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.

Former SEC-registered adviser

Global Financial Private Capital, Inc.

Former SEC-registered adviserSarasota, FloridaCRD 132070SEC 801-63282IAPD
Latest filing Jun 30, 2020
First filing on the tape Nov 18, 2011 · 38 filings
RAUM
$2.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$2.3B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
25
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$2.3B as of Mar 16, 2020
Feb 6, 2012$1.2B then
HNW client RAUM$506M as of Mar 16, 2020
Mar 29, 2018$1.5B then
State-registered IARs (5.B.3)25 as of Mar 16, 2020
Mar 22, 20130 then
Employees (5.A)25 as of Mar 16, 2020
Mar 22, 2013160 then
Private funds: no history
RAUM -36% over the last fiscal year-26% a year over threeIARs 140 to 25offices 122 to 0
Practice profile
derived from the filing of Jun 30, 2020; every figure names its basis
RAUM per advisor
$91.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
354derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$116,110derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
25.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-36%derivedbetween the last two annual amendments
Advisor growth, one year
-82%derivedItem 5.B.3 between annual amendments
Client growth, one year
-47%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$1.7B76%
  • High-net-worth individuals$506M22%
  • Corporations and businesses$36.3M1.6%
  • Charitable organizations$771,2240.0%
  • Pension and profit-sharing plans$401,7190.0%
Individual clients
8,536reported
HNW clients
316reported
Pension plan clients
1reported
Charitable clients
2reported
Accounts
19,705reported
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
Left, latest
Joined, latest
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
  • James Lewis Dellarco · Chief Compliance Officer, Senior Vice Presidentcontrol
    since 12/2016 · owns less than 5%
  • George Charles Goldman · Chief Executive Officer And Managercontrol
    since 04/2019 · owns less than 5%
  • George Gary Zyla · Executive Vp, Treasurer And Managercontrol
    since 04/2019 · owns less than 5%
Entity owners
  • Assetmark Financial, Inc. · Sole Shareholder
    direct · owns 75% or more
  • Assetmark Financial Holdings, Inc. · Sole Shareholder-Indirect Owner
    indirect · owns 75% or more of Assetmark Financial, Inc.
  • Huatai International Investment Holdings Limited · Shareholder - Indirect Owner
    indirect · owns 50% to 75% of Assetmark Financial Holdings, Inc.
Related persons
Schedule D 7.A
Advisers that list Global Financial Private Capital, Inc. as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 36,881 to 19,705
    Aug 22, 2019 to Mar 16, 2020
  • Advisory activities · 4 to 3
    Aug 22, 2019 to Mar 16, 2020
  • Business name · GLOBAL FINANCIAL PRIVATE CAPITAL, LLC to GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
    Aug 22, 2019 to Mar 16, 2020
  • Charity clients · 12 to 2
    Aug 22, 2019 to Mar 16, 2020
  • Corporate clients · 127 to 68
    Aug 22, 2019 to Mar 16, 2020
  • HNW clients · 2,545 to 316
    Aug 22, 2019 to Mar 16, 2020
  • Individual clients · 14,302 to 8,536
    Aug 22, 2019 to Mar 16, 2020
  • Pension plan clients · 4 to 1
    Aug 22, 2019 to Mar 16, 2020
  • Financial planning clients · More than 500 to 0
    Aug 22, 2019 to Mar 16, 2020
  • Other offices · 122 to 0
    Aug 22, 2019 to Mar 16, 2020
  • Discretionary RAUM · $3.6B to $2.3B
    Aug 22, 2019 to Mar 16, 2020
  • HNW RAUM · $748M to $506M
    Aug 22, 2019 to Mar 16, 2020
  • Individual RAUM · $2.8B to $1.7B
    Aug 22, 2019 to Mar 16, 2020
  • Pension RAUM · $439,272 to $401,719
    Aug 22, 2019 to Mar 16, 2020
  • RAUM · $3.6B to $2.3B
    Aug 22, 2019 to Mar 16, 2020
  • Legal name · GLOBAL FINANCIAL PRIVATE CAPITAL, LLC to GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
    Aug 16, 2019 to Aug 22, 2019
  • Succession · true to false
    Aug 15, 2019 to Aug 16, 2019
  • Organization form · Limited Liability Company to Corporation
    May 31, 2019 to Aug 15, 2019
