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.

Former SEC-registered adviser

Global Wealth Consultants, LLC

Former SEC-registered adviserNaples, FloridaCRD 144221SEC 801-68143IAPD
Latest filing Mar 21, 2016
First filing on the tape Mar 12, 2012 · 5 filings
RAUM
$108M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$108M as of Mar 21, 2016
Mar 12, 2012$91.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 21, 2016
Mar 12, 20120 then
Employees (5.A)5 as of Mar 21, 2016
Apr 2, 20138 then
Private funds: no history
RAUM +0.7% over the last fiscal year+5.2% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 21, 2016; every figure names its basis
RAUM per advisor
$36.1MderivedRAUM 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
$415,977derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+0.7%derivedbetween the last two annual amendments
Advisor growth, one year
-25%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
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
260reported
Financial planning clients
n/areported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Elizabeth Jane Lamberson · Manager & Membercontrol
    since 05/2007 · owns 25% to 50%
  • Leo Richard Swope · Manager, Member, Chief Compliance Officercontrol
    since 05/2007 · owns 25% to 50%
  • L. Kenneth Urish · Membercontrol
    since 10/2007 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • State College, PA
What changed
consecutive filings, newest first
  • Accounts · 235 to 260
    Feb 5, 2015 to Mar 21, 2016
  • Advisory employees · 6 to 5
    Feb 5, 2015 to Mar 21, 2016
  • Employees · 6 to 5
    Feb 5, 2015 to Mar 21, 2016
  • State-registered IARs · 4 to 3
    Feb 5, 2015 to Mar 21, 2016
  • Discretionary RAUM · $107M to $108M
    Feb 5, 2015 to Mar 21, 2016
  • RAUM · $107M to $108M
    Feb 5, 2015 to Mar 21, 2016
  • Accounts · 216 to 235
    Mar 19, 2014 to Feb 5, 2015
  • Discretionary RAUM · $95.5M to $107M
    Mar 19, 2014 to Feb 5, 2015
  • RAUM · $95.5M to $107M
    Mar 19, 2014 to Feb 5, 2015
  • Accounts · 221 to 216
    Apr 2, 2013 to Mar 19, 2014
  • Employees · 8 to 6
    Apr 2, 2013 to Mar 19, 2014
  • Discretionary RAUM · $93.0M to $95.5M
    Apr 2, 2013 to Mar 19, 2014
  • RAUM · $93.0M to $95.5M
    Apr 2, 2013 to Mar 19, 2014
  • Accounts · 100 to 221
    Mar 12, 2012 to Apr 2, 2013
  • Advisory employees · unset to 6.0
    Mar 12, 2012 to Apr 2, 2013
  • Employees · unset to 8.0
    Mar 12, 2012 to Apr 2, 2013
  • State-registered IARs · 0 to 4
    Mar 12, 2012 to Apr 2, 2013
  • Discretionary RAUM · $91.2M to $93.0M
    Mar 12, 2012 to Apr 2, 2013
  • RAUM · $91.2M to $93.0M
    Mar 12, 2012 to Apr 2, 2013
  • Related insurance company · true to false
    Mar 12, 2012 to Apr 2, 2013
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.
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