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••••••• I••••••••• L••
Latest filing Aug 30, 2012
First filing on the tape Dec 6, 2011 · 5 filings
RAUM
$63.9M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$63.9M
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$63.9M as of Aug 30, 2012
Dec 6, 2011$68.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 30, 2012
Dec 6, 20110 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 30, 2012; every figure names its basis
- RAUM per advisor
- $63.9MderivedRAUM 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
- $63.9MderivedRAUM 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
- unknownderivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, 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
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
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• R•••••• G••••• | Reston, Va | Sep 17, 2012 | 24 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 100% of current headcount2 left over 36 months
Left, latest
- M•••••• N•••• to M•• I•••••••• S•••••••• L••Jun 4, 2026 · Other
- H•••• A• P•••••• to E••••• J••••Jul 28, 2025 · Other
Joined, latest
- M•••••• N•••• from A••••• A•••• A••••••• I••Jun 14, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• W••••••• D• · Directorcontrolsince 12/2003 · owns less than 5%
- D••••••• J••••• S••••• · Directorcontrolsince 01/2011 · owns less than 5%
- G•••••• T•••••• R•••••• · Chief Compliance Officersince 06/2001 · owns less than 5%
Entity owners
- G••••••• F•••••••• G••••• L•• · Memberdirect · owns 75% or more
- C•••••• G••••••• A••••••• I••• · Shareholderindirect · owns 75% or more of C••••••• I•••
- C••••••• I••• · Memberindirect · owns 75% or more of G••••••• F•••••••• G••••• L••
Related persons
Schedule D 7.A
- C•••••• G••••••• ••••••• L•••investment advisern
- C•••••• G••••••• L•••investment advisern
- G••••••• S••••••••• L••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Reston, Va · principal | 1 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Insurance-licensed employees · unset to 0.0Dec 6, 2011 to Mar 30, 2012
- Non-discretionary RAUM · $68.0M to $63.9MDec 6, 2011 to Mar 30, 2012
- RAUM · $68.0M to $63.9MDec 6, 2011 to Mar 30, 2012
Signals
2 dated events
- M•••••• N•••• left G••••••• I••••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2026-08-18)Jun 4, 2026 · Advisor changed firm · fact
- H•••• A• P•••••• left G••••••• I••••••••• L•• for E••••• J•••• (registered 2025-07-28)Jul 28, 2025 · Advisor changed firm · 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
- Website
- guidanceinvestments.comreportedpublic record, Form ADV, Sep 19, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $63.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026