DFX Intelligence
RIA Intelligence
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SEC-registered adviser
G••• W••••• M••••••••• L••
Latest filing Sep 10, 2026
First filing on the tape May 17, 2020 · 12 filings
SEC status approved since Jun 19, 2020
RAUM
$24.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$24.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$24.0M as of Aug 12, 2025
Sep 27, 2021$16.0M then
HNW client RAUM$0 as of Aug 12, 2025
Sep 27, 2021$0 then
State-registered IARs (5.B.3)1 as of Aug 12, 2025
Sep 27, 20211 then
Employees (5.A)1 as of Aug 12, 2025
Sep 27, 20211 then
Private funds: no history
RAUM +4.3% over the last fiscal year+14% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Sep 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $24.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 100derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $240,000derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +104%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 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
- 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
- Individuals$24.0M100%
- Individual clients
- 100reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 100reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- G•••••• B•••••• C•••••••• to C•••••• P••••••• L••Jan 26, 2012 · Other
Joined, latest
- G•••••• B•••••• C•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 21, 2010 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••• L••••• T•••••• · Ceo/Ccocontrolsince 05/2004 · owns 75% or more
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
- Financial planning clients · 0 to 0Aug 12, 2025 to Sep 10, 2026
- HQ city · to unsetAug 12, 2025 to Sep 10, 2026
- HQ state · to unsetAug 12, 2025 to Sep 10, 2026
- Discretionary RAUM · $13.0M to $24.0MAug 12, 2025 to Sep 10, 2026
- Non-discretionary RAUM · $11.0M to $0Aug 12, 2025 to Sep 10, 2026
- Related adviser · false to unsetAug 12, 2025 to Sep 10, 2026
- Related bank · false to unsetAug 12, 2025 to Sep 10, 2026
- Related broker-dealer · false to unsetAug 12, 2025 to Sep 10, 2026
- Related insurance company · false to unsetAug 12, 2025 to Sep 10, 2026
- Succession · false to unsetAug 12, 2025 to Sep 10, 2026
- Financial planning clients · 0 to 0Nov 1, 2024 to Aug 12, 2025
- HQ city · unset to Nov 1, 2024 to Aug 12, 2025
- HQ state · unset to Nov 1, 2024 to Aug 12, 2025
- Discretionary RAUM · $12.0M to $13.0MNov 1, 2024 to Aug 12, 2025
- Individual RAUM · $23.0M to $24.0MNov 1, 2024 to Aug 12, 2025
- RAUM · $23.0M to $24.0MNov 1, 2024 to Aug 12, 2025
- Discretionary RAUM · $23.0M to $12.0MApr 29, 2024 to Nov 1, 2024
- Non-discretionary RAUM · $0 to $11.0MApr 29, 2024 to Nov 1, 2024
- Accounts · 49 to 100Dec 18, 2023 to Apr 29, 2024
- Individual clients · 49 to 100Dec 18, 2023 to Apr 29, 2024
- Individual clients · 37 to 49Jan 13, 2023 to Dec 18, 2023
- Discretionary RAUM · $21.0M to $23.0MJan 13, 2023 to Dec 18, 2023
- Individual RAUM · $21.0M to $23.0MJan 13, 2023 to Dec 18, 2023
- RAUM · $21.0M to $23.0MJan 13, 2023 to Dec 18, 2023
- Discretionary RAUM · $9.0M to $21.0MSep 27, 2021 to Jul 1, 2022
- Individual RAUM · $16.0M to $21.0MSep 27, 2021 to Jul 1, 2022
- Non-discretionary RAUM · $7.0M to $0Sep 27, 2021 to Jul 1, 2022
- RAUM · $16.0M to $21.0MSep 27, 2021 to Jul 1, 2022
- Accounts · 34 to 49Jun 30, 2020 to Sep 27, 2021
- Individual clients · 27 to 37Jun 30, 2020 to Sep 27, 2021
- Discretionary RAUM · $7.0M to $9.0MJun 30, 2020 to Sep 27, 2021
- Individual RAUM · $10.0M to $16.0MJun 30, 2020 to Sep 27, 2021
- Non-discretionary RAUM · $3.0M to $7.0MJun 30, 2020 to Sep 27, 2021
- RAUM · $10.0M to $16.0MJun 30, 2020 to Sep 27, 2021
- Business name · G••• W••••• M••••••••• to G••• W••••• M••••••••• L••Jun 8, 2020 to Jun 30, 2020
- Legal name · G•••, L•••• to G••• W••••• M••••••••• L••Jun 8, 2020 to Jun 30, 2020
Signals
1 dated events
- G••• W••••• M••••••••• filed its initial SEC registration (Form ADV)May 17, 2020 · 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
- Principal office phone
- 888-812-4099reportedpublic record, Form ADV, Sep 10, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026