DFX Intelligence
RIA Intelligence
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SEC-registered adviser
G••••• A•••• M••••••••• C•••••••••
Latest filing Mar 23, 2026
First filing on the tape Nov 17, 2011 · 19 filings
SEC status approved since Mar 28, 2016
RAUM
$414M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$370M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$414M
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
19 filings and snapshots on the tape
RAUM$414M as of Mar 23, 2026
Mar 26, 2012$65.8M then
HNW client RAUM$363M as of Mar 23, 2026
Mar 28, 2018$259M then
State-registered IARs (5.B.3)1 as of Mar 23, 2026
Mar 26, 20120 then
Employees (5.A)2 as of Mar 23, 2026
Mar 20, 20171 then
Private funds: no history
RAUM +2.4% over the last fiscal year+7.7% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $414MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 112derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $953,836derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%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
- +2.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.6%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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$363M88%
- Charitable organizations$43.7M11%
- Individuals$6.7M1.6%
- Individual clients
- 16reported
- HNW clients
- 96reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 434reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• S••••• G••••• | Plano, Tx | Jul 14, 1998 | 28 y | 0 |
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• W•••• S• · Chief Compliance Officercontrolsince 01/2024 · owns less than 5%
- G•••••• R•••••• S••••• · President/Shareholdercontrolsince 04/1998 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 403 to 434Mar 26, 2025 to Mar 23, 2026
- Individual clients · 19 to 16Mar 26, 2025 to Mar 23, 2026
- Discretionary RAUM · $404M to $414MMar 26, 2025 to Mar 23, 2026
- HNW RAUM · $331M to $363MMar 26, 2025 to Mar 23, 2026
- Individual RAUM · $6.8M to $6.7MMar 26, 2025 to Mar 23, 2026
- RAUM · $404M to $414MMar 26, 2025 to Mar 23, 2026
- Accounts · 498 to 403Mar 27, 2024 to Mar 26, 2025
- HNW clients · 87 to 96Mar 27, 2024 to Mar 26, 2025
- Individual clients · 20 to 19Mar 27, 2024 to Mar 26, 2025
- Financial planning clients · 1-10 to 1-10Mar 27, 2024 to Mar 26, 2025
- HQ city · unset to Mar 27, 2024 to Mar 26, 2025
- HQ state · unset to Mar 27, 2024 to Mar 26, 2025
- Discretionary RAUM · $363M to $404MMar 27, 2024 to Mar 26, 2025
- HNW RAUM · $285M to $331MMar 27, 2024 to Mar 26, 2025
- Individual RAUM · $4.9M to $6.8MMar 27, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $1.1M to $0Mar 27, 2024 to Mar 26, 2025
- RAUM · $364M to $404MMar 27, 2024 to Mar 26, 2025
- Accounts · 379 to 498Jan 19, 2024 to Mar 27, 2024
- Charity clients · 2.0 to unsetJan 19, 2024 to Mar 27, 2024
- HNW clients · 92 to 87Jan 19, 2024 to Mar 27, 2024
- Individual clients · 26 to 20Jan 19, 2024 to Mar 27, 2024
- Employees · 1 to 2Jan 19, 2024 to Mar 27, 2024
- Discretionary RAUM · $330M to $363MJan 19, 2024 to Mar 27, 2024
- HNW RAUM · $301M to $285MJan 19, 2024 to Mar 27, 2024
- Individual RAUM · $7.8M to $4.9MJan 19, 2024 to Mar 27, 2024
- Non-discretionary RAUM · $1.0M to $1.1MJan 19, 2024 to Mar 27, 2024
- RAUM · $331M to $364MJan 19, 2024 to Mar 27, 2024
- Accounts · 384 to 379Mar 24, 2022 to Mar 29, 2023
- HNW clients · 144 to 92Mar 24, 2022 to Mar 29, 2023
- Individual clients · 35 to 26Mar 24, 2022 to Mar 29, 2023
- Employees · 2 to 1Mar 24, 2022 to Mar 29, 2023
- Discretionary RAUM · $377M to $330MMar 24, 2022 to Mar 29, 2023
- HNW RAUM · $351M to $301MMar 24, 2022 to Mar 29, 2023
- Individual RAUM · $6.0M to $7.8MMar 24, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $1.2M to $1.0MMar 24, 2022 to Mar 29, 2023
- RAUM · $378M to $331MMar 24, 2022 to Mar 29, 2023
- Accounts · 392 to 384Feb 25, 2022 to Mar 24, 2022
- HNW clients · 134 to 144Feb 25, 2022 to Mar 24, 2022
- Individual clients · 51 to 35Feb 25, 2022 to Mar 24, 2022
- Other offices · 1 to 0Feb 25, 2022 to Mar 24, 2022
Signals
2 dated events
- S Will Clark (Chief Compliance Officer) appeared on Schedule A of G••••• A•••• M••••••••• C•••••••••Jan 19, 2024 · Control person joined · fact
- G••••• A•••• M••••••••• C••••••••• filed its initial SEC registration (Form ADV)Mar 22, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 9134818625reportedpublic record, Form ADV, Mar 23, 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
- $414Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026