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RIA Intelligence

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SEC-registered adviser

G••••••• I••••••••• M••••••••• I•••

Independent wealth managerCRD 117436SEC 801-112129IAPD
Latest filing Jun 29, 2026
First filing on the tape Feb 14, 2012 · 22 filings
SEC status approved since Dec 7, 2017
RAUM
$129M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$128M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$129M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$129M as of Jun 29, 2026
Feb 14, 2012$51.1M then
HNW client RAUM$116M as of Jun 29, 2026
Feb 12, 2018$59.5M then
State-registered IARs (5.B.3)1 as of Jun 29, 2026
Feb 14, 20120 then
Employees (5.A)1 as of Jun 29, 2026
Feb 12, 20181 then
Private funds: no history
RAUM -11% over the last fiscal year+2.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 29, 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
$129MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
76derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$511,088derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-11%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+5.6%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$116M90%
  • Individuals$11.9M9.2%
  • Charitable organizations$886,4230.7%
Individual clients
22reported
HNW clients
54reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
253reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
M••• A••• G•••••••Steamboat Springs, CoFeb 19, 200935 y0
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••••• M•••• A••• · President And Chief Compliance Officercontrol
        since 01/2005 · 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.
      ADV anomalies
      4 against comparable advisers; where to look, not conclusions
      • institutional to wealth shiftCombination · filing Jan 20, 2026
        institutional share fell 15 points or more while private-client share rose 15 points or more. RAUM $145,866,917 to $129,305,177, advisors 1 to 1, private clients 72 to 76, offices 0 to 0 (2025-02-26 to 2026-01-20)
        peers: independent wealth managers, $100M to $500M (5,678)
      • client mix shiftChange between filings · filing Jan 20, 2026
        private-client share of RAUM moved from 78.0% to 99.0% between the annual amendments of 2025-02-26 and 2026-01-20
        peers: independent wealth managers, $100M to $500M (5,678)
      • HNW share shiftChange between filings · filing Jan 20, 2026
        HNW share of RAUM moved from 70.0% to 90.0% between the annual amendments of 2025-02-26 and 2026-01-20
        peers: independent wealth managers, $100M to $500M (5,678)
      • institutional asset share shiftChange between filings · filing Jan 20, 2026
        institutional share of RAUM moved from 22.0% to 1.0% between the annual amendments of 2025-02-26 and 2026-01-20
        peers: independent wealth managers, $100M to $500M (5,678)
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 260 to 253
        Oct 14, 2025 to Jan 20, 2026
      • Charity clients · 2 to 1
        Oct 14, 2025 to Jan 20, 2026
      • HNW clients · 48 to 54
        Oct 14, 2025 to Jan 20, 2026
      • Individual clients · 24 to 22
        Oct 14, 2025 to Jan 20, 2026
      • Discretionary RAUM · $146M to $129M
        Oct 14, 2025 to Jan 20, 2026
      • HNW RAUM · $102M to $116M
        Oct 14, 2025 to Jan 20, 2026
      • Individual RAUM · $11.4M to $11.9M
        Oct 14, 2025 to Jan 20, 2026
      • RAUM · $146M to $129M
        Oct 14, 2025 to Jan 20, 2026
      • Advisory activities · 5 to 6
        Feb 26, 2025 to Oct 14, 2025
      • Accounts · 275 to 260
        Nov 12, 2024 to Feb 26, 2025
      • Charity clients · unset to 2.0
        Nov 12, 2024 to Feb 26, 2025
      • HNW clients · 43 to 48
        Nov 12, 2024 to Feb 26, 2025
      • Individual clients · 41 to 24
        Nov 12, 2024 to Feb 26, 2025
      • Financial planning clients · 26-50 to 26-50
        Nov 12, 2024 to Feb 26, 2025
      • HQ city · unset to
        Nov 12, 2024 to Feb 26, 2025
      • HQ state · unset to
        Nov 12, 2024 to Feb 26, 2025
      • Discretionary RAUM · $122M to $146M
        Nov 12, 2024 to Feb 26, 2025
      • HNW RAUM · $81.7M to $102M
        Nov 12, 2024 to Feb 26, 2025
      • Individual RAUM · $18.1M to $11.4M
        Nov 12, 2024 to Feb 26, 2025
      • RAUM · $122M to $146M
        Nov 12, 2024 to Feb 26, 2025
      • Succession · true to false
        Mar 28, 2024 to Nov 4, 2024
      • Accounts · 285 to 275
        Nov 30, 2023 to Mar 28, 2024
      • Individual clients · 39 to 41
        Nov 30, 2023 to Mar 28, 2024
      • Pension plan clients · unset to 0.0
        Nov 30, 2023 to Mar 28, 2024
      • Discretionary RAUM · $119M to $122M
        Nov 30, 2023 to Mar 28, 2024
      • HNW RAUM · $82.2M to $81.7M
        Nov 30, 2023 to Mar 28, 2024
      • Individual RAUM · $14.5M to $18.1M
        Nov 30, 2023 to Mar 28, 2024
      • Pension RAUM · $732,370 to $0
        Nov 30, 2023 to Mar 28, 2024
      • RAUM · $119M to $122M
        Nov 30, 2023 to Mar 28, 2024
      • Succession · false to true
        Nov 30, 2023 to Mar 28, 2024
      • HQ city · STEAMBOAT SPRINGS to unset
        Jan 4, 2023 to Jun 30, 2023
      • HQ state · CO to unset
        Jan 4, 2023 to Jun 30, 2023
      • Accounts · 286 to 285
        Mar 7, 2022 to Jan 4, 2023
      • HNW clients · 46 to 43
        Mar 7, 2022 to Jan 4, 2023
      • Individual clients · 41 to 39
        Mar 7, 2022 to Jan 4, 2023
      • Discretionary RAUM · $130M to $119M
        Mar 7, 2022 to Jan 4, 2023
      • HNW RAUM · $85.9M to $82.2M
        Mar 7, 2022 to Jan 4, 2023
      • Individual RAUM · $20.9M to $14.5M
        Mar 7, 2022 to Jan 4, 2023
      • Pension RAUM · $0 to $732,370
        Mar 7, 2022 to Jan 4, 2023
      • RAUM · $130M to $119M
        Mar 7, 2022 to Jan 4, 2023
      Signals
      2 dated events
      • G••••••• I••••••••• M••••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Mar 28, 2024 · Succession (Item 4) · fact
      • G••••••• I••••••••• M••••••••• I••• filed its initial SEC registration (Form ADV)
        Nov 8, 2017 · 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
      712-256-7500reportedpublic record, Form ADV, Jun 29, 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
      $129Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026