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.
Former SEC-registered adviser
W•••••• F•••••••• G•••• I••
Legal name G••• P••• A•••••••• I•••
Latest filing Feb 27, 2026
First filing on the tape Mar 29, 2012 · 26 filings
SEC status approved since Apr 22, 2016
RAUM
$156M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$146M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$156M as of Feb 27, 2026
Mar 29, 2012$48.1M then
HNW client RAUM$68.3M as of Feb 27, 2026
Feb 13, 2018$27.7M then
State-registered IARs (5.B.3)1 as of Feb 27, 2026
Mar 29, 20120 then
Employees (5.A)2 as of Feb 27, 2026
Feb 15, 20175 then
Private funds: no history
RAUM +15% over the last fiscal year+12% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Feb 27, 2026; every figure names its basis
- RAUM per advisor
- $156MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 302derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $217,334derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- 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
- Individuals$77.6M50%
- High-net-worth individuals$68.3M44%
- Corporations and businesses$10.2M6.5%
- Individual clients
- 262reported
- HNW clients
- 40reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 718reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- C••••••••• J•••• W•••••• to P•••••••• W••••• P•••••••Apr 14, 2026 · RIA to RIA
- D••••• I•••• L••••• to P•••••••• W••••• P•••••••Apr 14, 2026 · RIA to RIA
- C•••• G••••• W••• to E•••• M••••••• A•••••••• L••Mar 1, 2017 · Other
Joined, latest
- D••••• I•••• L••••• from E•••• M••••••• A•••••••• L••Jul 23, 2015 · Other
- C•••• G••••• W••• from S•• C•••••• A••••••• L••Aug 28, 2003 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for P•••••••• W••••• P•••••••Apr 14, 2026 · Conroe, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••• C••••••••• J•••• · President/Chief Compliance Officercontrolsince 12/2016 · 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 |
|---|---|---|---|---|---|
| Conroe, Tx · principal | 0 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 717 to 718Feb 12, 2025 to Feb 27, 2026
- Advisory employees · 2 to 1Feb 12, 2025 to Feb 27, 2026
- HNW clients · 29 to 40Feb 12, 2025 to Feb 27, 2026
- Individual clients · 282 to 262Feb 12, 2025 to Feb 27, 2026
- State-registered IARs · 2 to 1Feb 12, 2025 to Feb 27, 2026
- Discretionary RAUM · $135M to $156MFeb 12, 2025 to Feb 27, 2026
- HNW RAUM · $49.4M to $68.3MFeb 12, 2025 to Feb 27, 2026
- Individual RAUM · $74.5M to $77.6MFeb 12, 2025 to Feb 27, 2026
- RAUM · $135M to $156MFeb 12, 2025 to Feb 27, 2026
- Accounts · 724 to 717Feb 29, 2024 to Feb 12, 2025
- Advisory employees · 3 to 2Feb 29, 2024 to Feb 12, 2025
- Corporate clients · 5 to 7Feb 29, 2024 to Feb 12, 2025
- HNW clients · 25 to 29Feb 29, 2024 to Feb 12, 2025
- Individual clients · 286 to 282Feb 29, 2024 to Feb 12, 2025
- Employees · 3 to 2Feb 29, 2024 to Feb 12, 2025
- fin p•••ning clients · 1-10 to 1-10Feb 29, 2024 to Feb 12, 2025
- State-registered IARs · 3 to 2Feb 29, 2024 to Feb 12, 2025
- Discretionary RAUM · $117M to $135MFeb 29, 2024 to Feb 12, 2025
- HNW RAUM · $35.7M to $49.4MFeb 29, 2024 to Feb 12, 2025
- Individual RAUM · $72.3M to $74.5MFeb 29, 2024 to Feb 12, 2025
- RAUM · $117M to $135MFeb 29, 2024 to Feb 12, 2025
- Accounts · 703 to 724Sep 21, 2023 to Feb 29, 2024
- Corporate clients · 0 to 5Sep 21, 2023 to Feb 29, 2024
- HNW clients · 22 to 25Sep 21, 2023 to Feb 29, 2024
- Individual clients · 284 to 286Sep 21, 2023 to Feb 29, 2024
- Discretionary RAUM · $110M to $117MSep 21, 2023 to Feb 29, 2024
- HNW RAUM · $40.7M to $35.7MSep 21, 2023 to Feb 29, 2024
- Individual RAUM · $69.5M to $72.3MSep 21, 2023 to Feb 29, 2024
- RAUM · $110M to $117MSep 21, 2023 to Feb 29, 2024
- Accounts · 722 to 703Mar 24, 2022 to Mar 9, 2023
- Advisory activities · 5 to 2Mar 24, 2022 to Mar 9, 2023
- HNW clients · 26 to 22Mar 24, 2022 to Mar 9, 2023
- Individual clients · 270 to 284Mar 24, 2022 to Mar 9, 2023
- Discretionary RAUM · $116M to $110MMar 24, 2022 to Mar 9, 2023
- HNW RAUM · $47.6M to $40.7MMar 24, 2022 to Mar 9, 2023
- Individual RAUM · $68.1M to $69.5MMar 24, 2022 to Mar 9, 2023
- RAUM · $116M to $110MMar 24, 2022 to Mar 9, 2023
- Accounts · 694 to 722Mar 31, 2021 to Mar 24, 2022
- Advisory employees · 4 to 3Mar 31, 2021 to Mar 24, 2022
- HNW clients · 29 to 26Mar 31, 2021 to Mar 24, 2022
Signals
5 dated events
- W•••••• F•••••••• G•••• I•• no longer on the SEC adviser roster (last listed 2026-04-01, RAUM $156.0M)May 1, 2026 · Left the SEC roster · derived
- C••••••••• J•••• W•••••• left W•••••• F•••••••• G•••• I•• for P•••••••• W••••• P••••••• (registered 2026-03-30)Apr 14, 2026 · Advisor changed firm · fact
- D••••• I•••• L••••• left W•••••• F•••••••• G•••• I•• for P•••••••• W••••• P••••••• (registered 2026-03-30)Apr 14, 2026 · Advisor changed firm · fact
- 2 advisors left W•••••• F•••••••• G•••• I•• (Conroe, TX) for P•••••••• W••••• P••••••• on the same dayApr 14, 2026 · Team lift-out · derived
- G••• P••• A•••••••• I••• filed its initial SEC registration (Form ADV)Apr 18, 2016 · First SEC registration · 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