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•••••••••

Former SEC-registered adviserLancaster, PennsylvaniaCRD 121448SEC 801-64344IAPD
Legal name A••• I•••
Latest filing Mar 18, 2022
First filing on the tape Nov 9, 2011 · 22 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 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$325M as of Mar 31, 2021
Mar 19, 2012$121M then
HNW client RAUM$140M as of Mar 31, 2021
Mar 27, 2018$80.0M then
State-registered IARs (5.B.3)2 as of Mar 18, 2022
Mar 19, 20120 then
Employees (5.A)2 as of Mar 18, 2022
Mar 28, 20131 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 3 to 2
Practice profile
derived from the filing of Mar 18, 2022; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
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
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
n/areported
Financial planning clients
0reported
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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    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••• D•••••• R•••••• · President/Chief Compliance Officercontrol
        since 04/1984 · owns 75% or more
      • G••••• F••• · Shareholder
        since 12/2007 · owns 10% to 25%
      • L•••••••• K••••• · Shareholder
        since 12/2011 · owns 5% to 10%
      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 · 104.0 to unset
        Mar 31, 2021 to Mar 18, 2022
      • Advisory employees · 3 to 2
        Mar 31, 2021 to Mar 18, 2022
      • Advisory activities · 3 to 1
        Mar 31, 2021 to Mar 18, 2022
      • Charity clients · 1.0 to unset
        Mar 31, 2021 to Mar 18, 2022
      • Corporate clients · 2.0 to unset
        Mar 31, 2021 to Mar 18, 2022
      • HNW clients · 8.0 to unset
        Mar 31, 2021 to Mar 18, 2022
      • Individual clients · 92.0 to unset
        Mar 31, 2021 to Mar 18, 2022
      • Pension plan clients · 1.0 to unset
        Mar 31, 2021 to Mar 18, 2022
      • Employees · 3 to 2
        Mar 31, 2021 to Mar 18, 2022
      • State-registered IARs · 3 to 2
        Mar 31, 2021 to Mar 18, 2022
      • Discretionary RAUM · 292383000.0 to unset
        Mar 31, 2021 to Mar 18, 2022
      • HNW RAUM · 140000000.0 to unset
        Mar 31, 2021 to Mar 18, 2022
      • Individual RAUM · 99915000.0 to unset
        Mar 31, 2021 to Mar 18, 2022
      • Non-discretionary RAUM · 32700000.0 to unset
        Mar 31, 2021 to Mar 18, 2022
      • Pension RAUM · 1927000.0 to unset
        Mar 31, 2021 to Mar 18, 2022
      • RAUM · 325083000.0 to unset
        Mar 31, 2021 to Mar 18, 2022
      • Accounts · 102 to 104
        Jun 30, 2020 to Mar 31, 2021
      • HNW clients · 7 to 8
        Jun 30, 2020 to Mar 31, 2021
      • Individual clients · 91 to 92
        Jun 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $236M to $292M
        Jun 30, 2020 to Mar 31, 2021
      • HNW RAUM · $137M to $140M
        Jun 30, 2020 to Mar 31, 2021
      • Individual RAUM · $66.0M to $99.9M
        Jun 30, 2020 to Mar 31, 2021
      • Non-discretionary RAUM · $26.0M to $32.7M
        Jun 30, 2020 to Mar 31, 2021
      • Pension RAUM · $2.0M to $1.9M
        Jun 30, 2020 to Mar 31, 2021
      • RAUM · $262M to $325M
        Jun 30, 2020 to Mar 31, 2021
      • Accounts · 94 to 102
        Mar 21, 2019 to Mar 27, 2020
      • Individual clients · 83 to 91
        Mar 21, 2019 to Mar 27, 2020
      • Discretionary RAUM · $212M to $236M
        Mar 21, 2019 to Mar 27, 2020
      • HNW RAUM · $100M to $137M
        Mar 21, 2019 to Mar 27, 2020
      • Individual RAUM · $79.0M to $66.0M
        Mar 21, 2019 to Mar 27, 2020
      • Non-discretionary RAUM · $20.0M to $26.0M
        Mar 21, 2019 to Mar 27, 2020
      • Pension RAUM · $2.6M to $2.0M
        Mar 21, 2019 to Mar 27, 2020
      • RAUM · $232M to $262M
        Mar 21, 2019 to Mar 27, 2020
      • Accounts · 86 to 94
        Mar 27, 2018 to Mar 21, 2019
      • HNW clients · 9 to 7
        Mar 27, 2018 to Mar 21, 2019
      • Individual clients · 72 to 83
        Mar 27, 2018 to Mar 21, 2019
      • Pension plan clients · 2 to 1
        Mar 27, 2018 to Mar 21, 2019
      • Other offices · 1 to 0
        Mar 27, 2018 to Mar 21, 2019
      • Discretionary RAUM · $198M to $212M
        Mar 27, 2018 to Mar 21, 2019
      • HNW RAUM · $80.0M to $100M
        Mar 27, 2018 to Mar 21, 2019
      Signals
      3 dated events
      • J•••••• B• H•••••• left G•••• I••••••••• for G•• I••••••••• (registered 2022-01-07)
        Apr 19, 2022 · Advisor changed firm · fact
      • D••••• R•••••• G••••• J•• left G•••• I••••••••• for G•• I••••••••• (registered 2022-01-19)
        Apr 19, 2022 · Advisor changed firm · fact
      • 2 advisors left G•••• I••••••••• (Lancaster, PA) for G•• I••••••••• on the same day
        Apr 19, 2022 · Team lift-out · derived
      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