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

Gni Capital Inc.

Former SEC-registered adviserGreenville, South CarolinaCRD 114802SEC 801-64110IAPD
Latest filing Mar 30, 2018
First filing on the tape Mar 30, 2012 · 9 filings
RAUM
$54.9M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
23%
$12.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$54.9M as of Mar 30, 2018
Mar 30, 2012$47.7M then
HNW client RAUM: $11.2M
State-registered IARs (5.B.3)3 as of Mar 30, 2018
Mar 28, 20132 then
Employees (5.A)4 as of Mar 30, 2018
Mar 28, 20133 then
Private funds: no history
RAUM +12% over the last fiscal year+4.4% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 30, 2018; every figure names its basis
RAUM per advisor
$18.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
4derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
0.0%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
+12%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, publicationsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Custody
$2.4M, 5 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$42.4M77%
  • High-net-worth individuals$11.2M20%
  • Individuals$1.3M2.3%
Individual clients
5reported
HNW clients
8reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
38reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$2.4M for 5 clientsreported
Compensation
% of AUM, performancereported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Ray Allen Gillespie · President, Chief Compliance Officercontrol
    since 09/1997 · owns less than 5%
  • Hamilton Philip Brice · Membercontrol
    since 01/2018 · owns 75% or more of Phb Holdings, LLC
  • Patrick Richard Sheridan · Membercontrol
    since 04/2005 · owns 75% or more of Broad Street Capital Partners, LLC
Entity owners
  • Fintrust Capital Partners, LLC · Owner
    direct · owns 75% or more
  • Broad Street Capital Partners, LLC · Owner
    indirect · owns 25% to 50% of Fintrust Capital Partners, LLC
  • Phb Holdings, LLC · Owner
    indirect · owns 25% to 50% of Fintrust Capital Partners, LLC
Related persons
Schedule D 7.A
Advisers that list Gni Capital Inc. as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 29 to 38
    Mar 24, 2017 to Mar 30, 2018
  • Advisory activities · 2 to 3
    Mar 24, 2017 to Mar 30, 2018
  • BD registered reps · 4 to 3
    Mar 24, 2017 to Mar 30, 2018
  • Charity clients · unset to 0.0
    Mar 24, 2017 to Mar 30, 2018
  • Corporate clients · unset to 0.0
    Mar 24, 2017 to Mar 30, 2018
  • HNW clients · unset to 8.0
    Mar 24, 2017 to Mar 30, 2018
  • Individual clients · unset to 5.0
    Mar 24, 2017 to Mar 30, 2018
  • Pension plan clients · unset to 0.0
    Mar 24, 2017 to Mar 30, 2018
  • Pooled vehicle clients · unset to 0.0
    Mar 24, 2017 to Mar 30, 2018
  • Assets in custody · unset to 2365092.0
    Mar 24, 2017 to Mar 30, 2018
  • Custody of client assets · false to true
    Mar 24, 2017 to Mar 30, 2018
  • Employees · 5 to 4
    Mar 24, 2017 to Mar 30, 2018
  • Insurance-licensed employees · 3 to 0
    Mar 24, 2017 to Mar 30, 2018
  • Other offices · unset to 0.0
    Mar 24, 2017 to Mar 30, 2018
  • Organization form · Corporation to Limited Liability Company
    Mar 24, 2017 to Mar 30, 2018
  • Discretionary RAUM · $47.6M to $53.5M
    Mar 24, 2017 to Mar 30, 2018
  • HNW RAUM · unset to 11225186.0
    Mar 24, 2017 to Mar 30, 2018
  • Individual RAUM · unset to 1272576.0
    Mar 24, 2017 to Mar 30, 2018
  • Non-discretionary RAUM · $1.2M to $1.4M
    Mar 24, 2017 to Mar 30, 2018
  • Pension RAUM · unset to 0.0
    Mar 24, 2017 to Mar 30, 2018
  • Pooled vehicle RAUM · unset to 0.0
    Mar 24, 2017 to Mar 30, 2018
  • RAUM · $48.8M to $54.9M
    Mar 24, 2017 to Mar 30, 2018
  • Succession · false to true
    Mar 24, 2017 to Mar 30, 2018
  • Wrap assets (manager) · unset to 0.0
    Mar 24, 2017 to Mar 30, 2018
  • Wrap assets (sponsor) · unset to 0.0
    Mar 24, 2017 to Mar 30, 2018
  • Accounts · 44 to 29
    Mar 1, 2016 to Mar 24, 2017
  • Discretionary RAUM · $45.6M to $47.6M
    Mar 1, 2016 to Mar 24, 2017
  • Non-discretionary RAUM · $878,930 to $1.2M
    Mar 1, 2016 to Mar 24, 2017
  • RAUM · $46.4M to $48.8M
    Mar 1, 2016 to Mar 24, 2017
  • Accounts · 41 to 44
    Mar 30, 2015 to Mar 1, 2016
  • Insurance-licensed employees · 4 to 3
    Mar 30, 2015 to Mar 1, 2016
  • Discretionary RAUM · $47.2M to $45.6M
    Mar 30, 2015 to Mar 1, 2016
  • Non-discretionary RAUM · $1.0M to $878,930
    Mar 30, 2015 to Mar 1, 2016
  • RAUM · $48.2M to $46.4M
    Mar 30, 2015 to Mar 1, 2016
  • Accounts · 46 to 41
    May 14, 2014 to Mar 30, 2015
  • Advisory employees · 2 to 3
    May 14, 2014 to Mar 30, 2015
  • BD registered reps · 2 to 4
    May 14, 2014 to Mar 30, 2015
  • Employees · 6 to 5
    May 14, 2014 to Mar 30, 2015
  • State-registered IARs · 4 to 3
    May 14, 2014 to Mar 30, 2015
  • Discretionary RAUM · $36.5M to $47.2M
    May 14, 2014 to Mar 30, 2015
Signals
1 dated events
  • Gni Capital Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Mar 30, 2018 · Succession (Item 4) · 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