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••••• A•••• M••••••••• L••
Latest filing Feb 6, 2026
First filing on the tape Mar 20, 2012 · 8 filings
SEC status approved since Feb 23, 2024
RAUM
$129M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
63%
$81.7M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$64.4M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$129M as of Feb 6, 2026
Mar 20, 2012$51.1M then
HNW client RAUM$76.3M as of Feb 6, 2026
Jan 30, 2025$64.7M then
State-registered IARs (5.B.3)2 as of Feb 6, 2026
Mar 20, 20120 then
Employees (5.A)3 as of Feb 6, 2026
Jan 30, 20253 then
Private funds3 as of Feb 6, 2026
Mar 20, 20125 then
RAUM +13% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 6, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $64.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 17derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $3.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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
- +0.0%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $46.4M, 4 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$76.3M59%
- Pooled investment vehicles$46.3M36%
- Individuals$5.4M4.2%
- Corporations and businesses$820,3640.6%
- Individual clients
- 5reported
- HNW clients
- 28reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 40reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $46.4M for 4 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.63 fund_share=0.36 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• L• G••••• | West Palm Beach, Fl | May 20, 2024 | 18 y | 1 |
| A••••• S• G••••• | West Palm Beach, Fl | May 20, 2024 | 28 y | 1 |
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
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G••••• A••••••••• L• | Hedge Fund | $29.2M | 25 | Jan 23, 2024 |
| G••••• A••••••••• L••no longer reported | Hedge Fund | $17.3M | 48 | Mar 20, 2012 |
| A•••• I••••••••• L••no longer reported | Hedge Fund | $16.9M | 75 | Mar 20, 2012 |
| A•••• A••••••••• Q•• L••no longer reported | Hedge Fund | $10.7M | 42 | Mar 20, 2012 |
| G••••• C••• A••••••••• I• L••no longer reported | Hedge Fund | $9.2M | 2 | Mar 20, 2012 |
| A•••• A••••••••• L••no longer reported | Hedge Fund | $6.4M | 78 | Mar 20, 2012 |
| G••••• D•••••••• F••• L•• | Venture Capital Fund | $4.8M | 23 | Jan 23, 2024 |
| G••••• A• V•••••• F••• L•• | Private Equity Fund | $4.1M | 17 | Jan 23, 2024 |
Owners and control persons
Schedule A and B, latest filing
- G•••••• A•••••• S• · Founder, Partnercontrolsince 01/1997 · owns 50% to 75%
- G•••••• D••••• L• · Partner, Chief Compliance Officercontrolsince 01/2008 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| West Palm Beach, Fl · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 41 to 40Jan 30, 2025 to Feb 6, 2026
- HNW clients · 25 to 28Jan 30, 2025 to Feb 6, 2026
- Individual clients · 8 to 5Jan 30, 2025 to Feb 6, 2026
- Pooled vehicle clients · 6 to 5Jan 30, 2025 to Feb 6, 2026
- Assets in custody · $38.2M to $46.4MJan 30, 2025 to Feb 6, 2026
- Financial planning clients · 11-25 to 1-10Jan 30, 2025 to Feb 6, 2026
- HQ city · AUSTIN to WEST PALM BEACHJan 30, 2025 to Feb 6, 2026
- HQ state · TX to FLJan 30, 2025 to Feb 6, 2026
- Discretionary RAUM · $108M to $121MJan 30, 2025 to Feb 6, 2026
- HNW RAUM · $64.7M to $76.3MJan 30, 2025 to Feb 6, 2026
- Individual RAUM · $6.0M to $5.4MJan 30, 2025 to Feb 6, 2026
- Non-discretionary RAUM · $6.6M to $7.7MJan 30, 2025 to Feb 6, 2026
- Pooled vehicle RAUM · $42.5M to $46.3MJan 30, 2025 to Feb 6, 2026
- RAUM · $114M to $129MJan 30, 2025 to Feb 6, 2026
- Accounts · 40 to 41May 28, 2024 to Jan 30, 2025
- HNW clients · 27 to 25May 28, 2024 to Jan 30, 2025
- Individual clients · 5 to 8May 28, 2024 to Jan 30, 2025
- Pooled vehicle clients · 5 to 6May 28, 2024 to Jan 30, 2025
- Financial planning clients · 11-25 to 11-25May 28, 2024 to Jan 30, 2025
- Discretionary RAUM · $102M to $108MMay 28, 2024 to Jan 30, 2025
- HNW RAUM · $64.2M to $64.7MMay 28, 2024 to Jan 30, 2025
- Individual RAUM · $1.9M to $6.0MMay 28, 2024 to Jan 30, 2025
- Non-discretionary RAUM · $6.3M to $6.6MMay 28, 2024 to Jan 30, 2025
- Pooled vehicle RAUM · $38.0M to $42.5MMay 28, 2024 to Jan 30, 2025
- RAUM · $108M to $114MMay 28, 2024 to Jan 30, 2025
- Accounts · 22 to 40Jul 25, 2012 to Jan 23, 2024
- Advisory employees · unset to 2.0Jul 25, 2012 to Jan 23, 2024
- Advisory activities · 3 to 4Jul 25, 2012 to Jan 23, 2024
- HNW clients · unset to 27.0Jul 25, 2012 to Jan 23, 2024
- Individual clients · unset to 5.0Jul 25, 2012 to Jan 23, 2024
- Pooled vehicle clients · unset to 5.0Jul 25, 2012 to Jan 23, 2024
- Assets in custody · $36.5M to $38.2MJul 25, 2012 to Jan 23, 2024
- Employees · unset to 3.0Jul 25, 2012 to Jan 23, 2024
- Financial planning clients · 0 to 11-25Jul 25, 2012 to Jan 23, 2024
- State-registered IARs · 0 to 2Jul 25, 2012 to Jan 23, 2024
- Other offices · unset to 0.0Jul 25, 2012 to Jan 23, 2024
- Private funds · 5 to 3Jul 25, 2012 to Jan 23, 2024
- Discretionary RAUM · $50.2M to $102MJul 25, 2012 to Jan 23, 2024
- HNW RAUM · unset to 64200544.0Jul 25, 2012 to Jan 23, 2024
- Individual RAUM · unset to 1927511.0Jul 25, 2012 to Jan 23, 2024
Signals
1 dated events
- G••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 23, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- G••••• A•••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- G••••• A•••• M••••••••• L•• · Private Equityshared crd · organization
- G••••• A•••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 512-482-9600reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- G•••••ASSET.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 512-482-9600reportedpublic record, Form ADV, Feb 6, 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
- $64.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026