DFX Intelligence

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SEC-registered adviser

G•••• A•••• I•••••••••

Independent wealth managerNiwot, ColoradoCRD 144413SEC 801-77535website IAPD

Legal name G•••• A•••• A•••••••• L••

Latest filing Jun 18, 2026

First filing on the tape Jan 2, 2013 · 28 filings

SEC status approved since Jan 15, 2013

RAUM

$254M

reported, Item 5.F

Discretionary

82%

of RAUM

Private clients

52%

$133M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

28 filings and snapshots on the tape

RAUM$254M as of Jun 18, 2026

Apr 1, 2013$3.4M then

HNW client RAUM$120M as of Jun 18, 2026

Mar 27, 2018$37.9M then

State-registered IARs (5.B.3)0 as of Jun 18, 2026

Apr 1, 20130 then

Employees (5.A)4 as of Jun 18, 2026

Apr 1, 20133 then

Private funds: no history

RAUM +4.0% over the last fiscal year-8.9% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Jun 18, 2026; every figure names its basis

Archetypes, each a printed rule

Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent

RAUM per advisor: unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.7MderivedHNW RAUM over HNW clients
Average account: $943,870derivedRAUM over accounts (5.F.2.f)
Discretionary: 82%derivedof RAUM
Institutional: 3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year: +4.0%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: +14%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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$120M47%
Other investment advisers$65.2M26%
Investment companies$47.8M19%
Individuals$13.3M5.2%
Charitable organizations$8.0M3.2%

Individual clients: 85reported
HNW clients: 45reported
Pension plan clients: n/areported
Charitable clients: 4reported
Accounts: 269reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.52 fund_share=0.44 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived

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

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

D••••• J•••••• W•••• · Chief Compliance Officer, Co-Founder, Cfocontrol
since 03/2007 · owns 10% to 25%
J••••••• G•••••• F••••••• · Co-Founder, Chief Investment Officercontrol
since 03/2007 · owns 10% to 25%
M•••••••• B••••• M• · Chief Marketing & Distribution Officercontrol
since 01/2015 · owns 5% to 10%
S••••• M••••••• R••• · Founder & Ceocontrol
since 01/2009 · owns 50% to 75% of R•• I•••• L••
M•••• R••••• · Member
since 07/2013 · owns 5% to 10%

Entity owners

R•• I•••• L•• · Member
direct · owns 5% to 10%
S••••• C••• · Member
direct · owns 10% to 25%

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 · 298 to 269
Aug 14, 2025 to Mar 19, 2026
HNW clients · 41 to 45
Aug 14, 2025 to Mar 19, 2026
Individual clients · 73 to 85
Aug 14, 2025 to Mar 19, 2026
Discretionary RAUM · $184M to $208M
Aug 14, 2025 to Mar 19, 2026
HNW RAUM · $93.2M to $120M
Aug 14, 2025 to Mar 19, 2026
Individual RAUM · $12.7M to $13.3M
Aug 14, 2025 to Mar 19, 2026
Non-discretionary RAUM · $59.8M to $45.8M
Aug 14, 2025 to Mar 19, 2026
RAUM · $244M to $254M
Aug 14, 2025 to Mar 19, 2026
Financial planning clients · 0 to 0
Mar 27, 2025 to Aug 14, 2025
Accounts · 531 to 298
Apr 29, 2024 to Mar 27, 2025
Charity clients · 5 to 4
Apr 29, 2024 to Mar 27, 2025
HNW clients · 40 to 41
Apr 29, 2024 to Mar 27, 2025
Individual clients · 78 to 73
Apr 29, 2024 to Mar 27, 2025
Discretionary RAUM · $255M to $184M
Apr 29, 2024 to Mar 27, 2025
HNW RAUM · $90.4M to $93.2M
Apr 29, 2024 to Mar 27, 2025
Individual RAUM · $13.6M to $12.7M
Apr 29, 2024 to Mar 27, 2025
Non-discretionary RAUM · $75.4M to $59.8M
Apr 29, 2024 to Mar 27, 2025
RAUM · $330M to $244M
Apr 29, 2024 to Mar 27, 2025
Accounts · 338 to 531
Nov 16, 2023 to Mar 22, 2024
Charity clients · 4 to 5
Nov 16, 2023 to Mar 22, 2024
Corporate clients · 1.0 to unset
Nov 16, 2023 to Mar 22, 2024
HNW clients · 56 to 40
Nov 16, 2023 to Mar 22, 2024
Individual clients · 85 to 78
Nov 16, 2023 to Mar 22, 2024
Pooled vehicle clients · 1.0 to unset
Nov 16, 2023 to Mar 22, 2024
Employees · 5 to 4
Nov 16, 2023 to Mar 22, 2024
Discretionary RAUM · $239M to $255M
Nov 16, 2023 to Mar 22, 2024
HNW RAUM · $83.6M to $90.4M
Nov 16, 2023 to Mar 22, 2024
Individual RAUM · $10.9M to $13.6M
Nov 16, 2023 to Mar 22, 2024
Non-discretionary RAUM · $96.6M to $75.4M
Nov 16, 2023 to Mar 22, 2024
Pooled vehicle RAUM · 18626134.0 to unset
Nov 16, 2023 to Mar 22, 2024
RAUM · $336M to $330M
Nov 16, 2023 to Mar 22, 2024
HQ city · LOUISVILLE to NIWOT
Mar 20, 2023 to Nov 16, 2023
Accounts · 531 to 338
Oct 6, 2022 to Mar 20, 2023
Advisory employees · 4 to 3
Oct 6, 2022 to Mar 20, 2023
Corporate clients · 2 to 1
Oct 6, 2022 to Mar 20, 2023
Individual clients · 77 to 85
Oct 6, 2022 to Mar 20, 2023
Employees · 7 to 5
Oct 6, 2022 to Mar 20, 2023
Discretionary RAUM · $598M to $239M
Oct 6, 2022 to Mar 20, 2023
HNW RAUM · $79.2M to $83.6M
Oct 6, 2022 to Mar 20, 2023
Individual RAUM · $11.2M to $10.9M
Oct 6, 2022 to Mar 20, 2023

Signals

3 dated events

G•••• A•••• I••••••••• reported RAUM $336.0M, down 55% from $744.9M (2022-10-06 to 2023-03-20)
Mar 20, 2023 · RAUM change · derived
G•••• A•••• I••••••••• reported RAUM $643.8M, up 179% from $230.6M (2020-05-29 to 2021-03-25)
Mar 25, 2021 · RAUM change · derived
G•••• A•••• A•••••••• L•• filed its initial SEC registration (Form ADV)
Jan 2, 2013 · 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 email: i•••@g•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 303-568-0130reportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 303-993-7856reportedpublished by the firm, firm site, Sep 16, 2026
Firm profile: LINKEDIN.COM/COMPANY/G••••-A••••-ADVISORSreportedpublic record, Form ADV, Jun 18, 2026
Website: G••••A••••ADVISORS.COMreportedpublic record, Form ADV, Jun 18, 2026
Principal office phone: 303-993-7856reportedpublic record, Form ADV, Jun 18, 2026
Contact form: g•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026