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••••• F•••••••• M•••••••••
Legal name G••••• F•••••••• M••••••••• I•••
Latest filing Feb 11, 2026
First filing on the tape Mar 16, 2012 · 25 filings
SEC status approved since Jan 9, 2014
RAUM
$153M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
87%
$133M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$153M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$153M as of Feb 11, 2026
Mar 16, 2012$70.0M then
HNW client RAUM$107M as of Feb 11, 2026
Jan 30, 2018$88.3M then
State-registered IARs (5.B.3)1 as of Feb 11, 2026
Mar 16, 20120 then
Employees (5.A)2 as of Feb 11, 2026
Mar 27, 20142 then
Private funds: no history
RAUM +2.9% over the last fiscal year+9.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 11, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $153MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 111derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $510,497derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 8.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$107M70%
- Individuals$26.2M17%
- Pension and profit-sharing plans$13.4M8.8%
- Corporations and businesses$5.8M3.8%
- Individual clients
- 67reported
- HNW clients
- 44reported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 299reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• J•••• G•••••Certified Financial Planner, Chartered Financial Analyst | Franklin, Tn | Aug 20, 2012 | 14 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• B••••• J•••• · President And Chief Compliance Officercontrolsince 01/2019 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Franklin, TN1 employees
What changed
consecutive filings, newest first
- Accounts · 311 to 299Jun 12, 2025 to Feb 11, 2026
- Corporate clients · 1 to 2Jun 12, 2025 to Feb 11, 2026
- HNW clients · 42 to 44Jun 12, 2025 to Feb 11, 2026
- Individual clients · 71 to 67Jun 12, 2025 to Feb 11, 2026
- Discretionary RAUM · $144M to $148MJun 12, 2025 to Feb 11, 2026
- HNW RAUM · $105M to $107MJun 12, 2025 to Feb 11, 2026
- Individual RAUM · $27.2M to $26.2MJun 12, 2025 to Feb 11, 2026
- Non-discretionary RAUM · $3.9M to $4.4MJun 12, 2025 to Feb 11, 2026
- Pension RAUM · $15.2M to $13.4MJun 12, 2025 to Feb 11, 2026
- RAUM · $148M to $153MJun 12, 2025 to Feb 11, 2026
- Financial planning clients · 26-50 to 26-50Feb 25, 2025 to Jun 12, 2025
- Accounts · 327 to 311Jan 25, 2024 to Feb 25, 2025
- Individual clients · 77 to 71Jan 25, 2024 to Feb 25, 2025
- Discretionary RAUM · $133M to $144MJan 25, 2024 to Feb 25, 2025
- HNW RAUM · $94.4M to $105MJan 25, 2024 to Feb 25, 2025
- Individual RAUM · $26.5M to $27.2MJan 25, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $3.8M to $3.9MJan 25, 2024 to Feb 25, 2025
- Pension RAUM · $14.2M to $15.2MJan 25, 2024 to Feb 25, 2025
- RAUM · $136M to $148MJan 25, 2024 to Feb 25, 2025
- Accounts · 339 to 327Feb 24, 2023 to Jan 25, 2024
- HNW clients · 41 to 42Feb 24, 2023 to Jan 25, 2024
- Individual clients · 85 to 77Feb 24, 2023 to Jan 25, 2024
- Pension plan clients · 1 to 4Feb 24, 2023 to Jan 25, 2024
- Discretionary RAUM · $114M to $133MFeb 24, 2023 to Jan 25, 2024
- HNW RAUM · $85.5M to $94.4MFeb 24, 2023 to Jan 25, 2024
- Individual RAUM · $28.9M to $26.5MFeb 24, 2023 to Jan 25, 2024
- Non-discretionary RAUM · $4.2M to $3.8MFeb 24, 2023 to Jan 25, 2024
- Pension RAUM · $1.4M to $14.2MFeb 24, 2023 to Jan 25, 2024
- RAUM · $118M to $136MFeb 24, 2023 to Jan 25, 2024
- Accounts · 354 to 339Mar 17, 2022 to Feb 24, 2023
- Corporate clients · 2 to 1Mar 17, 2022 to Feb 24, 2023
- Individual clients · 88 to 85Mar 17, 2022 to Feb 24, 2023
- Other offices · 0 to 1Mar 17, 2022 to Feb 24, 2023
- Discretionary RAUM · $122M to $114MMar 17, 2022 to Feb 24, 2023
- HNW RAUM · $86.2M to $85.5MMar 17, 2022 to Feb 24, 2023
- Individual RAUM · $34.9M to $28.9MMar 17, 2022 to Feb 24, 2023
- Non-discretionary RAUM · $2.2M to $4.2MMar 17, 2022 to Feb 24, 2023
- Pension RAUM · $1.4M to $1.4MMar 17, 2022 to Feb 24, 2023
- RAUM · $125M to $118MMar 17, 2022 to Feb 24, 2023
- Accounts · 371 to 354Mar 26, 2021 to Mar 17, 2022
Signals
2 dated events
- James Robert Garner (President, Chief Compliance Officer) no longer on Schedule A of G••••• F•••••••• M••••••••• (listed 2018-01-30, absent 2019-01-21)Jan 21, 2019 · Control person left · inference
- G••••• F•••••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Dec 20, 2013 · 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.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/G•••••-FINANCIAL-MANAGEMENT-INC.reportedpublic record, Form ADV, Sep 19, 2026
- Website
- G•••••FM.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 925.282.5500reportedpublic record, Form ADV, Feb 11, 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
- $153Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026