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Former SEC-registered adviser

G•••••• C•••••• M••••••••• L••

Former SEC-registered adviserRoanoke, VirginiaCRD 140505SEC 801-69962IAPD
Latest filing Sep 7, 2012
First filing on the tape Feb 1, 2012 · 4 filings
RAUM
$46.4M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$23.2M
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$46.4M as of Sep 7, 2012
Feb 1, 2012$46.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 7, 2012
Feb 1, 20120 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 7, 2012; every figure names its basis
RAUM per advisor
$23.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$230,623derivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
Custody
$46.4M, 201 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
201reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$46.4M for 201 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R••••• S••••• G••••••Roanoke, VaJun 30, 200628 y2
C••••• C•••• G••••••Certified Financial Planner, Chartered Financial ConsultantRoanoke, VaJun 30, 200642 y2
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • G••••••• C•••••• C•••• · President/Chief Compliance Officercontrol
      since 04/2006 · owns 75% or more
    • G••••••• R•••••• S••••• · Vice Presidentcontrol
      since 04/2006 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    • G•••••• I•••••••• A••••••••• L••
      real estaten
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Roanoke, Va · principal200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory activities · 3 to 4
      Apr 17, 2012 to Aug 13, 2012
    • Assets in custody · unset to 46355238.0
      Feb 1, 2012 to Apr 17, 2012
    • Custody of client assets · false to true
      Feb 1, 2012 to Apr 17, 2012
    Signals
    No event on the tape.
    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
    Website
    G••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 21, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $23.2Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026