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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Former SEC-registered adviser

G••••• A•••• M••••••••• L••

Former SEC-registered adviserDurham, North CarolinaCRD 118471SEC 801-61670IAPD
Latest filing Apr 9, 2024
First filing on the tape Mar 28, 2012 · 46 filings
RAUM
$199M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
94%
$187M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
46 filings and snapshots on the tape
RAUM$199M as of Mar 11, 2024
Mar 28, 2012$431M then
HNW client RAUM$152M as of Mar 11, 2024
Mar 29, 2018$676M then
State-registered IARs (5.B.3)5 as of Mar 11, 2024
Mar 28, 20133 then
Employees (5.A)5 as of Mar 11, 2024
Mar 28, 20136 then
Private funds: no history
RAUM -0.4% over the last fiscal year+7.1% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Apr 9, 2024; every figure names its basis
RAUM per advisor
$39.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
29derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.2MderivedHNW RAUM over HNW clients
Average account
$435,354derivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
6.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-0.4%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-3.4%derived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$152M76%
  • Individuals$35.0M18%
  • Pension and profit-sharing plans$12.5M6.2%
  • Corporations and businesses$191,3900.1%
Individual clients
95reported
HNW clients
48reported
Pension plan clients
10reported
Charitable clients
0reported
Accounts
458reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • G•••••• J•••••• M•••••• · J••••• M. G•••••, Trustee For F•• J•••••• R•• T•••• D•• 0••••••control
    since 02/2020 · owns F of F•• J•••••• R•• T•••• D•• 0••••••
  • Z•••••• T•••• E••••• · Membercontrol
    since 01/2021 · owns 75% or more of Z••••• I••••••••• L••
  • M••••• J•••••• G•••• · Chief Compliance Officer/Chief Investment Officer
    since 07/2021 · owns less than 5%
Entity owners
  • F•• J•••••• R•• T•••• D•• 0•••••• · Shareholder
    direct · owns 75% or more
  • G•••••••• F••••••••• L•• · G•••••••• F••••••••• L••
    direct · owns 10% to 25%
  • 2••• I••••••••• T•••• F•• H••••• A•• O••••• · Shareholder
    direct · owns less than 5%
  • Z••••• I••••••••• L•• · Owner
    direct · owns less than 5%
Related persons
Schedule D 7.A
  • S•••••••• F•••••••• M••••••••• I•••
    real estaten
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Durham, Nc · principal000
Kenosha, Wi000
Murrells Inlet, Sc000
Offices
Schedule D 1.F, the 25 largest
  • Pinehurst, NC2 employees
What changed
consecutive filings, newest first
  • Accounts · 473 to 458
    Aug 21, 2023 to Mar 11, 2024
  • Corporate clients · 0 to 1
    Aug 21, 2023 to Mar 11, 2024
  • Individual clients · 100 to 95
    Aug 21, 2023 to Mar 11, 2024
  • Financial planning clients · 26-50 to 101-250
    Aug 21, 2023 to Mar 11, 2024
  • Discretionary RAUM · $189M to $188M
    Aug 21, 2023 to Mar 11, 2024
  • Individual RAUM · $35.8M to $35.0M
    Aug 21, 2023 to Mar 11, 2024
  • RAUM · $200M to $199M
    Aug 21, 2023 to Mar 11, 2024
  • Accounts · 511 to 473
    Mar 25, 2022 to Mar 29, 2023
  • Advisory employees · 6 to 5
    Mar 25, 2022 to Mar 29, 2023
  • BD registered reps · 0 to 1
    Mar 25, 2022 to Mar 29, 2023
  • HNW clients · 69 to 48
    Mar 25, 2022 to Mar 29, 2023
  • Individual clients · 428 to 100
    Mar 25, 2022 to Mar 29, 2023
  • Pension plan clients · 14 to 10
    Mar 25, 2022 to Mar 29, 2023
  • Commission compensation · false to true
    Mar 25, 2022 to Mar 29, 2023
  • Employees · 6 to 5
    Mar 25, 2022 to Mar 29, 2023
  • State-registered IARs · 6 to 5
    Mar 25, 2022 to Mar 29, 2023
  • Discretionary RAUM · $219M to $189M
    Mar 25, 2022 to Mar 29, 2023
  • HNW RAUM · $73.2M to $152M
    Mar 25, 2022 to Mar 29, 2023
  • Individual RAUM · $135M to $35.8M
    Mar 25, 2022 to Mar 29, 2023