  • Succession · false to true
    May 31, 2019 to Aug 15, 2019
  • Advisory employees · 140 to 3
    Mar 29, 2019 to Apr 26, 2019
  • Advisory activities · 7 to 4
    Mar 29, 2019 to Apr 26, 2019
  • BD registered reps · 67 to 0
    Mar 29, 2019 to Apr 26, 2019
  • Employees · 189 to 25
    Mar 29, 2019 to Apr 26, 2019
  • Insurance-licensed employees · 12 to 0
    Mar 29, 2019 to Apr 26, 2019
  • State-registered IARs · 140 to 25
    Mar 29, 2019 to Apr 26, 2019
  • Related bank · false to true
    Mar 29, 2019 to Apr 26, 2019
  • Related insurance company · true to false
    Mar 29, 2019 to Apr 26, 2019
  • Wrap assets (manager) · 0.0 to unset
    Mar 29, 2019 to Apr 26, 2019
  • Wrap assets (sponsor) · 0.0 to unset
    Mar 29, 2019 to Apr 26, 2019
  • Accounts · 58,065 to 36,881
    Mar 29, 2018 to Mar 29, 2019
  • Advisory employees · 199 to 140
    Mar 29, 2018 to Mar 29, 2019
  • BD registered reps · 101 to 67
    Mar 29, 2018 to Mar 29, 2019
  • Charity clients · 10 to 12
    Mar 29, 2018 to Mar 29, 2019
  • Corporate clients · 195 to 127
    Mar 29, 2018 to Mar 29, 2019
  • HNW clients · 830 to 2,545
    Mar 29, 2018 to Mar 29, 2019
  • Individual clients · 23,716 to 14,302
    Mar 29, 2018 to Mar 29, 2019
  • Pension plan clients · 7 to 4
    Mar 29, 2018 to Mar 29, 2019
  • Employees · 300 to 189
    Mar 29, 2018 to Mar 29, 2019
  • State-registered IARs · 199 to 140
    Mar 29, 2018 to Mar 29, 2019
  • Discretionary RAUM · $5.8B to $3.6B
    Mar 29, 2018 to Mar 29, 2019
Signals
14 dated events
  • Global Financial Private Capital, Inc. reported 0 offices beyond its principal office, down from 122 (2019-08-22 to 2020-03-16)
    Mar 16, 2020 · Office count change · derived
  • Global Financial Private Capital, Inc. reported RAUM $2.3B, down 36% from $3.6B (2019-08-22 to 2020-03-16)
    Mar 16, 2020 · RAUM change · derived
  • Global Financial Private Capital, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Aug 15, 2019 · Succession (Item 4) · fact
  • Global Financial Private Capital, Inc. reported 25 state-registered advisory representatives, down from 140 (2019-03-29 to 2019-04-26)
    Apr 26, 2019 · Advisor headcount change · derived
  • Allen Geoffrey Frazier (Trustee) no longer on Schedule A of Global Financial Private Capital, Inc. (listed 2019-04-26, absent 2019-04-26)
    Apr 26, 2019 · Control person left · inference
  • George Charles Goldman (Chief Executive Officer And Manager) appeared on Schedule A of Global Financial Private Capital, Inc.
    Apr 26, 2019 · Control person joined · fact
  • George Gary Zyla (Executive Vp, Treasurer And Manager) appeared on Schedule A of Global Financial Private Capital, Inc.
    Apr 26, 2019 · Control person joined · fact
  • A Michael Bell (Chief Executive Officer) no longer on Schedule A of Global Financial Private Capital, Inc. (listed 2019-03-29, absent 2019-04-26)
    Apr 26, 2019 · Control person left · inference
  • James Denis Nayden (Member) no longer on Schedule A of Global Financial Private Capital, Inc. (listed 2019-03-29, absent 2019-04-26)
    Apr 26, 2019 · Control person left · inference
  • John Michael Dixon (Co-Trustee) no longer on Schedule A of Global Financial Private Capital, Inc. (listed 2019-03-29, absent 2019-04-26)
    Apr 26, 2019 · Control person left · inference
  • Louise Claire Dixon (Co-Trustee) no longer on Schedule A of Global Financial Private Capital, Inc. (listed 2019-03-29, absent 2019-04-26)
    Apr 26, 2019 · Control person left · inference
  • Global Financial Private Capital, Inc. reported 140 state-registered advisory representatives, down from 199 (2018-03-29 to 2019-03-29)
    Mar 29, 2019 · Advisor headcount change · derived
  • Global Financial Private Capital, Inc. reported RAUM $3.6B, down 39% from $5.8B (2018-03-29 to 2019-03-29)
    Mar 29, 2019 · RAUM change · derived
  • Global Financial Private Capital, Inc. reported 199 state-registered advisory representatives, down from 272 (2017-05-30 to 2018-03-29)
    Mar 29, 2018 · Advisor headcount change · 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