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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SEC-registered adviser
G•••••••• C•••••• A••••••••• L••
Latest filing Apr 15, 2026
First filing on the tape Mar 20, 2012 · 47 filings
SEC status approved since Sep 5, 2001
RAUM
$1.8B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
58%
$1.0B individuals and HNW
Advisors
16
registered through the firm on IAPD
RAUM per advisor
$110M
derived; firm RAUM over IAPD count
Employees
21
14 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
47 filings and snapshots on the tape
RAUM$1.8B as of Apr 15, 2026
Mar 20, 2012$915M then
HNW client RAUM$286M as of Apr 15, 2026
Mar 28, 2018$107M then
State-registered IARs (5.B.3)16 as of Apr 15, 2026
Mar 20, 20120 then
Employees (5.A)21 as of Apr 15, 2026
Mar 22, 201313 then
Private funds: no history
RAUM +5.8% over the last fiscal year+9.0% a year over threeIARs 16 to 16
Practice profile
derived from the filing of Apr 15, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $110MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $2.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 32%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 8.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.9%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
- Custody
- $90.6M, 57 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$731M41%
- State and municipal entities$396M22%
- High-net-worth individuals$286M16%
- Corporations and businesses$184M10%
- Charitable organizations$160M9.0%
- Pension and profit-sharing plans$8.5M0.5%
- Individual clients
- 584reported
- HNW clients
- 76reported
- Pension plan clients
- 4reported
- Charitable clients
- 44reported
- Accounts
- 731reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $90.6M for 57 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.58 fund_share=0.0 institutional_share=0.32 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
16 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• D••••• W•••••• | G••••••••, Sc | Jul 13, 2006 | 34 y | 0 |
| W••••• B•••••• T••• | G••••••••, Sc | Oct 22, 2008 | 23 y | 1 |
| C•••• W•••••• B••• | G••••••••, Sc | Nov 12, 2008 | 23 y | 0 |
| B•••• L••••• D•••••Certified Financial Planner | Greenville, Sc | Mar 22, 2010 | 24 y | 3 |
| M•••••• D••• B•••Certified Financial Planner, Chartered Financial Consultant | Greenville, Sc | Jun 18, 2013 | 13 y | 0 |
| J••• W••••• C•••••Certified Financial Planner | G••••••••, Sc | Apr 25, 2016 | 28 y | 1 |
| W•••••• M••••••••• C••• | G••••••••, Sc | Dec 6, 2017 | 31 y | 1 |
| D••••• H•••••••• L••••• | G••••••••, Sc | Oct 6, 2018 | 13 y | 0 |
| J••••• R•• B••••••• | G••••••••, Sc | Nov 24, 2018 | 13 y | 0 |
| K•••• D•••• S•••• | G••••••••, Sc | Jan 1, 2019 | 10 y | 0 |
| J••• B••••••• P•••••• | G••••••••, Sc | Mar 4, 2021 | 10 y | 1 |
| M••• K••• P••••Chartered Financial Analyst | Summerville, Sc | Nov 10, 2021 | 21 y | 0 |
| C••••• M••••• R•••• | G••••••••, Sc | Aug 24, 2023 | 12 y | 0 |
| C•••• J•••• B•••• | G••••••••, Sc | Oct 16, 2024 | 12 y | 0 |
| A••• J••• T••••••• | Greenville, Sc | Nov 1, 2024 | 16 y | 3 |
| B•••••• M•••••• W••••••• | G••••••••, Sc | Nov 20, 2025 | 10 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- G•••••• T••••• M••••• to B•••••••• A•••• M••••••••• L••Aug 22, 2025 · RIA to RIA
- Q•••••• A••••• P••• to B••••• P••••• A•••••••• L••Apr 23, 2024 · RIA to RIA
- M•••••• L• A•••••• to W•••• F•••• A•••••••Jul 7, 2016 · Other
- M•••••• W•••• N•• to D••••••• A••••• C••••••• L••Jul 17, 2013 · Other
Joined, latest
- B•••••• M•••••• W••••••• from W•••••• I••••••••• L••Nov 20, 2025 · RIA to RIA
- G•••••• T••••• M••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 2, 2024 · Wirehouse to independent RIA
- A••• J••• T••••••• from B•• P•••••• W•••••• I•••Nov 1, 2024 · RIA to RIA
- J••• B••••••• P•••••• from F••••• I•••••••••Mar 4, 2021 · RIA to RIA
- Q•••••• A••••• P••• from E••••• J••••Jul 24, 2019 · Affiliated broker-dealer or bank to independent RIA
- W•••••• M••••••••• C••• from T•••••• C••••••• L••Dec 6, 2017 · Other
- J••• W••••• C••••• from E•••••••• A•••••••• L••Apr 25, 2016 · Other
- M•••••• L• A•••••• from L•• F•••••••• L••Jul 2, 2015 · Other
- B•••• L••••• D••••• from W•••• F•••• A•••••••Mar 22, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• J•••• R••••• · Director Of Equitycontrolsince 06/2014 · owns less than 5%
- D•••••• B••••• L••••• · Director Of Wealth Managementcontrolsince 06/2014 · owns less than 5%
- L•••••• D•••••• H•••••••• · Chief Compliance Officer/Chief Operating Officercontrolsince 02/2016 · owns less than 5%
- P••••• M•••• K••• · Direct Of Multi-Asset Strategiescontrolsince 06/2025 · owns less than 5%
