27.2MFeb 11, 2026 to Mar 30, 2026
- RAUM · $488M to $539MFeb 11, 2026 to Mar 30, 2026
- Assets in custody · $31.4M to $108MJun 20, 2025 to Jan 30, 2026
- Financial planning clients · More than 500 to More than 500Mar 27, 2025 to Jun 20, 2025
- Accounts · 1,279 to 1,325Mar 26, 2024 to Mar 27, 2025
- Advisory employees · 11 to 10Mar 26, 2024 to Mar 27, 2025
- HNW clients · 95 to 108Mar 26, 2024 to Mar 27, 2025
- Individual clients · 432 to 414Mar 26, 2024 to Mar 27, 2025
- Assets in custody · $42.3M to $31.4MMar 26, 2024 to Mar 27, 2025
- Employees · 15 to 14Mar 26, 2024 to Mar 27, 2025
- State-registered IARs · 11 to 10Mar 26, 2024 to Mar 27, 2025
- Other offices · 3 to 4Mar 26, 2024 to Mar 27, 2025
- Discretionary RAUM · $418M to $448MMar 26, 2024 to Mar 27, 2025
- HNW RAUM · $296M to $335MMar 26, 2024 to Mar 27, 2025
- Individual RAUM · $125M to $121MMar 26, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $45.5M to $40.1MMar 26, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $42.3M to $31.4MMar 26, 2024 to Mar 27, 2025
- RAUM · $463M to $488MMar 26, 2024 to Mar 27, 2025
- Related adviser · false to trueMar 26, 2024 to Mar 27, 2025
- Accounts · 1,129 to 1,279Nov 16, 2023 to Mar 26, 2024
- Advisory employees · 9 to 11Nov 16, 2023 to Mar 26, 2024
- HNW clients · 83 to 95Nov 16, 2023 to Mar 26, 2024
- Individual clients · 384 to 432Nov 16, 2023 to Mar 26, 2024
- Assets in custody · $40.6M to $42.3MNov 16, 2023 to Mar 26, 2024
- Employees · 13 to 15Nov 16, 2023 to Mar 26, 2024
- Financial planning clients · 251-500 to More than 500Nov 16, 2023 to Mar 26, 2024
- State-registered IARs · 9 to 11Nov 16, 2023 to Mar 26, 2024
- Discretionary RAUM · $381M to $418MNov 16, 2023 to Mar 26, 2024
- HNW RAUM · $263M to $296MNov 16, 2023 to Mar 26, 2024
- Individual RAUM · $119M to $125MNov 16, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $41.5M to $45.5MNov 16, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $40.6M to $42.3MNov 16, 2023 to Mar 26, 2024
Signals
7 dated events
- A••••• C••••••• left G•••••••• C•••••• M••••••••• L•• for F•••••• W••••• (registered 2026-07-08)Jul 2, 2026 · Advisor changed firm · fact
- B•••• B••• S••••• left G•••••••• C•••••• M••••••••• L•• for Aqi (registered 2026-07-07)Jul 2, 2026 · Advisor changed firm · fact
- J•••••• W••• left G•••••••• C•••••• M••••••••• L•• for F•••••• W••••• (registered 2026-07-08)Jul 2, 2026 · Advisor changed firm · fact
- 2 advisors left G•••••••• C•••••• M••••••••• L•• (Lone Tree, CO) for F•••••• W••••• on the same dayJul 2, 2026 · Team lift-out · derived
- S••• F••••••• S•••••••• left G•••••••• C•••••• M••••••••• L•• for G••••••• I••••••••• L•• (registered 2026-04-08)Oct 2, 2025 · Advisor changed firm · fact
- M•••••• T••• B•••• left G•••••••• C•••••• M••••••••• L•• for G•• W••••• M••••••••• L•• (registered 2025-03-05)Feb 12, 2025 · Advisor changed firm · fact
- G•••••••• C•••••• M••••••••• L•• reported RAUM $424.8M, up 32% from $322.5M (2020-10-01 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- G•••••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- G•••••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 760-773-1000reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••://WWW.J•••D•••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 303-708-1640reportedpublic record, Form ADV, Mar 30, 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
- $89.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026