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•••••••• F•••••••• G••••
Legal name G•••••••• F•••••••• G••••• L••
Latest filing Apr 1, 2026
First filing on the tape Nov 11, 2019 · 13 filings
SEC status approved since Dec 13, 2019
RAUM
$175M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
100%
$175M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$87.6M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$175M as of Apr 1, 2026
Apr 1, 2020$99.8M then
HNW client RAUM$140M as of Apr 1, 2026
Apr 1, 2020$54.9M then
State-registered IARs (5.B.3)2 as of Apr 1, 2026
Apr 1, 20202 then
Employees (5.A)2 as of Apr 1, 2026
Apr 1, 20202 then
Private funds: no history
RAUM +12% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- RAUM per advisor
- $87.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $353,940derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%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
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- High-net-worth individuals$140M80%
- Individuals$34.9M20%
- Charitable organizations$112,7170.1%
- Individual clients
- 59reported
- HNW clients
- 63reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 495reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 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 |
|---|---|---|---|---|
| K••••••• E•••••••• H••••••Certified Financial Planner, Chartered Financial Analyst | Carmel, In | Feb 6, 2006 | 30 y | 1 |
| J••••••• S•• H••••••Certified Financial Planner | Los Angeles, Ca | Mar 6, 2006 | 20 y | 0 |
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
- K••••••• E•••••••• H•••••• from M••••••••• I••••••••• S••••••• L••Feb 6, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• J•••••••• S•• · Principalcontrolsince 03/2006 · owns 50% to 75%
- H••••••• K•••••••• E•••••••• · Chief Compliance Officercontrolsince 09/2005 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 476 to 495Mar 5, 2025 to Mar 30, 2026
- HNW clients · 54 to 63Mar 5, 2025 to Mar 30, 2026
- Individual clients · 64 to 59Mar 5, 2025 to Mar 30, 2026
- Discretionary RAUM · $147M to $166MMar 5, 2025 to Mar 30, 2026
- HNW RAUM · $118M to $140MMar 5, 2025 to Mar 30, 2026
- Individual RAUM · $38.6M to $34.9MMar 5, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $9.4M to $8.9MMar 5, 2025 to Mar 30, 2026
- RAUM · $156M to $175MMar 5, 2025 to Mar 30, 2026
- Accounts · 452 to 476Mar 15, 2024 to Mar 5, 2025
- HNW clients · 57 to 54Mar 15, 2024 to Mar 5, 2025
- Individual clients · 61 to 64Mar 15, 2024 to Mar 5, 2025
- Financial planning clients · 0 to 0Mar 15, 2024 to Mar 5, 2025
- Discretionary RAUM · $131M to $147MMar 15, 2024 to Mar 5, 2025
- HNW RAUM · $108M to $118MMar 15, 2024 to Mar 5, 2025
- Individual RAUM · $31.9M to $38.6MMar 15, 2024 to Mar 5, 2025
- Non-discretionary RAUM · $8.7M to $9.4MMar 15, 2024 to Mar 5, 2025
- RAUM · $140M to $156MMar 15, 2024 to Mar 5, 2025
- Accounts · 474 to 452Mar 16, 2023 to Mar 15, 2024
- Charity clients · unset to 1.0Mar 16, 2023 to Mar 15, 2024
- HNW clients · 55 to 57Mar 16, 2023 to Mar 15, 2024
- Individual clients · 65 to 61Mar 16, 2023 to Mar 15, 2024
- Discretionary RAUM · $125M to $131MMar 16, 2023 to Mar 15, 2024
- HNW RAUM · $90.8M to $108MMar 16, 2023 to Mar 15, 2024
- Individual RAUM · $34.4M to $31.9MMar 16, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $245,897 to $8.7MMar 16, 2023 to Mar 15, 2024
- RAUM · $125M to $140MMar 16, 2023 to Mar 15, 2024
- Accounts · 492 to 474Mar 15, 2022 to Mar 13, 2023
- HNW clients · 59 to 55Mar 15, 2022 to Mar 13, 2023
- Individual clients · 61 to 65Mar 15, 2022 to Mar 13, 2023
- Discretionary RAUM · $129M to $125MMar 15, 2022 to Mar 13, 2023
- HNW RAUM · $98.8M to $90.8MMar 15, 2022 to Mar 13, 2023
- Individual RAUM · $39.3M to $34.4MMar 15, 2022 to Mar 13, 2023
- Non-discretionary RAUM · $9.6M to $245,897Mar 15, 2022 to Mar 13, 2023
- RAUM · $138M to $125MMar 15, 2022 to Mar 13, 2023
- Accounts · 441 to 492Jul 12, 2021 to Mar 15, 2022
- Charity clients · 1.0 to unsetJul 12, 2021 to Mar 15, 2022
- HNW clients · 51 to 59Jul 12, 2021 to Mar 15, 2022
- Individual clients · 66 to 61Jul 12, 2021 to Mar 15, 2022
- Discretionary RAUM · $117M to $129MJul 12, 2021 to Mar 15, 2022
- HNW RAUM · $89.7M to $98.8MJul 12, 2021 to Mar 15, 2022
Signals
1 dated events
- G•••••••• F•••••••• G•••• filed its initial SEC registration (Form ADV)Nov 11, 2019 · 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
- Business phone
- 317-993-3384reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 323-395-8801reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- G••••••••-FG.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 317-993-3384reportedpublic record, Form ADV, Apr 1, 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
- $87.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026