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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SEC-registered adviser
G•••• K•••••• • L•••• L•••
Latest filing Mar 18, 2026
First filing on the tape Mar 27, 2012 · 32 filings
SEC status approved since Mar 18, 2003
RAUM
$289M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
96%
$278M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$96.5M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$289M as of Mar 18, 2026
Mar 27, 2012$133M then
HNW client RAUM$256M as of Mar 18, 2026
Mar 28, 2018$178M then
State-registered IARs (5.B.3)3 as of Mar 18, 2026
Mar 25, 20134 then
Employees (5.A)3 as of Mar 18, 2026
Mar 25, 20134 then
Private funds: no history
RAUM +12% over the last fiscal year+12% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $96.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.0%derived
- Compensation
- percentage of assets, hourly, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, 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
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)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$256M88%
- Individuals$21.9M7.6%
- Pension and profit-sharing plans$9.4M3.2%
- Corporations and businesses$1.8M0.6%
- Charitable organizations$290,4600.1%
- Individual clients
- 73reported
- HNW clients
- 118reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 195reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourly, performancereported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••••• D•••• L•••• | Sarasota, Fl | Oct 24, 2003 | 23 y | 0 |
| C••••••••• J••• G•••• | Mequon, Wi | Oct 24, 2003 | 33 y | 1 |
| T••••• A••••• K•••••• | Palm City, Fl | Nov 17, 2025 | 26 y | 0 |
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
- C••••••••• J••• G•••• from N•••••• • A••••••••• I•••Oct 24, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• C••••••••• J••• · President, Chief Compliance Officer, Secretary, Treasurercontrolsince 02/2003 · owns 25% to 50%
- K••••••• T•••••• A••••• · Vice Presidentcontrolsince 02/2003 · owns 25% to 50%
- L••••• T•••••••• D•••• · Vice Presidentcontrolsince 02/2003 · owns 25% to 50%
- P••••• F••••••• R• · Ownersince 01/2005 · owns less than 5%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 204 to 195Feb 18, 2026 to Mar 18, 2026
- Advisory employees · 4 to 3Feb 18, 2026 to Mar 18, 2026
- HNW clients · 109 to 118Feb 18, 2026 to Mar 18, 2026
- Individual clients · 92 to 73Feb 18, 2026 to Mar 18, 2026
- Employees · 4 to 3Feb 18, 2026 to Mar 18, 2026
- State-registered IARs · 4 to 3Feb 18, 2026 to Mar 18, 2026
- Discretionary RAUM · $251M to $280MFeb 18, 2026 to Mar 18, 2026
- HNW RAUM · $220M to $256MFeb 18, 2026 to Mar 18, 2026
- Individual RAUM · $29.1M to $21.9MFeb 18, 2026 to Mar 18, 2026
- Non-discretionary RAUM · $7.2M to $9.0MFeb 18, 2026 to Mar 18, 2026
- Pension RAUM · $8.0M to $9.4MFeb 18, 2026 to Mar 18, 2026
- RAUM · $258M to $289MFeb 18, 2026 to Mar 18, 2026
- Accounts · 209 to 204Mar 19, 2024 to Mar 26, 2025
- HNW clients · 113 to 109Mar 19, 2024 to Mar 26, 2025
- Individual clients · 93 to 92Mar 19, 2024 to Mar 26, 2025
- Financial planning clients · 101-250 to 101-250Mar 19, 2024 to Mar 26, 2025
- HQ city · unset to Mar 19, 2024 to Mar 26, 2025
- HQ state · unset to Mar 19, 2024 to Mar 26, 2025
- Discretionary RAUM · $231M to $251MMar 19, 2024 to Mar 26, 2025
- HNW RAUM · $205M to $220MMar 19, 2024 to Mar 26, 2025
- Individual RAUM · $23.9M to $29.1MMar 19, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $6.1M to $7.2MMar 19, 2024 to Mar 26, 2025
- Pension RAUM · $6.9M to $8.0MMar 19, 2024 to Mar 26, 2025
- RAUM · $237M to $258MMar 19, 2024 to Mar 26, 2025
- Accounts · 197 to 209Jan 22, 2024 to Mar 19, 2024
- HNW clients · 102 to 113Jan 22, 2024 to Mar 19, 2024
- Individual clients · 92 to 93Jan 22, 2024 to Mar 19, 2024
- Discretionary RAUM · $201M to $231MJan 22, 2024 to Mar 19, 2024
- HNW RAUM · $172M to $205MJan 22, 2024 to Mar 19, 2024
- Individual RAUM · $24.5M to $23.9MJan 22, 2024 to Mar 19, 2024
- Non-discretionary RAUM · $3.5M to $6.1MJan 22, 2024 to Mar 19, 2024
- Pension RAUM · $7.2M to $6.9MJan 22, 2024 to Mar 19, 2024
- RAUM · $204M to $237MJan 22, 2024 to Mar 19, 2024
- Accounts · 215 to 197Mar 28, 2022 to Mar 24, 2023
- HNW clients · 99 to 102Mar 28, 2022 to Mar 24, 2023
- Individual clients · 112 to 92Mar 28, 2022 to Mar 24, 2023
- Discretionary RAUM · $238M to $201MMar 28, 2022 to Mar 24, 2023
- HNW RAUM · $200M to $172MMar 28, 2022 to Mar 24, 2023
- Individual RAUM · $34.1M to $24.5MMar 28, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $5.3M to $3.5MMar 28, 2022 to Mar 24, 2023
Signals
1 dated events
- Kent Deborah Hogate (Chief Compliance Officer/ Secretary And Treasurer) no longer on Schedule A of G•••• K•••••• • L•••• L••• (listed 2023-03-24, absent 2024-01-03)Jan 3, 2024 · Control person left · inference
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
- Business phone
- 414-403-2734reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 425-289-6298reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 772-781-8903reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 414-403-2734reportedpublic record, Form ADV, Mar 18, 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
- $96.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026