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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Former SEC-registered adviser
G•• W••••• M•••••••••
Legal name G•••••• F•••••••• P•••••••• I••
Latest filing Feb 10, 2026
First filing on the tape Feb 21, 2023 · 5 filings
SEC status approved since Apr 13, 2023
RAUM
$197M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$195M 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
5 filings and snapshots on the tape
RAUM$197M as of Feb 10, 2026
Feb 27, 2024$147M then
HNW client RAUM$191M as of Feb 10, 2026
Feb 27, 2024$142M then
State-registered IARs (5.B.3)1 as of Feb 10, 2026
Feb 27, 20241 then
Employees (5.A)1 as of Feb 10, 2026
Feb 27, 20241 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 10, 2026; every figure names its basis
- RAUM per advisor
- $197MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $993,350derivedRAUM 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
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.1%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$191M97%
- Individuals$4.3M2.2%
- Corporations and businesses$1.4M0.7%
- Individual clients
- 7reported
- HNW clients
- 41reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 198reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- S•••••• R• G•••••• to M•••••• W••••• M••••••••• L•Jun 18, 2026 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• S••••••• R• · President & Chief Compliance Officercontrolsince 11/2004 · owns less than 5%
- G••••••• S••••••• R• · Trusteecontrolsince 12/2003 · owns 50% to 75% of G••••••••• F••••• T•••• D•• 1•••••••••
- K••••••• P•••••••• M•••• · Trusteecontrolsince 12/2003 · owns 50% to 75% of G••••••••• F••••• T•••• D•• 1•••••••••
Entity owners
- G••••••••• F••••• T•••• D•• 1••••••••• · Memberdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Thousand Oaks, Ca · principal | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 190 to 198Feb 7, 2025 to Feb 10, 2026
- Individual clients · 6 to 7Feb 7, 2025 to Feb 10, 2026
- Financial planning clients · 26-50 to 51-100Feb 7, 2025 to Feb 10, 2026
- Discretionary RAUM · $168M to $197MFeb 7, 2025 to Feb 10, 2026
- HNW RAUM · $164M to $191MFeb 7, 2025 to Feb 10, 2026
- Individual RAUM · $2.8M to $4.3MFeb 7, 2025 to Feb 10, 2026
- RAUM · $168M to $197MFeb 7, 2025 to Feb 10, 2026
- Accounts · 172 to 190Aug 13, 2024 to Feb 7, 2025
- HNW clients · 37 to 41Aug 13, 2024 to Feb 7, 2025
- Individual clients · 9 to 6Aug 13, 2024 to Feb 7, 2025
- Financial planning clients · 26-50 to 26-50Aug 13, 2024 to Feb 7, 2025
- Discretionary RAUM · $147M to $168MAug 13, 2024 to Feb 7, 2025
- HNW RAUM · $142M to $164MAug 13, 2024 to Feb 7, 2025
- Individual RAUM · $4.0M to $2.8MAug 13, 2024 to Feb 7, 2025
- RAUM · $147M to $168MAug 13, 2024 to Feb 7, 2025
- Accounts · 163 to 172Feb 21, 2023 to Feb 27, 2024
- HNW clients · 39 to 37Feb 21, 2023 to Feb 27, 2024
- Individual clients · 7 to 9Feb 21, 2023 to Feb 27, 2024
- Discretionary RAUM · $127M to $147MFeb 21, 2023 to Feb 27, 2024
- HNW RAUM · $125M to $142MFeb 21, 2023 to Feb 27, 2024
- Individual RAUM · $2.3M to $4.0MFeb 21, 2023 to Feb 27, 2024
- RAUM · $127M to $147MFeb 21, 2023 to Feb 27, 2024
Signals
3 dated events
- G•• W••••• M••••••••• no longer on the SEC adviser roster (last listed 2026-06-01, RAUM $196.7M)Jul 1, 2026 · Left the SEC roster · derived
- S•••••• R• G•••••• left G•• W••••• M••••••••• for M•••••• W••••• M••••••••• L• (registered 2026-05-12)Jun 18, 2026 · Advisor changed firm · fact
- G•• W••••• M••••••••• filed its initial SEC registration (Form ADV)Feb 21, 2023 · 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.
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