  • Non-discretionary RAUM · $7.1M to $10.9M
    Mar 25, 2022 to Mar 29, 2023
  • Pension RAUM · $17.9M to $12.5M
    Mar 25, 2022 to Mar 29, 2023
  • RAUM · $226M to $200M
    Mar 25, 2022 to Mar 29, 2023
  • Accounts · 587 to 511
    Oct 7, 2021 to Mar 3, 2022
  • Corporate clients · 1 to 0
    Oct 7, 2021 to Mar 3, 2022
  • HNW clients · 54 to 69
    Oct 7, 2021 to Mar 3, 2022
  • Individual clients · 127 to 428
    Oct 7, 2021 to Mar 3, 2022
  • Financial planning clients · 51-100 to 26-50
    Oct 7, 2021 to Mar 3, 2022
  • Discretionary RAUM · $209M to $219M
    Oct 7, 2021 to Mar 3, 2022
  • HNW RAUM · $179M to $73.2M
    Oct 7, 2021 to Mar 3, 2022
  • Individual RAUM · $33.7M to $135M
    Oct 7, 2021 to Mar 3, 2022
  • Non-discretionary RAUM · $21.6M to $7.1M
    Oct 7, 2021 to Mar 3, 2022
  • Pension RAUM · $17.9M to $17.9M
    Oct 7, 2021 to Mar 3, 2022
  • RAUM · $231M to $226M
    Oct 7, 2021 to Mar 3, 2022
  • Advisory employees · 5 to 6
    Aug 10, 2021 to Oct 7, 2021
  • State-registered IARs · 5 to 6
    Aug 10, 2021 to Oct 7, 2021
  • Accounts · 323 to 587
    Jun 3, 2021 to Jul 16, 2021
  • Advisory employees · 3 to 5
    Jun 3, 2021 to Jul 16, 2021
  • HNW clients · 44 to 54
    Jun 3, 2021 to Jul 16, 2021
  • Individual clients · 63 to 127
    Jun 3, 2021 to Jul 16, 2021
  • Pension plan clients · 11 to 14
    Jun 3, 2021 to Jul 16, 2021
Signals
16 dated events
  • J••••• G•••• M•••• left G••••• A•••• M••••••••• L•• for S••••• F••••••••• L•• (registered 2024-12-23)
    Dec 23, 2024 · Advisor changed firm · fact
  • J••••• M•••••• G••••• left G••••• A•••• M••••••••• L•• for S••••• F••••••••• L•• (registered 2024-11-22)
    Nov 22, 2024 · Advisor changed firm · fact
  • S•••• C•••••••• Z••••• left G••••• A•••• M••••••••• L•• for S••••• F••••••••• L•• (registered 2024-09-18)
    Nov 8, 2024 · Advisor changed firm · fact
  • T••• E••••• Z••••• left G••••• A•••• M••••••••• L•• for S••••• F••••••••• L•• (registered 2024-11-08)
    Nov 8, 2024 · Advisor changed firm · fact
  • 2 advisors left G••••• A•••• M••••••••• L•• (Durham, NC) for S••••• F••••••••• L•• within 14 days
    Nov 8, 2024 · Team lift-out · derived
  • J••••• S•••••• left G••••• A•••• M••••••••• L•• for T••••••••• W••••• P•••••••• L•• (registered 2024-04-10)
    Jan 9, 2024 · Advisor changed firm · fact
  • J••• T••••• S•••••• left G••••• A•••• M••••••••• L•• for T••••••••• W••••• P•••••••• L•• (registered 2024-04-10)
    Jan 9, 2024 · Advisor changed firm · fact
  • Edward Todd Zempel (Member) appeared on Schedule A of G••••• A•••• M••••••••• L••
    Mar 17, 2022 · Control person joined · fact
  • G••••• A•••• M••••••••• L•• reported RAUM $222.3M, down 70% from $731.8M (2019-12-26 to 2020-03-30)
    Mar 30, 2020 · RAUM change · derived
  • Jay M•••••• Hensley (Managing Partner) no longer on Schedule A of G••••• A•••• M••••••••• L•• (listed 2019-12-26, absent 2020-03-30)
    Mar 30, 2020 · Control person left · inference
  • Todd David Misenheimer (President) no longer on Schedule A of G••••• A•••• M••••••••• L•• (listed 2019-12-26, absent 2020-03-30)
    Mar 30, 2020 · Control person left · inference
  • Brenton Russell Smith (Owner) no longer on Schedule A of G••••• A•••• M••••••••• L•• (listed 2019-12-26, absent 2020-03-30)
    Mar 30, 2020 · Control person left · inference
  • G••••• A•••• M••••••••• L•• reported RAUM $731.8M, down 51% from $1.5B (2019-01-11 to 2019-03-31)
    Mar 31, 2019 · RAUM change · derived
  • David Christian Keedy (President) no longer on Schedule A of G••••• A•••• M••••••••• L•• (listed 2019-01-11, absent 2019-03-31)
    Mar 31, 2019 · Control person left · inference
  • G••••• A•••• M••••••••• L•• reported RAUM $1.5B, up 29% from $1.2B (2017-09-28 to 2018-03-29)
    Mar 29, 2018 · RAUM change · derived
  • G••••• A•••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Dec 2, 2015 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
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