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•• O••••••• M••••••••• L•••••

Former SEC-registered adviserMemphis, TennesseeCRD 119058SEC 801-60982IAPD
Legal name G•• O••••••• M•••••••••
Latest filing Jun 12, 2017
First filing on the tape Mar 1, 2012 · 9 filings
RAUM
$1.4B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
6
$1.4B gross assets
History
9 filings and snapshots on the tape
RAUM$1.4B as of Mar 30, 2017
Mar 1, 2012$978M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2017
Apr 1, 20131 then
Employees (5.A)16 as of Mar 30, 2017
Apr 1, 201312 then
Private funds6 as of Mar 30, 2017
Mar 1, 20126 then
RAUM +2.5% over the last fiscal year+6.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 12, 2017; every figure names its basis
RAUM per advisor
$1.4BderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$712MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
16.0derivedItem 5.A over advisors
Advisors per office
0.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+2.5%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 pooled vehiclesreportedItem 5.G
Custody
$1.4B, 2 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$1.4B for 2 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
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
      • D•••••••• M••••••• J•••• · Managing Membercontrol
        since 01/2002 · owns 10% to 25%
      • G•••••• C••••••• C••• · Managing Membercontrol
        since 01/2002 · owns 25% to 50%
      • M••••• S•••••• T••••• · Chief Compliance Officercontrol
        since 10/2004 · owns less than 5%
      • P••••••• W••••••• E••••• · Membercontrol
        since 01/2002 · owns 5% to 10%
      • T•••••• R•••••• A••••• · Membercontrol
        since 01/2002 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Charlottesville, VA
      • Dallas, TX
      What changed
      consecutive filings, newest first
      • Assets in custody · $1.4B to $1.4B
        Mar 30, 2016 to Mar 30, 2017
      • Non-discretionary RAUM · $1.4B to $1.4B
        Mar 30, 2016 to Mar 30, 2017
      • RAUM · $1.4B to $1.4B
        Mar 30, 2016 to Mar 30, 2017
      • Assets in custody · $1.4B to $1.4B
        Mar 30, 2015 to Mar 30, 2016
      • Financial planning clients · unset to 1-10
        Mar 30, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $1.4B to $1.4B
        Mar 30, 2015 to Mar 30, 2016
      • RAUM · $1.4B to $1.4B
        Mar 30, 2015 to Mar 30, 2016
      • Advisory employees · 10 to 7
        Mar 31, 2014 to Mar 30, 2015
      • Assets in custody · $1.2B to $1.4B
        Mar 31, 2014 to Mar 30, 2015
      • Employees · 15 to 16
        Mar 31, 2014 to Mar 30, 2015
      • Non-discretionary RAUM · $1.2B to $1.4B
        Mar 31, 2014 to Mar 30, 2015
      • RAUM · $1.2B to $1.4B
        Mar 31, 2014 to Mar 30, 2015
      • Advisory employees · 7 to 10
        Jan 29, 2014 to Mar 31, 2014
      • Advisory activities · 2 to 1
        Jan 29, 2014 to Mar 31, 2014
      • Assets in custody · $1.0B to $1.2B
        Jan 29, 2014 to Mar 31, 2014
      • Employees · 12 to 15
        Jan 29, 2014 to Mar 31, 2014
      • Insurance-licensed employees · 0 to 2
        Jan 29, 2014 to Mar 31, 2014
      • Discretionary RAUM · $1.0B to $0
        Jan 29, 2014 to Mar 31, 2014
      • Non-discretionary RAUM · $0 to $1.2B
        Jan 29, 2014 to Mar 31, 2014
      • RAUM · $1.0B to $1.2B
        Jan 29, 2014 to Mar 31, 2014
      • Advisory employees · unset to 7.0
        Jul 26, 2012 to Apr 1, 2013
      • Assets in custody · $978M to $1.0B
        Jul 26, 2012 to Apr 1, 2013
      • Employees · unset to 12.0
        Jul 26, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 1.0
        Jul 26, 2012 to Apr 1, 2013
      • Discretionary RAUM · $978M to $1.0B
        Jul 26, 2012 to Apr 1, 2013
      • RAUM · $978M to $1.0B
        Jul 26, 2012 to Apr 1, 2013
      Signals
      No event on the tape.
      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