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•••• C•••••• M••••••••• I•••
Latest filing Mar 3, 2022
First filing on the tape Feb 28, 2018 · 9 filings
RAUM
$192M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
90%
$172M 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
9 filings and snapshots on the tape
RAUM$192M as of Mar 3, 2022
Feb 12, 2019$123M then
HNW client RAUM$155M as of Mar 3, 2022
Feb 12, 2019$93.8M then
State-registered IARs (5.B.3)1 as of Mar 3, 2022
Feb 12, 20191 then
Employees (5.A)1 as of Mar 3, 2022
Feb 12, 20191 then
Private funds: no history
RAUM +13% over the last fiscal year+16% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 3, 2022; every figure names its basis
- RAUM per advisor
- $192MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 85derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $558,557derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 10%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
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.5%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$155M81%
- Pension and profit-sharing plans$17.9M9.4%
- Individuals$16.9M8.8%
- Charitable organizations$2.0M1.0%
- Individual clients
- 39reported
- HNW clients
- 46reported
- Pension plan clients
- 6reported
- Charitable clients
- 1reported
- Accounts
- 343reported
- Financial planning clients
- 51-100reported
- 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
- J•••••• A• G•••• to B••••••••• S•••••••• W•••••• L••Jul 28, 2022 · RIA to RIA
- J•••••• A• G•••• to G••••• • G•••• F•••••••• A•••••••• L••Aug 4, 2009 · Other
Joined, latest
- J•••••• A• G•••• from G••••• • G•••• F•••••••• A•••••••• L••May 12, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• J••••••• A•••• · President/Chief Compliance Officercontrolsince 01/2002 · 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
- Accounts · 292 to 343Mar 11, 2021 to Mar 3, 2022
- HNW clients · 54 to 46Mar 11, 2021 to Mar 3, 2022
- Individual clients · 35 to 39Mar 11, 2021 to Mar 3, 2022
- Pension plan clients · 5 to 6Mar 11, 2021 to Mar 3, 2022
- Discretionary RAUM · $154M to $174MMar 11, 2021 to Mar 3, 2022
- HNW RAUM · $138M to $155MMar 11, 2021 to Mar 3, 2022
- Individual RAUM · $14.3M to $16.9MMar 11, 2021 to Mar 3, 2022
- Non-discretionary RAUM · $15.1M to $17.9MMar 11, 2021 to Mar 3, 2022
- Pension RAUM · $15.1M to $17.9MMar 11, 2021 to Mar 3, 2022
- RAUM · $169M to $192MMar 11, 2021 to Mar 3, 2022
- Accounts · 276 to 292Jun 29, 2020 to Mar 11, 2021
- HNW clients · 33 to 54Jun 29, 2020 to Mar 11, 2021
- Individual clients · 41 to 35Jun 29, 2020 to Mar 11, 2021
- Pension plan clients · 4 to 5Jun 29, 2020 to Mar 11, 2021
- Discretionary RAUM · $133M to $154MJun 29, 2020 to Mar 11, 2021
- HNW RAUM · $106M to $138MJun 29, 2020 to Mar 11, 2021
- Individual RAUM · $25.6M to $14.3MJun 29, 2020 to Mar 11, 2021
- Non-discretionary RAUM · $10.6M to $15.1MJun 29, 2020 to Mar 11, 2021
- Pension RAUM · $10.6M to $15.1MJun 29, 2020 to Mar 11, 2021
- RAUM · $144M to $169MJun 29, 2020 to Mar 11, 2021
- Accounts · 263 to 276Mar 29, 2019 to Mar 16, 2020
- Charity clients · 0 to 1Mar 29, 2019 to Mar 16, 2020
- HNW clients · 29 to 33Mar 29, 2019 to Mar 16, 2020
- Individual clients · 45 to 41Mar 29, 2019 to Mar 16, 2020
- Discretionary RAUM · $115M to $133MMar 29, 2019 to Mar 16, 2020
- HNW RAUM · $93.8M to $106MMar 29, 2019 to Mar 16, 2020
- Individual RAUM · $21.4M to $25.6MMar 29, 2019 to Mar 16, 2020
- Non-discretionary RAUM · $7.5M to $10.6MMar 29, 2019 to Mar 16, 2020
- Pension RAUM · $7.5M to $10.6MMar 29, 2019 to Mar 16, 2020
- RAUM · $123M to $144MMar 29, 2019 to Mar 16, 2020
- Accounts · 244 to 263Nov 20, 2018 to Feb 12, 2019
- HNW clients · 30 to 29Nov 20, 2018 to Feb 12, 2019
- Individual clients · 44 to 45Nov 20, 2018 to Feb 12, 2019
- Discretionary RAUM · $102M to $115MNov 20, 2018 to Feb 12, 2019
- HNW RAUM · $84.4M to $93.8MNov 20, 2018 to Feb 12, 2019
- Individual RAUM · $17.4M to $21.4MNov 20, 2018 to Feb 12, 2019
- Non-discretionary RAUM · $7.8M to $7.5MNov 20, 2018 to Feb 12, 2019
- Pension RAUM · $7.8M to $7.5MNov 20, 2018 to Feb 12, 2019
- RAUM · $110M to $123MNov 20, 2018 to Feb 12, 2019
Signals
2 dated events
- J•••••• A• G•••• left G•••• C•••••• M••••••••• I••• for B••••••••• S•••••••• W•••••• L•• (registered 2022-07-28)Jul 28, 2022 · Advisor changed firm · fact
- G•••• C•••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Feb 28, 2018 · 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