DFX Intelligence

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G••••••••• F•••••••• G••••••••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $143M of regulatory assets across 2 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-02 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $143M
Advisors: 2
Net advisor flow, 12 months: 0
RAUM change, 1 year: +8.8%
Private clients: 99%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-03-02 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 2 Mar 2026, RAUM $131M to $143M (+8.8%) on the Form ADV filed 2 Mar 2026, while advisors on the filing held at 2.

Every filed figure, and the identifiersCRD 127052 · SEC 801-124711 · 9 filingsShow

CRD 127052SEC 801-124711First filing on the tape Mar 23, 2022, latest Mar 2, 2026SEC status approved since Apr 22, 2022IAPD

RAUM

$143M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

99%

$141M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$71.5M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

9 filings and snapshots on the tape

RAUM +8.4% a year over three years · the tape starts Mar 23, 2022

Peer group: Independent wealth managers, $100M to $500M, 5,683 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$143M as of Mar 2, 2026

Feb 3, 2023$112M then

HNW client RAUM$126M as of Mar 2, 2026

Feb 3, 2023$98.0M then

State-registered IARs (5.B.3)2 as of Mar 2, 2026

Feb 3, 20232 then

Employees (5.A)2 as of Mar 2, 2026

Feb 3, 20232 then

Private funds: no history

RAUM +8.8% over the last fiscal year+8.4% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Mar 2, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
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: $71.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 37derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.9MderivedHNW RAUM over HNW clients
Average account: $624,278derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +8.8%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +7.4%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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

88% high-net-worth individuals, 11% individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

High-net-worth individuals$126M88%
Individuals$15.5M11%
Charitable organizations$1.8M1.3%

Individual clients: 30reported
HNW clients: 43reported
Pension plan clients: n/areported
Charitable clients: 2reported
Accounts: 229reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: RAUM: 99% private clients, 0% pooled funds, 1% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
R••••• C• G•••••••••Certified Financial Planner	Naples, Fl	Jun 13, 2003	24 y	0
L•••• J• G•••••••••Certified Financial Planner	Naples, Fl	Aug 25, 2009	18 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

G••••••••• L••••• J• · Treasurercontrol
since 08/2009 · owns less than 5%
G••••••••• R•••••• C• · President/Managing Member/Ccocontrol
since 04/2003 · owns 75% or more

Ownership changes

Schedule A, between consecutive filings

No owner or control person joined or left between filings on the tape.

Who runs the funds

related persons named most often on the Form D filings of the firm's funds

No Form D related person is on record for this firm's funds.

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Naples, Fl	2	0	0

Offices

Schedule D 1.F, the 25 largest

Oak Brook, IL2 employees

What changed

consecutive filings, newest first

Accounts · 219 to 229
Mar 6, 2025 to Mar 2, 2026
Individual clients · 25 to 30
Mar 6, 2025 to Mar 2, 2026
Discretionary RAUM · $131M to $143M
Mar 6, 2025 to Mar 2, 2026
HNW RAUM · $115M to $126M
Mar 6, 2025 to Mar 2, 2026
Individual RAUM · $11.7M to $15.5M
Mar 6, 2025 to Mar 2, 2026

Full history · 35 changes

RAUM · $131M to $143M
Mar 6, 2025 to Mar 2, 2026
HQ city · unset to
Aug 30, 2024 to Mar 6, 2025
Accounts · 213 to 219
Aug 30, 2024 to Mar 6, 2025
HNW clients · 42 to 43
Aug 30, 2024 to Mar 6, 2025
Individual clients · 22 to 25
Aug 30, 2024 to Mar 6, 2025
Financial planning clients · 51-100 to 51-100
Aug 30, 2024 to Mar 6, 2025
HQ state · unset to
Aug 30, 2024 to Mar 6, 2025
Discretionary RAUM · $118M to $131M
Aug 30, 2024 to Mar 6, 2025
HNW RAUM · $103M to $115M
Aug 30, 2024 to Mar 6, 2025
Individual RAUM · $9.8M to $11.7M
Aug 30, 2024 to Mar 6, 2025
RAUM · $118M to $131M
Aug 30, 2024 to Mar 6, 2025
Custody of client assets · true to false
Jul 15, 2024 to Aug 30, 2024
Accounts · 216 to 213
Jun 18, 2023 to Jan 26, 2024
Charity clients · unset to 2.0
Jun 18, 2023 to Jan 26, 2024
HNW clients · 44 to 42
Jun 18, 2023 to Jan 26, 2024
Individual clients · 23 to 22
Jun 18, 2023 to Jan 26, 2024
Discretionary RAUM · $112M to $118M
Jun 18, 2023 to Jan 26, 2024
HNW RAUM · $98.0M to $103M
Jun 18, 2023 to Jan 26, 2024
Individual RAUM · $9.7M to $9.8M
Jun 18, 2023 to Jan 26, 2024
RAUM · $112M to $118M
Jun 18, 2023 to Jan 26, 2024
Other offices · 2 to 1
Feb 13, 2023 to Jun 18, 2023
Custody of client assets · false to true
Feb 3, 2023 to Feb 13, 2023
Accounts · 214 to 216
Mar 23, 2022 to Feb 3, 2023
HNW clients · 43 to 44
Mar 23, 2022 to Feb 3, 2023
Individual clients · 22 to 23
Mar 23, 2022 to Feb 3, 2023
Custody of client assets · true to false
Mar 23, 2022 to Feb 3, 2023
Discretionary RAUM · $114M to $112M
Mar 23, 2022 to Feb 3, 2023
HNW RAUM · $99.6M to $98.0M
Mar 23, 2022 to Feb 3, 2023
Individual RAUM · $10.0M to $9.7M
Mar 23, 2022 to Feb 3, 2023
RAUM · $114M to $112M
Mar 23, 2022 to Feb 3, 2023

Signals

1 dated events

••• Locked
Mar 23, 2022 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

Web presence

addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

Website (1), LinkedIn profile (1), X (Twitter) (1) · the addresses open with an account

How to reach

public business contact points only, each with its source

Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 2, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 2, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Team page: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $71.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026