- T•••• W•••••• B•••••• · President/Chief Investment Officercontrolsince 08/2017 · owns 5% to 10%
- W••••••• J•••• D••••• · Director Of Fixed Incomecontrolsince 06/2014 · owns less than 5%
- B•••• M••••••• D••• · Senior P•••••• Client Advisorsince 05/2018 · owns less than 5%
- B•••• C••••• W•••••• · Senior Trading Managersince 06/2025 · owns less than 5%
- C•••••• J•••• W••••• · P•••••• Client Advisorsince 06/2025 · owns less than 5%
Entity owners
- T•• C••••••••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- C••••••••• I•••••••• S•••••••• I•••real estaten
- C••••••••• I••••••••• S•••••••• I•••broker-dealern
- C•••••••••custodiann
- V•••••• I••••••••• A•••••• R•••••••••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| G••••••••, Sc · principal | 16 | 1 | 0 | ||
| Greenville, Sc | 8 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Greenville, SC9 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Apr 15, 2026D•••••• J•••• R••••• (DIRECTOR OF EQUITY) left Schedule A between the filings of 2021-03-25 and 2026-04-15peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Apr 15, 2026P••••• M•••• K••• (DIRECT OF MULTI-ASSET STRATEGIES) appeared on Schedule A between the filings of 2021-03-25 and 2026-04-15peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 706 to 731Jan 22, 2026 to Mar 26, 2026
- Charity clients · 41 to 44Jan 22, 2026 to Mar 26, 2026
- Corporate clients · 15 to 13Jan 22, 2026 to Mar 26, 2026
- HNW clients · 73 to 76Jan 22, 2026 to Mar 26, 2026
- Individual clients · 562 to 584Jan 22, 2026 to Mar 26, 2026
- Pension plan clients · 5 to 4Jan 22, 2026 to Mar 26, 2026
- Assets in custody · unset to 90592939.0Jan 22, 2026 to Mar 26, 2026
- Custody of client assets · false to trueJan 22, 2026 to Mar 26, 2026
- Employees · 19 to 21Jan 22, 2026 to Mar 26, 2026
- Discretionary RAUM · $1.7B to $1.8BJan 22, 2026 to Mar 26, 2026
- HNW RAUM · $243M to $286MJan 22, 2026 to Mar 26, 2026
- Individual RAUM · $652M to $731MJan 22, 2026 to Mar 26, 2026
- Pension RAUM · $6.4M to $8.5MJan 22, 2026 to Mar 26, 2026
- RAUM · $1.7B to $1.8BJan 22, 2026 to Mar 26, 2026
- Financial planning clients · 101-250 to 101-250Mar 31, 2025 to Jun 5, 2025
- Accounts · 714 to 706Mar 29, 2024 to Mar 31, 2025
- Advisory employees · 15 to 14Mar 29, 2024 to Mar 31, 2025
- Charity clients · 39 to 41Mar 29, 2024 to Mar 31, 2025
- Corporate clients · 19 to 15Mar 29, 2024 to Mar 31, 2025
- HNW clients · 74 to 73Mar 29, 2024 to Mar 31, 2025
- Individual clients · 564 to 562Mar 29, 2024 to Mar 31, 2025
- Pension plan clients · 7 to 5Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · 51-100 to 101-250Mar 29, 2024 to Mar 31, 2025
- State-registered IARs · 15 to 16Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.5B to $1.7BMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $215M to $243MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $596M to $652MMar 29, 2024 to Mar 31, 2025
- Pension RAUM · $18.1M to $6.4MMar 29, 2024 to Mar 31, 2025
- RAUM · $1.5B to $1.7BMar 29, 2024 to Mar 31, 2025
- Accounts · 682 to 714Apr 3, 2023 to Mar 29, 2024
- Advisory employees · 14 to 15Apr 3, 2023 to Mar 29, 2024
- Advisory activities · 6 to 7Apr 3, 2023 to Mar 29, 2024
- Charity clients · 32 to 39Apr 3, 2023 to Mar 29, 2024
- Corporate clients · 22 to 19Apr 3, 2023 to Mar 29, 2024
- HNW clients · 82 to 74Apr 3, 2023 to Mar 29, 2024
- Individual clients · 529 to 564Apr 3, 2023 to Mar 29, 2024
- Employees · 20 to 19Apr 3, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.4B to $1.5BApr 3, 2023 to Mar 29, 2024
- HNW RAUM · $209M to $215MApr 3, 2023 to Mar 29, 2024
- Individual RAUM · $530M to $596MApr 3, 2023 to Mar 29, 2024
Signals
4 dated events
- G•••••• T••••• M••••• left G•••••••• C•••••• A••••••••• L•• for B•••••••• A•••• M••••••••• L•• (registered 2025-09-08)Aug 22, 2025 · Advisor changed firm · fact
- Q•••••• A••••• P••• left G•••••••• C•••••• A••••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2024-05-21)Apr 23, 2024 · Advisor changed firm · fact
- G•••••••• C•••••• A••••••••• L•• reported 15 state-registered advisory representatives, up from 5 (2022-03-31 to 2023-03-31)Mar 31, 2023 · Advisor headcount change · derived
- G•••••••• C•••••• A••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jul 23, 2013 · 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.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/G••••••••-CAPITALreportedpublic record, Form ADV, Sep 18, 2026
- Website
- login.orionadvisor.com/loginreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 864-941-4049reportedpublic record, Form ADV, Apr 15, 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
- $110Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026